[Title 37 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2021 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

                               Title 37

                    Patents, Trademarks, and Copyrights

                         Revised as of July 1, 2021

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2021
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

          U.S. GOVERNMENT OFFICIAL EDITION NOTICE

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          It is prohibited to use NARA's official seal and the stylized Code 
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          Use of ISBN Prefix

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[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 37:
          Chapter I--United States Patent and Trademark 
          Office, Department of Commerce                             3
          Chapter II--U.S. Copyright Office, Library of 
          Congress                                                 561
          Chapter III--Copyright Royalty Board, Library of 
          Congress                                                 817
          Chapter IV--National Institute of Standards and 
          Technology, Department of Commerce                       917
          Chapter V [Reserved]
  Finding Aids:
      Table of CFR Titles and Chapters........................     949
      Alphabetical List of Agencies Appearing in the CFR......     969
      List of CFR Sections Affected...........................     979

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 37 CFR 1.1 refers to 
                       title 37, part 1, section 
                       1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2021), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not dropped in error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
issued the regulation containing that incorporation. If, after 
contacting the agency, you find the material is not available, please 
notify the Director of the Federal Register, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, 
or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, 8601 Adelphi Road, College Park, MD 
20740-6001 or e-mail [email protected].

SALES

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ELECTRONIC SERVICES

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CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers of the Presidents of the United 
States, Compilation of Presidential Documents and the Privacy Act 
Compilation are available in electronic format via www.govinfo.gov. For 
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Government Publishing Office. Phone 202-512-1800, or 866-512-1800 (toll-
free). E-mail, [email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) website for public 
law numbers, Federal Register finding aids, and related information. 
Connect to NARA's website at www.archives.gov/federal-register.
    The e-CFR is a regularly updated, unofficial editorial compilation 
of CFR material and Federal Register amendments, produced by the Office 
of the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register
    July 1, 2021.







[[Page ix]]



                               THIS TITLE

    Title 37--Patents, Trademarks and Copyrights is composed of one 
volume. The contents of this volume represent all current regulations 
codified under this title of the CFR as of July 1, 2021.

    The parts in chapter I, subchapter A, are regrouped according to 
subject matter. All parts pertaining to patents--parts 1, 3, 4, and 5--
appear sequentially. All parts pertaining to trademarks--parts 2, 6, and 
7--follow, also in sequence. Part 3, which pertains to both patents and 
trademarks, follows the first part.

    Indexes appear after parts 5, 7 and 41, within chapter I. An index 
to chapter II appears at the end of the chapter.

    For this volume, Susannah C. Hurley was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS




  --------------------------------------------------------------------
                                                                    Part

chapter i--United States Patent and Trademark Office, 
  Department of Commerce....................................           1

chapter ii--U.S. Copyright Office, Library of Congress......         201

chapter iii--Copyright Royalty Board, Library of Congress...         301

chapter iv--National Institute of Standards and Technology, 
  Department of Commerce....................................         401
chapter v--[Reserved]

[[Page 3]]



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




  --------------------------------------------------------------------


  Editorial Note: Chapter I--United States Patent and Trademark Office, 
Department of Commerce, Subchapter A--General, contains patent and 
trademark regulations. Subchapter A has been restructured to allow parts 
pertaining to patent regulations and trademark regulations to be grouped 
separately. For further explanation see This Title, page ix.

                          SUBCHAPTER A--GENERAL

                                 PATENTS

Part                                                                Page
1               Rules of practice in patent cases...........           5
3               Assignment, recording and rights of assignee         218
4               Complaints regarding invention promoters....         226
5               Secrecy of certain inventions and licenses 
                    to export and file applications in 
                    foreign countries.......................         228
                Index I--Rules relating to patents..........         237

                               TRADEMARKS

2               Rules of practice in trademark cases........         263
6               Classification of goods and services under 
                    the Trademark Act.......................         356
7               Rules of practice in filings pursuant to the 
                    protocol relating to the Madrid 
                    agreement concerning the international 
                    registration of marks...................         359
                Index II--Rules relating to trademarks......         371

             PRACTICE BEFORE THE PATENT AND TRADEMARK OFFICE

10             [Reserved]

11              Representation of others before the United 
                    States Patent and Trademark Office......         393
15-15a          [Reserved]

41              Practice before the Patent Trial and Appeal 
                    Board...................................         460
42              Trial practice before the Patent Trial and 
                    Appeal Board............................         493
90              Judicial review of Patent Trial and Appeal 
                    Board decisions.........................         520

[[Page 4]]

                Index III--Rules relating to practice before 
                    the Patent and Trademark Office.........         523
                      SUBCHAPTER B--ADMINISTRATION
100-101        [Reserved]

102             Disclosure of government information........         529
104             Legal processes.............................         553
             SUBCHAPTER C--PROTECTION OF FOREIGN MASK WORKS
150             Requests for Presidential proclamations 
                    pursuant to 17 U.S.C. 902(a)(2).........         558
151-199        [Reserved]

[[Page 5]]



                          SUBCHAPTER A_GENERAL





PATENTS--Table of Contents





PART 1_RULES OF PRACTICE IN PATENT CASES--Table of Contents



                      Subpart A_General Provisions

                 General Information and Correspondence

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

          Records and Files of the Patent and Trademark Office

1.11 Files open to the public.
1.12 Assignment records open to public inspection.
1.13 Copies and certified copies.
1.14 Patent applications preserved in confidence.
1.15 Requests for identifiable records.

                        Fees and Payment of Money

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

                Subpart B_National Processing Provisions

     Prosecution of Application and Appointment of Attorney or Agent

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

                       Who May Apply for a Patent

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

                             The Application

1.51 General requisites of an application.
1.52 Language, paper, writing, margins, compact disc specifications.
1.53 Application number, filing date, and completion of application.
1.54 Parts of application to be filed together; filing receipt.
1.55 Claim for foreign priority.
1.56 Duty to disclose information material to patentability.
1.57 Incorporation by reference.
1.58 Chemical and mathematical formulae and tables.
1.59 Expungement of information or copy of papers in application file.
1.60-162 [Reserved]

                           Oath or Declaration

1.63 Inventor's oath or declaration.
1.64 Substitute statement in lieu of an oath or declaration.
1.66 Statements under oath.

[[Page 6]]

1.67 Supplemental oath or declaration.
1.68 Declaration in lieu of oath.
1.69 Foreign language oaths and declarations.
1.70 [Reserved]

                              Specification

1.71 Detailed description and specification of the invention.
1.72 Title and abstract.
1.73 Summary of the invention.
1.74 Reference to drawings.
1.75 Claim(s).
1.76 Application data sheet.
1.77 Arrangement of application elements.
1.78 Claiming benefit of earlier filing date and cross-references to 
          other applications.
1.79 [Reserved]

                              The Drawings

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

                       Models, Exhibits, Specimens

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

                    Information Disclosure Statement

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

                       Examination of Applications

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

              Action by Applicant and Further Consideration

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

                               Amendments

1.115 Preliminary amendments.
1.116 Amendments and affidavits or other evidence after final action and 
          prior to appeal.
1.117-1.119 [Reserved]
1.121 Manner of making amendments in applications.
1.122-1.124 [Reserved]
1.125 Substitute specification.
1.126 Numbering of claims.
1.127 [Reserved]

                         Transitional Provisions

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

                    Affidavits Overcoming Rejections

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

                               Interviews

1.133 Interviews.

         Time for Reply by Applicant; Abandonment of Application

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

          Joinder of Inventions in One Application; Restriction

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

                             Design Patents

1.151 Rules applicable.
1.152 Design drawings.
1.153 Title, description and claim, oath or declaration.

[[Page 7]]

1.154 Arrangement of application elements in a design application.
1.155 Expedited examination of design applications.

                              Plant Patents

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

                                Reissues

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

                  Petitions and Action by the Director

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

               Appeal to the Patent Trial and Appeal Board

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

                      Publication of Applications.

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

                        Miscellaneous Provisions

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

          Preissuance Submissions and Protests by Third Parties

1.290 Submissions by third parties in applications.
1.291 Protests by the public against pending applications.
1.292 [Reserved]
1.293-1.297 [Reserved]

        Review of Patent and Trademark Office Decisions by Court

1.301-1.304 [Reserved]

                      Allowance and Issue of Patent

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

                               Disclaimer

1.321 Statutory disclaimers, including terminal disclaimers.

                     Correction of Errors in Patent

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

                           Arbitration Awards

1.331-1.334 [Reserved]
1.335 Filing of notice of arbitration awards.
1.351-352 [Reserved]

                            Maintenance Fees

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

              Subpart C_International Processing Provisions

                           General Information

1.401 Definitions of terms under the Patent Cooperation Treaty.
1.412 The United States Receiving Office.
1.413 The United States International Searching Authority.
1.414 The United States Patent and Trademark Office as a Designated 
          Office or Elected Office.
1.415 The International Bureau.
1.416 The United States International Preliminary Examining Authority.

[[Page 8]]

1.417 Submission of translation of international publication.
1.419 Display of currently valid control number under the Paperwork 
          Reduction Act.

                Who May File an International Application

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

                      The International Application

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

                                  Fees

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

                                Priority

1.451 The priority claim and priority document in an international 
          application.
1.452 Restoration of right of priority.
1.453 Transmittal of documents relating to earlier search or 
          classification.

                             Representation

1.455 Representation in international applications.

                       Transmittal of Record Copy

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

                                 Timing

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

                               Amendments

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

                           Unity of Invention

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

                  International Preliminary Examination

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

                             National Stage

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

               Subpart D_Ex Parte Reexamination of Patents

              Citation of Prior Art and Written Statements

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

                   Request for Ex Parte Reexamination

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

                         Ex Parte Reexamination

1.525 Order for ex parte reexamination.

[[Page 9]]

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

                   Ex Parte Reexamination Certificate

1.570 Issuance of ex parte reexamination certificate after ex parte 
          reexamination proceedings.

              Subpart E_Supplemental Examination of Patents

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

            Subpart F_Adjustment and Extension of Patent Term

           Adjustment of Patent Term Due to Examination Delay

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

            Extension of Patent Term Due to Regulatory Review

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

              Subpart G_Biotechnology Invention Disclosures

                     Deposit of Biological Material

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

    Application Disclosures Containing Nucleotide and/or Amino Acid 
                                Sequences

1.821 Nucleotide and/or amino acid sequence disclosures in patent 
          applications.

[[Page 10]]

1.822 Symbols and format to be used for nucleotide and/or amino acid 
          sequence data.
1.823 Requirements for nucleotide and/or amino acid sequences as part of 
          the application.
1.824 Form and format for nucleotide and/or amino acid sequence 
          submissions in computer readable form.
1.825 Amendments to or replacement of sequence listing and computer 
          readable copy thereof.

Appendix A to Subpart G of Part 1--Sample Sequence Listing

  Subpart H_Inter Partes Reexamination of Patents That Issued From an 
Original Application Filed in the United States on or After November 29, 
                                  1999

                           Prior Art Citations

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

         Requirements for Inter Partes Reexamination Proceedings

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

                  Inter Partes Reexamination of Patents

1.931 Order for inter partes reexamination.

          Information Disclosure in Inter Partes Reexamination

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

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

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

           Interviews Prohibited in Inter Partes Reexamination

1.955 Interviews prohibited in inter partes reexamination proceedings.

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

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

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

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

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

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

      Concurrent Proceedings Involving Same Patent in Inter Partes 
                              Reexamination

1.985 Notification of prior or concurrent proceedings in inter partes 
          reexamination.
1.987 Suspension of inter partes reexamination proceeding due to 
          litigation.
1.989 Merger of concurrent reexamination proceedings.

[[Page 11]]

1.991 Merger of concurrent reissue application and inter partes 
          reexamination proceeding.
1.993 Suspension of concurrent interference and inter partes 
          reexamination proceeding.
1.995 Third party requester's participation rights preserved in merged 
          proceeding.

         Reexamination Certificate in Inter Partes Reexamination

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

               Subpart I_International Design Application

                           General Information

1.1001 Definitions related to international design applications.
1.1002 The United States Patent and Trademark Office as an office of 
          indirect filing.
1.1003 The United States Patent and Trademark Office as a designated 
          office.
1.1004 The International Bureau.
1.1005 Display of currently valid control number under the Paperwork 
          Reduction Act.

            Who May File an International Design Application

1.1011 Applicant for international design application.
1.1012 Applicant's Contracting Party.

                  The International Design Application

1.1021 Contents of the international design application.
1.1022 Form and signature.
1.1023 Filing date of an international design application in the United 
          States.
1.1024 The description.
1.1025 The claim.
1.1026 Reproductions.
1.1027 Specimens.
1.1028 Deferment of publication.

                                  Fees

1.1031 International design application fees.

                             Representation

1.1041 Representation in an international design application.
1.1042 Correspondence respecting international design applications filed 
          with the Office as an office of indirect filing.

Transmittal of the International Design Application to the International 
                                 Bureau

1.1045 Procedures for transmittal of international design application to 
          the International Bureau.

 Relief From Prescribed Time Limits; Conversion to a Design Application 
                       Under 35 U.S.C. Chapter 16

1.1051 Relief from prescribed time limits.
1.1052 Conversion to a design application under 35 U.S.C. chapter 16.

        National Processing of International Design Applications

1.1061 Rules applicable.
1.1062 Examination.
1.1063 Notification of Refusal.
1.1064 One independent and distinct design.
1.1065 Corrections and other changes in the International Register.
1.1066 Correspondence address for a nonprovisional international design 
          application.
1.1067 Title, description, and the inventor's oath or declaration.
1.1068 Statement of grant of protection.
1.1070 Notification of Invalidation.
1.1071 Grant of protection for an industrial design only upon issuance 
          of a patent.

    Authority: 35 U.S.C. 2(b)(2), unless otherwise noted.

    Source: 24 FR 10332, Dec. 22, 1959, unless otherwise noted.

    Editorial Notes: 1. In Patent and Trademark Office publications and 
usage the part number is omitted from the numbers of Sec. Sec.1.1 to 
1.352 and the numbers to the right of the decimal point correspond with 
the respective rule numbers.

    2. For nomenclature changes to part 1, see 68 FR 14335, Mar. 25, 
2003.



                      Subpart A_General Provisions

                 General Information and Correspondence



Sec.1.1  Addresses for non-trademark correspondence with the
United States Patent and Trademark Office.

    (a) In general. Except as provided in paragraphs (a)(3)(i), 
(a)(3)(ii), and (d)(1) of this section, all correspondence intended for 
the United States Patent and Trademark Office must be addressed to 
either ``Director of the United States Patent and Trademark Office, P.O. 
Box 1450, Alexandria, Virginia 22313-1450'' or to specific areas within 
the Office as set out in paragraphs (a)(1), and (a)(3)(iii) of this 
section. When appropriate, correspondence should also be marked for the 
attention of a particular office or individual.
    (1) Patent correspondence--(i) In general. All correspondence 
concerning

[[Page 12]]

patent matters processed by organizations reporting to the Commissioner 
for Patents should be addressed to: Commissioner for Patents, PO Box 
1450, Alexandria, Virginia 22313-1450.
    (ii) Patent Trial and Appeal Board. See Sec.41.10 or Sec.42.6 of 
this title. Notices of appeal, appeal briefs, reply briefs, requests for 
oral hearing, as well as all other correspondence in an application or a 
patent involved in an appeal to the Board for which an address is not 
otherwise specified, should be addressed as set out in paragraph 
(a)(1)(i) of this section.
    (2) [Reserved]
    (3) Office of General Counsel correspondence--(i) Litigation and 
service. Correspondence relating to pending litigation or otherwise 
within the scope of part 104 of this title shall be addressed as 
provided in Sec.104.2.
    (ii) Disciplinary proceedings. Correspondence to counsel for the 
Director of the Office of Enrollment and Discipline relating to 
disciplinary proceedings pending before a Hearing Officer or the 
Director shall be mailed to: Mail Stop 8, Office of the Solicitor, 
United States Patent and Trademark Office, P.O. Box 1450, Alexandria, 
Virginia 22313-1450.
    (iii) Solicitor, in general. Correspondence to the Office of the 
Solicitor not otherwise provided for shall be addressed to: Mail Stop 8, 
Office of the Solicitor, United States Patent and Trademark Office, P.O. 
Box 1450, Alexandria, Virginia 22313-1450.
    (iv) General Counsel. Correspondence to the Office of the General 
Counsel not otherwise provided for, including correspondence to the 
General Counsel relating to disciplinary proceedings, shall be addressed 
to: General Counsel, United States Patent and Trademark Office, PO Box 
1450, Alexandria, Virginia 22313-1450.
    (v) Improper correspondence. Correspondence improperly addressed to 
a Post Office Box specified in paragraphs (a)(3)(i) and(a)(3)(ii) of 
this section will not be filed elsewhere in the United States Patent and 
Trademark Office, and may be returned.
    (4) Office of Public Records correspondence. (i) Assignments. All 
patent-related documents submitted by mail to be recorded by Assignment 
Services Division, except for documents filed together with a new 
application, should be addressed to: Mail Stop Assignment Recordation 
Services, Director of the United States Patent and Trademark Office, 
P.O. Box 1450, Alexandria, Virginia 22313-1450. See Sec.3.27.
    (5) Office of Enrollment and Discipline correspondence. All 
correspondence directed to the Office of Enrollment and Discipline 
concerning enrollment, registration, and investigation matters should be 
addressed to Mail Stop OED, Director of the United States Patent and 
Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450.
    (ii) Documents. All requests for certified or uncertified copies of 
patent documents should be addressed to: Mail Stop Document Services, 
Director of the United States Patent and Trademark Office, P.O. Box 
1450, Alexandria, Virginia 22313-1450.
    (b) Patent Cooperation Treaty. 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 ``Mail Stop PCT.''
    (c) For reexamination or supplemental examination proceedings. (1) 
All correspondence concerning ex parte reexamination, other than 
correspondence to the Office of the General Counsel pursuant to Sec.
1.1(a)(3) and Sec.102.4 of this chapter, should be additionally marked 
``Mail Stop Ex Parte Reexam.''
    (2) All correspondence concerning inter partes reexamination, other 
than correspondence to the Office of the General Counsel pursuant to 
Sec.1.1(a)(3) and Sec.102.4 of this chapter, should be additionally 
marked ``Mail Stop Inter Partes Reexam.''
    (3) Requests for supplemental examination (original and corrected 
request papers) and any other paper filed in a supplemental examination 
proceeding, should be additionally marked ``Mail Stop Supplemental 
Examination.''
    (4) All correspondence concerning a reexamination proceeding ordered 
as a result of a supplemental reexamination proceeding, other than 
correspondence to the Office of the General Counsel pursuant to Sec.
1.1(a)(3) and Sec.102.4 of this chapter should be additionally marked 
``Mail Stop Ex Parte Reexam.''

[[Page 13]]

    (d) Payments of maintenance fees in patents not submitted 
electronically over the Internet, and correspondence related to 
maintenance fees may be addressed to: Director of the United States 
Patent and Trademark Office, Attn: Maintenance Fee, 2051 Jamieson 
Avenue, Suite 300, Alexandria, Virginia 22314.
    (e) Patent term extension. All applications for extension of patent 
term under 35 U.S.C. 156 and any communications relating thereto 
intended for the United States Patent and Trademark Office should be 
additionally marked ``Mail Stop Hatch-Waxman PTE.'' When appropriate, 
the communication should also be marked to the attention of a particular 
individual, as where a decision has been rendered.
    (f) [Reserved]

[68 FR 14335, Mar. 25, 2003; 68 FR 19371, Apr. 21, 2003, as amended at 
68 FR 48287, Aug. 13, 2003; 68 FR 71006, Dec. 22, 2003; 69 FR 29877, May 
26, 2004; 69 FR 35451, June 24, 2004; 69 FR 49997, Aug. 12, 2004; 72 FR 
18904, Apr. 16, 2007; 73 FR 47540, Aug. 14, 2008; 75 FR 36295, June 25, 
2010; 77 FR 46624, Aug. 6, 2012; 77 FR 48811, Aug. 14, 2012; 78 FR 
62393, Oct. 21, 2013]



Sec.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.



Sec.1.3  Business to be conducted with decorum and courtesy.

    Applicants and their attorneys or agents are required to conduct 
their business with the United States Patent and Trademark Office with 
decorum and courtesy. Papers presented in violation of this requirement 
will be submitted to the Director and will not be entered. A notice of 
the non-entry of the paper will be provided. Complaints against 
examiners and other employees must be made in correspondence separate 
from other papers.

[68 FR 38624, June 30, 2003]



Sec.1.4  Nature of correspondence and signature requirements.

    (a) Correspondence with the Patent and Trademark Office comprises:
    (1) 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, orders for copies of 
records, transmission of assignments for recording, and the like, and
    (2) 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 of this part; of international applications in subpart C of 
this part; of ex parte reexaminations of patents in subpart D of this 
part; of supplemental examination of patents in subpart E of this part; 
of extension of patent term in subpart F of this part; of inter partes 
reexaminations of patents in subpart H of this part; of international 
design applications in subpart I of this part; and of the Patent Trial 
and Appeal Board in parts 41 and 42 of this chapter.
    (b) Since each file must be complete in itself, a separate copy of 
every paper to be filed in a patent application, patent file, or other 
proceeding must be furnished for each file to which the paper pertains, 
even though the contents of the papers filed in two or more files may be 
identical. The filing of duplicate copies of correspondence in the file 
of an application, patent, or other proceeding should be avoided, except 
in situations in which the Office requires the filing of duplicate 
copies. The Office may dispose of duplicate copies of correspondence in 
the file of an application, patent, or other proceeding.
    (c) Since different matters may be considered by different branches 
or sections of the Office, each distinct subject, inquiry, or order must 
be contained in a separate paper to avoid confusion and delay in 
answering papers dealing with different subjects. Subjects provided for 
on a single Office or

[[Page 14]]

World Intellectual Property Organization form may be contained in a 
single paper.
    (d)(1) Handwritten signature. Each piece of correspondence, except 
as provided in paragraphs (d)(2), (d)(3), (d)(4), (e), and (f) of this 
section, filed in an application, patent file, or other proceeding in 
the Office which requires a person's signature, must:
    (i) Be an original, that is, have an original handwritten signature 
personally signed, in permanent dark ink or its equivalent, by that 
person; or
    (ii) Be a direct or indirect copy, such as a photocopy or facsimile 
transmission (Sec.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 Office may 
require submission of the original.
    (2) S-signature. An S-signature is a signature inserted between 
forward slash marks, but not a handwritten signature as defined by 
paragraph (d)(1) of this section. An S-signature includes any signature 
made by electronic or mechanical means, and any other mode of making or 
applying a signature other than a handwritten signature as provided for 
in paragraph (d)(1) of this section. Correspondence being filed in the 
Office in paper, by facsimile transmission as provided in Sec.1.6(d), 
or via the Office electronic filing system as an attachment as provided 
in Sec.1.6(a)(4), for a patent application, patent, or a reexamination 
or supplemental examination proceeding may be S-signature signed instead 
of being personally signed (i.e., with a handwritten signature) as 
provided for in paragraph (d)(1) of this section. The requirements for 
an S-signature under this paragraph (d)(2) of this section are as 
follows.
    (i) The S-signature must consist only of letters, or Arabic 
numerals, or both, with appropriate spaces and commas, periods, 
apostrophes, or hyphens for punctuation, and the person signing the 
correspondence must insert his or her own S-signature with a first 
single forward slash mark before, and a second single forward slash mark 
after, the S-signature (e.g.,/Dr. James T. Jones, Jr./); and
    (ii) A patent practitioner (Sec.1.32(a)(1)), signing pursuant to 
Sec. Sec.1.33(b)(1) or 1.33(b)(2), must supply his/her registration 
number either as part of the S-signature, or immediately below or 
adjacent to the S-signature. The number () character may be used only 
as part of the S-signature when appearing before a practitioner's 
registration number; otherwise the number character may not be used in 
an S-signature.
    (iii) The signer's name must be:
    (A) Presented in printed or typed form preferably immediately below 
or adjacent the S-signature, and
    (B) Reasonably specific enough so that the identity of the signer 
can be readily recognized.
    (3) Electronically submitted correspondence. Correspondence 
permitted via the Office electronic filing system may be signed by a 
graphic representation of a handwritten signature as provided for in 
paragraph (d)(1) of this section or a graphic representation of an S-
signature as provided for in paragraph (d)(2) of this section when it is 
submitted via the Office electronic filing system.
    (4) Certifications--(i) Certification as to the paper presented. 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 Sec.11.18(b) of 
this subchapter. Violations of Sec.11.18(b)(2) of this subchapter by a 
party, whether a practitioner or non-practitioner, may result in the 
imposition of sanctions under Sec.11.18(c) of this subchapter. Any 
practitioner violating Sec.11.18(b) of this subchapter may also be 
subject to disciplinary action. See Sec.11.18(d) of this subchapter.
    (ii) Certification as to the signature. The person inserting a 
signature under paragraph (d)(2) or (d)(3) of this section in a document 
submitted to the Office certifies that the inserted signature appearing 
in the document is his or her own signature. A person submitting a 
document signed by another under paragraph (d)(2) or (d)(3) of this 
section is obligated to have a reasonable basis to believe that the 
person whose signature is present on the document was actually inserted 
by that person, and should retain evidence of authenticity of the 
signature. Violations of the certification as to the signature of 
another or a person's own signature as set

[[Page 15]]

forth in this paragraph may result in the imposition of sanctions under 
Sec.11.18(c) and (d) of this chapter.
    (5) Forms. The Office provides forms for the public to use in 
certain situations to assist in the filing of correspondence for a 
certain purpose and to meet certain requirements for patent applications 
and proceedings. Use of the forms for purposes for which they were not 
designed is prohibited. No changes to certification statements on the 
Office forms (e.g., oath or declaration forms, terminal disclaimer 
forms, petition forms, and nonpublication request forms) may be made. 
The existing text of a form, other than a certification statement, may 
be modified, deleted, or added to, if all text identifying the form as 
an Office form is removed. The presentation to the Office (whether by 
signing, filing, submitting, or later advocating) of any Office form 
with text identifying the form as an Office form by a party, whether a 
practitioner or non-practitioner, constitutes a certification under 
Sec.11.18(b) of this chapter that the existing text and any 
certification statements on the form have not been altered other than 
permitted by EFS-Web customization.
    (e) The following correspondence must be submitted with an original 
handwritten signature personally signed in permanent dark ink or its 
equivalent:
    (1) Correspondence requiring a person's signature and relating to 
registration to practice before the Patent and Trademark Office in 
patent cases, enrollment and disciplinary investigations, or 
disciplinary proceedings; and
    (2) Payments by credit cards where the payment is not being made via 
the Office's electronic filing systems.
    (f) 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.
    (g) 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.
    (h) Ratification/confirmation/evidence of authenticity: The Office 
may require ratification, confirmation (which includes submission of a 
duplicate document but with a proper signature), or evidence of 
authenticity of a signature, such as when the Office has reasonable 
doubt as to the authenticity (veracity) of the signature, e.g., where 
there are variations of a signature, or where the signature and the 
typed or printed name, do not clearly identify the person signing.

(Pub. L. 94-131, 89 Stat. 685; 35 U.S.C. 6, Pub. L. 97-247)

[24 FR 10332, Dec. 22, 1959]

    Editorial Note: For Federal Register citations affecting Sec.1.4, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.govinfo.gov.



Sec.1.5  Identification of patent, patent application, or patent-
related proceeding.

    (a) No correspondence relating to an application should be filed 
prior to receipt of the assigned application number (i.e., U.S. 
application number, international application number, or international 
registration number as appropriate). When correspondence 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, or 
the international registration

[[Page 16]]

number of an international design 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 Sec.1.8 or the Priority Mail 
Express[supreg] procedure under Sec.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 correspondence directed to the Patent and Trademark Office 
concerning applications for patent should also state the name of the 
first listed inventor, 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 
correspondence and the name of the examiner or other person to which it 
has been assigned.
    (b) 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 Sec.1.366(c).
    (c) Correspondence relating to a trial proceeding before the Patent 
Trial and Appeal Board (part 42 of this title) are governed by Sec.
42.6 of this title.
    (d) A letter relating to a reexamination or supplemental examination 
proceeding should identify it as such by the number of the patent 
undergoing reexamination or supplemental examination, the request 
control number assigned to such proceeding, and, if known, the group art 
unit and name of the examiner to which it been assigned.
    (e) [Reserved]
    (f) When a paper concerns a provisional application, it should 
identify the application as such and include the application number.

(Pub. L. 94-131, 89 Stat. 685; 35 U.S.C. 6, Pub. L. 97-247)

[24 FR 10332, Dec. 22, 1959, as amended at 46 FR 29181, May 29, 1981; 49 
FR 552, Jan. 4, 1984; 49 FR 48451, Dec. 12, 1984; 53 FR 47807, Nov. 28, 
1988; 58 FR 54501, Oct. 22, 1993; 61 FR 42802, Aug. 19, 1996; 61 FR 
56446, Nov. 1, 1996; 64 FR 48917, Sept. 8, 1999; 68 FR 48288, Aug. 13, 
2003; 69 FR 49997, Aug. 12, 2004; 77 FR 46624, Aug. 6, 2012; 77 FR 
48812, Aug. 14, 2012; 78 FR 62394, Oct. 21, 2013; 79 FR 63039, Oct. 22, 
2014; 80 FR 17952, Apr. 2, 2015]



Sec.1.6  Receipt of correspondence.

    (a) Date of receipt and Priority Mail Express[supreg] date of 
deposit. Correspondence received in the Patent and Trademark Office is 
stamped with the date of receipt except as follows:
    (1) 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 under paragraph (a)(3) of this section, or filed 
electronically under paragraph (a)(4) of this section, no correspondence 
is received in the Office on Saturdays, Sundays, or Federal holidays 
within the District of Columbia.
    (2) Correspondence filed in accordance with Sec.1.10 will be 
stamped with the date of deposit as Priority Mail Express[supreg] with 
the United States Postal Service.
    (3) 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.

[[Page 17]]

    (4) Correspondence may be submitted using the Office electronic 
filing system only in accordance with the Office electronic filing 
system requirements. Correspondence submitted to the Office by way of 
the Office electronic filing system will be accorded a receipt date, 
which is the date the correspondence is received at the correspondence 
address for the Office set forth in Sec.1.1 when it was officially 
submitted.
    (b) [Reserved]
    (c) Correspondence delivered by hand. In addition to being mailed, 
correspondence may be delivered by hand during hours the Office is open 
to receive correspondence.
    (d) 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 United States Patent and Trademark Office, unless that 
date is a Saturday, Sunday, or Federal holiday within the District of 
Columbia. See paragraph (a)(3) of this section. To facilitate proper 
processing, each transmission session should be limited to 
correspondence to be filed in a single application or other proceeding 
before the United States Patent and Trademark Office. The application 
number of a patent application, the control number of a reexamination or 
supplemental examination proceeding, the interference number of an 
interference proceeding, the trial number of a trial proceeding before 
the Board, or the patent number of a patent 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:
    (1) Correspondence as specified in Sec.1.4(e), requiring an 
original signature;
    (2) Certified documents as specified in Sec.1.4(f);
    (3) Correspondence that cannot receive the benefit of the 
certificate of mailing or transmission as specified in Sec.
1.8(a)(2)(i)(A) through (D), (F), (I), and (K) and Sec.
1.8(a)(2)(iii)(A), except that a continued prosecution application under 
Sec.1.53(d) may be transmitted to the Office by facsimile;
    (4) Color drawings submitted under Sec. Sec.1.81, 1.83 through 
1.85, 1.152, 1.165, 1.173, 1.437, or 1.1026;
    (5) A request for reexamination under Sec.1.510 or Sec.1.913, or 
a request for supplemental examination under Sec.1.610;
    (6) Correspondence to be filed in an application subject to a 
secrecy order under Sec. Sec.5.1 through 5.5 of this chapter and 
directly related to the secrecy order content of the application;
    (7) In contested cases and trials before the Patent Trial and Appeal 
Board, except as the Board may expressly authorize.
    (e) [Reserved]
    (f) Facsimile transmission of a patent application under Sec.
1.53(d). In the event that the Office has no evidence of receipt of an 
application under Sec.1.53(d) (a continued prosecution application) 
transmitted to the Office by facsimile transmission, the party who 
transmitted the application under Sec.1.53(d) may petition the 
Director to accord the application under Sec.1.53(d) a filing date as 
of the date the application under Sec.1.53(d) is shown to have been 
transmitted to and received in the Office,
    (1) Provided that the party who transmitted such application under 
Sec.1.53(d):
    (i) Informs the Office of the previous transmission of the 
application under Sec.1.53(d) promptly after becoming aware that the 
Office has no evidence of receipt of the application under Sec.
1.53(d);
    (ii) Supplies an additional copy of the previously transmitted 
application under Sec.1.53(d); and
    (iii) Includes a statement which attests on a personal knowledge 
basis or to the satisfaction of the Director to the previous 
transmission of the application under Sec.1.53(d) and is accompanied 
by a copy of the sending unit's report confirming transmission of the 
application under Sec.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 Sec.1.53(d).
    (2) The Office may require additional evidence to determine if the 
application under Sec.1.53(d) was transmitted to

[[Page 18]]

and received in the Office on the date in question.
    (g) Submission of the national stage correspondence required by 
Sec.1.495 via the Office electronic filing system. In the event that 
the Office has no evidence of receipt of the national stage 
correspondence required by Sec.1.495, which was submitted to the 
Office by the Office electronic filing system, the party who submitted 
the correspondence may petition the Director to accord the national 
stage correspondence a receipt date as of the date the correspondence is 
shown to have been officially submitted to the Office.
    (1) The petition of this paragraph (g) requires that the party who 
submitted such national stage correspondence:
    (i) Informs the Office of the previous submission of the 
correspondence promptly after becoming aware that the Office has no 
evidence of receipt of the correspondence under Sec.1.495;
    (ii) Supplies an additional copy of the previously submitted 
correspondence;
    (iii) Includes a statement that attests on a personal knowledge 
basis, or to the satisfaction of the Director, that the correspondence 
was previously officially submitted; and
    (iv) Supplies a copy of an acknowledgment receipt generated by the 
Office electronic filing system, or equivalent evidence, confirming the 
submission to support the statement of paragraph (g)(1)(iii) of this 
section.
    (2) The Office may require additional evidence to determine if the 
national stage correspondence was submitted to the Office on the date in 
question.

[58 FR 54501, Oct. 22, 1993; 58 FR 64154, Dec. 6, 1993; 61 FR 56447, 
Nov. 1, 1996; 62 FR 53180, Oct. 10, 1997; 64 FR 48917, Sept. 8, 1999; 65 
FR 54657, Sept. 8, 2000; 65 FR 76772, Dec. 7, 2000; 68 FR 14336, Mar. 
25, 2003; 68 FR 48288, Aug. 13, 2003; 69 FR 49997, Aug. 12, 2004; 69 FR 
56536, Sept. 21, 2004; 72 FR 2775, Jan. 23, 2007; 77 FR 42173, July 17, 
2012; 77 FR 46624, Aug. 6, 2012; 78 FR 62394, Oct. 21, 2013; 79 FR 
63039, Oct. 22, 2014; 80 FR 17952, Apr. 2, 2015]



Sec.1.7  Times for taking action; Expiration on Saturday, Sunday
or Federal holiday.

    (a) 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 United States 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 business 
day which is not a Saturday, Sunday, or a Federal holiday. See Sec.
90.3 of this chapter for time for appeal or for commencing civil action.
    (b) If the day that is twelve months after the filing date of a 
provisional application under 35 U.S.C. 111(b) and Sec.1.53(c) falls 
on Saturday, Sunday, or on a Federal holiday within the District of 
Columbia, the period of pendency shall be extended to the next 
succeeding secular or business day which is not a Saturday, Sunday, or a 
Federal holiday.

[65 FR 14871, Mar. 20, 2000, as amended at 78 FR 62395, Oct. 21, 2013]



Sec.1.8  Certificate of mailing or transmission.

    (a) Except in the situations enumerated in paragraph (a)(2) of this 
section or as otherwise expressly excluded in this chapter, 
correspondence required to be filed in the U.S. 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.
    (1) Correspondence will be considered as being timely filed if:
    (i) The correspondence is mailed or transmitted prior to expiration 
of the set period of time by being:
    (A) Addressed as set out in Sec.1.1(a) and deposited with the U.S. 
Postal Service with sufficient postage as first class mail;
    (B) Transmitted by facsimile to the Patent and Trademark Office in 
accordance with Sec.1.6(d); or
    (C) Transmitted via the Office electronic filing system in 
accordance with Sec.1.6(a)(4); and
    (ii) 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.

[[Page 19]]

    (2) 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:
    (i) Relative to Patents and Patent Applications--
    (A) 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 Sec.1.53(d);
    (B) Papers filed in trials before the Patent Trial and Appeal Board, 
which are governed by Sec.42.6(b) of this title;
    (C) Papers filed in contested cases before the Patent Trial and 
Appeal Board, which are governed by Sec.41.106 (f) of this title;
    (D) The filing of an international application for patent;
    (E) 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;
    (F) The filing of a copy of the international application and the 
basic national fee necessary to enter the national stage, as specified 
in Sec.1.495(b).
    (G) The filing of a written declaration of abandonment under Sec.
1.138;
    (H) The filing of a submission under Sec.1.217 for publication of 
a redacted copy of an application;
    (I) The filing of a third-party submission under Sec.1.290;
    (J) The calculation of any period of adjustment, as specified in 
Sec.1.703(f); and
    (K) The filing of an international design application.
    (ii) [Reserved]
    (iii) Relative to Disciplinary Proceedings--
    (A) Correspondence filed in connection with a disciplinary 
proceeding under part 11 of this chapter.
    (B) [Reserved]
    (b) 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 U.S. Patent and Trademark Office after 
a reasonable amount of time has elapsed from the time of mailing or 
transmitting of the correspondence, or after the application is held to 
be abandoned, or after the proceeding is dismissed or decided with 
prejudice, or the prosecution of a reexamination proceeding is 
terminated pursuant to Sec.1.550(d) or Sec.1.957(b) or limited 
pursuant to Sec.1.957(c), or a requester paper is refused 
consideration pursuant to Sec.1.957(a), the correspondence will be 
considered timely if the party who forwarded such correspondence:
    (1) 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;
    (2) Supplies an additional copy of the previously mailed or 
transmitted correspondence and certificate; and
    (3) Includes a statement that attests on a personal knowledge basis 
or to the satisfaction of the Director to the previous timely mailing, 
transmission or submission. 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. If the 
correspondence was transmitted via the Office electronic filing system, 
a copy of an acknowledgment receipt generated by the Office electronic 
filing system confirming submission may be used to support this 
statement.
    (c) The Office may require additional evidence to determine if the 
correspondence was timely filed.

[58 FR 54502, Oct. 22, 1993; 58 FR 64154, Dec. 6, 1993, as amended at 61 
FR 56447, Nov. 1, 1996; 62 FR 53181, Oct. 10, 1997; 67 FR 523, Jan. 4, 
2002; 68 FR 48288, Aug. 13, 2003; 69 FR 49997, Aug. 12, 2004; 69 FR 
56536, Sept. 21, 2004; 72 FR 2775, Jan. 23, 2007; 72 FR 18904, Apr. 16, 
2007; 73 FR 47684, Aug. 14, 2008; 77 FR 42173, July 17, 2012; 80 FR 
17953, Apr. 2, 2015]



Sec.1.9  Definitions.

    (a)(1) A national application as used in this chapter means either a 
U.S. application for patent which was filed in the Office under 35 
U.S.C. 111, an international application filed under the Patent 
Cooperation Treaty in which the basic national fee under 35 U.S.C. 
41(a)(1)(F) has been paid, or an international design application filed 
under

[[Page 20]]

the Hague Agreement in which the Office has received a copy of the 
international registration pursuant to Hague Agreement Article 10.
    (2) 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).
    (3) A nonprovisional application as used in this chapter means 
either a U.S. national application for patent which was filed in the 
Office under 35 U.S.C. 111(a), an international application filed under 
the Patent Cooperation Treaty in which the basic national fee under 35 
U.S.C. 41(a)(1)(F) has been paid, or an international design application 
filed under the Hague Agreement in which the Office has received a copy 
of the international registration pursuant to Hague Agreement Article 
10.
    (b) 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.
    (c) A published application as used in this chapter means an 
application for patent which has been published under 35 U.S.C. 122(b).
    (d)(1) The term inventor or inventorship as used in this chapter 
means the individual or, if a joint invention, the individuals 
collectively who invented or discovered the subject matter of the 
invention.
    (2) The term joint inventor or coinventor as used in this chapter 
means any one of the individuals who invented or discovered the subject 
matter of a joint invention.
    (e) The term joint research agreement as used in this chapter means 
a written contract, grant, or cooperative agreement entered into by two 
or more persons or entities for the performance of experimental, 
developmental, or research work in the field of the claimed invention.
    (f) The term claimed invention as used in this chapter means the 
subject matter defined by a claim in a patent or an application for a 
patent.
    (g) For definitions in Patent Trial and Appeal Board proceedings, 
see parts 41 and 42 of this title.
    (h) 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.
    (i) National security classified as used in this chapter means 
specifically authorized under criteria established by an Act of Congress 
or Executive Order to be kept secret in the interest of national defense 
or foreign policy and, in fact, properly classified pursuant to such Act 
of Congress or Executive Order.
    (j) Director as used in this chapter, except for part 11 of this 
chapter, means the Under Secretary of Commerce for Intellectual Property 
and Director of the United States Patent and Trademark Office.
    (k) Paper as used in this chapter means a document that may exist in 
electronic form, or in physical form, and therefore does not necessarily 
imply physical sheets of paper.
    (l) Hague Agreement as used in this chapter means the Geneva Act of 
the Hague Agreement Concerning the International Registration of 
Industrial Designs adopted at Geneva, Switzerland, on July 2, 1999, and 
Hague Agreement Article as used in this chapter means an Article under 
the Hague Agreement.
    (m) Hague Agreement Regulations as used in this chapter means the 
Common Regulations Under the 1999 Act and the 1960 Act of the Hague 
Agreement, and Hague Agreement Rule as used in this chapter means one of 
the Hague Agreement Regulations.
    (n) An international design application as used in this chapter 
means an application for international registration of a design filed 
under the Hague Agreement. Unless otherwise clear from the wording, 
reference to ``design application'' or ``application for a design 
patent'' in this chapter includes

[[Page 21]]

an international design application that designates the United States.

(Pub. L. 94-131, 89 Stat. 685; 35 U.S.C. 6, Pub. L. 97-247; 15 U.S.C. 
1113, 1123)

[43 FR 20461, May 11, 1978, as amended at 47 FR 40139, Sept. 10, 1982; 
47 FR 43275, Sept. 30, 1982; 49 FR 48451, Dec. 12, 1984; 60 FR 20220, 
Apr. 25, 1995; 61 FR 56447, Nov. 1, 1996; 62 FR 53181, Oct. 10, 1997; 65 
FR 54657, Sept. 8, 2000; 65 FR 57051, Sept. 20, 2000; 68 FR 14336, Mar. 
25, 2003; 68 FR 38624, June 30, 2003; 69 FR 49997, Aug. 12, 2004; 73 FR 
47685, Aug. 14, 2008; 77 FR 46624, Aug. 6, 2012; 77 FR 48812, Aug. 14, 
2012; 78 FR 11052, Feb. 14, 2013; 80 FR 17953, Apr. 2, 2015]



Sec.1.10  Filing of correspondence by Priority Mail Express[supreg].

    (a)(1) Any correspondence received by the U.S. Patent and Trademark 
Office (USPTO) that was delivered by the Priority Mail Express[supreg] 
Post Office to Addressee service of the United States Postal Service 
(USPS) will be considered filed with the USPTO on the date of deposit 
with the USPS.
    (2) The date of deposit with USPS is shown by the ``date accepted'' 
on the Priority Mail Express[supreg] label or other official USPS 
notation. If the USPS deposit date cannot be determined, the 
correspondence will be accorded the USPTO receipt date as the filing 
date. See Sec.1.6(a).
    (b) 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 Priority Mail Express[supreg] mailing 
label with the ``date accepted'' clearly marked. Persons dealing 
indirectly with the employees of the USPS (such as by deposit in a 
Priority Mail Express[supreg] drop box) do so at the risk of not 
receiving a copy of the Priority Mail Express[supreg] mailing label with 
the desired ``date accepted'' clearly marked. The paper(s) or fee(s) 
that constitute the correspondence should also include the Priority Mail 
Express[supreg] mailing label number thereon. See paragraphs (c), (d) 
and (e) of this section.
    (c) Any person filing correspondence under this section that was 
received by the Office and delivered by the Priority Mail 
Express[supreg] 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 accepted'' on the Priority Mail Express[supreg] mailing label or 
other official USPS notation, may petition the Director to accord the 
correspondence a filing date as of the ``date accepted'' on the Priority 
Mail Express[supreg] mailing label or other official USPS notation, 
provided that:
    (1) 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;
    (2) The number of the Priority Mail Express[supreg] mailing label 
was placed on the paper(s) or fee(s) that constitute the correspondence 
prior to the original mailing by Priority Mail Express[supreg]; and
    (3) The petition includes a true copy of the Priority Mail 
Express[supreg] mailing label showing the ``date accepted,'' and of any 
other official notation by the USPS relied upon to show the date of 
deposit.
    (d) Any person filing correspondence under this section that was 
received by the Office and delivered by the Priority Mail 
Express[supreg] Post Office to Addressee service of the USPS, who can 
show that the ``date accepted'' on the Priority Mail Express[supreg] 
mailing label or other official notation entered by the USPS was 
incorrectly entered or omitted by the USPS, may petition the Director to 
accord the correspondence a filing date as of the date the 
correspondence is shown to have been deposited with the USPS, provided 
that:
    (1) 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;
    (2) The number of the Priority Mail Express[supreg] mailing label 
was placed on the paper(s) or fee(s) that constitute the correspondence 
prior to the original mailing by Priority Mail Express[supreg]; and
    (3) The petition includes a showing which establishes, to the 
satisfaction of the Director, that the requested filing date was the 
date the correspondence was deposited in the Priority Mail 
Express[supreg] Post Office to Addressee service prior to the last 
scheduled pickup for that day. Any showing pursuant to

[[Page 22]]

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 Priority Mail Express[supreg] Post Office 
to Addressee service of the USPS.
    (e) Any person mailing correspondence addressed as set out in Sec.
1.1(a) to the Office with sufficient postage utilizing the Priority Mail 
Express[supreg] Post Office to Addressee service of the USPS but not 
received by the Office, may petition the Director to consider such 
correspondence filed in the Office on the USPS deposit date, provided 
that:
    (1) The petition is filed promptly after the person becomes aware 
that the Office has no evidence of receipt of the correspondence;
    (2) The number of the Priority Mail Express[supreg] mailing label 
was placed on the paper(s) or fee(s) that constitute the correspondence 
prior to the original mailing by Priority Mail Express[supreg];
    (3) The petition includes a copy of the originally deposited 
paper(s) or fee(s) that constitute the correspondence showing the number 
of the Priority Mail Express[supreg] mailing label thereon, a copy of 
any returned postcard receipt, a copy of the Priority Mail 
Express[supreg] mailing label showing the ``date accepted,'' 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 accepted'' on the Priority Mail Express[supreg] 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 Priority Mail 
Express[supreg] Post Office to Addressee service prior to the last 
scheduled pickup for that day; and
    (4) The petition includes a statement which establishes, to the 
satisfaction of the Director, the original deposit of the correspondence 
and that the copies of the correspondence, the copy of the Priority Mail 
Express[supreg] 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 Priority Mail 
Express[supreg] mailing label, returned postcard receipt, and official 
notation entered by the USPS.
    (f) The Office may require additional evidence to determine if the 
correspondence was deposited as Priority Mail Express[supreg] with the 
USPS on the date in question.
    (g) Any person who mails correspondence addressed as set out in 
Sec.1.1(a) to the Office with sufficient postage utilizing the 
Priority Mail Express[supreg] Post Office to Addressee service of the 
USPS, but has the correspondence returned by the USPS due to an 
interruption or emergency in Priority Mail Express[supreg] service, may 
petition the Director to consider such correspondence as filed on a 
particular date in the Office, provided that:
    (1) The petition is filed promptly after the person becomes aware of 
the return of the correspondence;
    (2) The number of the Priority Mail Express[supreg] mailing label 
was placed on the paper(s) or fee(s) that constitute the correspondence 
prior to the original mailing by Priority Mail Express[supreg];
    (3) The petition includes the original correspondence or a copy of 
the original correspondence showing the number of the Priority Mail 
Express[supreg] mailing label thereon and a copy of the Priority Mail 
Express[supreg] mailing label showing the ``date accepted''; and
    (4) The petition includes a statement which establishes, to the 
satisfaction of the Director, the original deposit of the correspondence 
and that the correspondence or copy of the correspondence is the 
original correspondence or a true copy of the correspondence originally 
deposited with the USPS on the requested filing date. The Office may 
require additional evidence to determine if the correspondence was 
returned by the USPS due to an interruption or emergency in Priority 
Mail Express[supreg] service.
    (h) Any person who attempts to mail correspondence addressed as set 
out in Sec.1.1(a) to the Office with sufficient postage utilizing the 
Priority Mail Express[supreg] Post Office to Addressee service of the 
USPS, but has the correspondence refused by an employee of the USPS due 
to an interruption or emergency in Priority Mail Express[supreg] 
service, may petition the Director to consider such correspondence as 
filed on a

[[Page 23]]

particular date in the Office, provided that:
    (1) The petition is filed promptly after the person becomes aware of 
the refusal of the correspondence;
    (2) The number of the Priority Mail Express[supreg] mailing label 
was placed on the paper(s) or fee(s) that constitute the correspondence 
prior to the attempted mailing by Priority Mail Express[supreg];
    (3) The petition includes the original correspondence or a copy of 
the original correspondence showing the number of the Priority Mail 
Express[supreg] mailing label thereon; and
    (4) The petition includes a statement by the person who originally 
attempted to deposit the correspondence with the USPS which establishes, 
to the satisfaction of the Director, the original attempt to deposit the 
correspondence and that the correspondence or copy of the correspondence 
is the original correspondence or a true copy of the correspondence 
originally attempted to be deposited with the USPS on the requested 
filing date. The Office may require additional evidence to determine if 
the correspondence was refused by an employee of the USPS due to an 
interruption or emergency in Priority Mail Express[supreg] service.
    (i) Any person attempting to file correspondence under this section 
that was unable to be deposited with the USPS due to an interruption or 
emergency in Priority Mail Express[supreg] service which has been so 
designated by the Director, may petition the Director to consider such 
correspondence as filed on a particular date in the Office, provided 
that:
    (1) The petition is filed in a manner designated by the Director 
promptly after the person becomes aware of the designated interruption 
or emergency in Priority Mail Express[supreg] service;
    (2) The petition includes the original correspondence or a copy of 
the original correspondence; and
    (3) The petition includes a statement which establishes, to the 
satisfaction of the Director, that the correspondence would have been 
deposited with the USPS but for the designated interruption or emergency 
in Priority Mail Express[supreg] service, and that the correspondence or 
copy of the correspondence is the original correspondence or a true copy 
of the correspondence originally attempted to be deposited with the USPS 
on the requested filing date.

[79 FR 63039, Oct. 22, 2014]

          Records and Files of the Patent and Trademark Office



Sec.1.11  Files open to the public.

    (a) The specification, drawings, and all papers relating to the file 
of: A published application; a patent; or a statutory invention 
registration are open to inspection by the public, and copies may be 
obtained upon the payment of the fee set forth in Sec.1.19(b)(2). If 
an application was published in redacted form pursuant to Sec.1.217, 
the complete file wrapper and contents of the patent application will 
not be available if: The requirements of paragraphs (d)(1), (d)(2), and 
(d)(3) of Sec.1.217 have been met in the application; and the 
application is still pending. See Sec.2.27 of this title for trademark 
files.
    (b) 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 Sec.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.
    (c) All requests for reexamination for which all the requirements of 
Sec.1.510 or Sec.1.915 have been satisfied will be announced in the 
Official Gazette. Any reexaminations at the initiative of the Director 
pursuant to Sec.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 Director initiated order 
control number, patent number, title, class and subclass, name of the 
inventor, name of

[[Page 24]]

the patent owner of record, and the examining group to which the 
reexamination is assigned.
    (d) 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.
    (e) Except as prohibited in Sec.41.6(b), Sec.42.14 or Sec.
42.410(b), the file of any interference or trial before the Patent Trial 
and Appeal Board is open to public inspection and copies of the file may 
be obtained upon payment of the fee therefor.

(35 U.S.C. 6; 15 U.S.C. 1113, 1123)

[46 FR 29181, May 29, 1981, as amended at 47 FR 41272, Sept. 17, 1982; 
50 FR 9378, Mar. 7, 1985; 60 FR 14518, Mar. 17, 1995; 62 FR 53181, Oct. 
10, 1997; 65 FR 57051, Sept. 20, 2000; 69 FR 49997, Aug. 12, 2004; 70 FR 
56126, Sept. 26, 2005; 71 FR 44223, Aug. 4, 2006; 77 FR 46624, Aug. 6, 
2012]



Sec.1.12  Assignment records open to public inspection.

    (a)(1) Separate assignment records are maintained in the United 
States 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 published patent applications, are open to public inspection at the 
United States Patent and Trademark Office, and copies of patent 
assignment records may be obtained upon request and payment of the fee 
set forth in Sec.1.19 of this chapter. See Sec.2.200 of this chapter 
regarding trademark assignment records.
    (2) All records of assignments of patents recorded before May 1, 
1957, 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.
    (b) Assignment records, digests, and indexes relating to any pending 
or abandoned patent application, which is open to the public pursuant to 
Sec.1.11 or for which copies or access may be supplied pursuant to 
Sec.1.14, are available to the public. Copies of any assignment 
records, digests, and indexes that are not available to the public shall 
be obtainable only upon written authority of an inventor, the applicant, 
the assignee or an assignee of an undivided part interest, or a patent 
practitioner of record, 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 in this 
part.
    (c) 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 Sec.1.14, or any information with 
respect thereto, must:
    (1) Be in the form of a petition including the fee set forth in 
Sec.1.17(g); or
    (2) Include written authority granting access to the member of the 
public to the particular assignment records from an inventor, the 
applicant, the assignee or an assignee of an undivided part interest, or 
a patent practitioner of record.
    (d) 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 Sec.1.21(j) will be 
made for the time consumed in making a search for such assignment.

(35 U.S.C. 6; 15 U.S.C. 1113, 1123)

[47 FR 41272, Sept. 17, 1982, as amended at 54 FR 6900, Feb. 15, 1989; 
56 FR 65151, Dec. 13, 1991; 56 FR 66670, Dec. 24, 1991; 57 FR 29641, 
July 6, 1992; 60 FR 20221, Apr. 25, 1995; 61 FR 42802, Aug. 19, 1996; 65 
FR 54657, Sept. 8, 2000; 65 FR 57051, Sept. 20, 2000; 68 FR 48288, Aug. 
13, 2003; 69 FR 29877, May 26, 2004; 69 FR 56536, Sept. 21, 2004; 77 FR 
48812, Aug. 14, 2012]



Sec.1.13  Copies and certified copies.

    (a) Non-certified copies of patents, and patent application 
publications and of any records, books, papers, or drawings within the 
jurisdiction of the United States Patent and Trademark Office and open 
to the public, will be furnished by the United States Patent and 
Trademark Office to any person,

[[Page 25]]

and copies of other records or papers will be furnished to persons 
entitled thereto, upon payment of the appropriate fee. See Sec.2.201 
of this chapter regarding copies of trademark records.
    (b) Certified copies of patents, patent application publications, 
and trademark registrations and of any records, books, papers, or 
drawings within the jurisdiction of the United States Patent and 
Trademark Office and open to the public or persons entitled thereto will 
be authenticated by the seal of the United States Patent and Trademark 
Office and certified by the Director, or in his or her name, upon 
payment of the fee for the certified copy.

[68 FR 48288, Aug. 13, 2003, as amended at 68 FR 71006, Dec. 22, 2003]



Sec.1.14  Patent applications preserved in confidence.

    (a) Confidentiality of patent application information. Patent 
applications that have not been published under 35 U.S.C. 122(b) are 
generally preserved in confidence pursuant to 35 U.S.C. 122(a). 
Information concerning the filing, pendency, or subject matter of an 
application for patent, including status information, and access to the 
application, will only be given to the public as set forth in Sec.1.11 
or in this section.
    (1) Records associated with patent applications (see paragraph (g) 
of this section for international applications and paragraph (j) of this 
section for international design applications) may be available in the 
following situations:
    (i) Patented applications and statutory invention registrations. The 
file of an application that has issued as a patent or published as a 
statutory invention registration is available to the public as set forth 
in Sec.1.11(a). A copy of the patent application-as-filed, the file 
contents of the application, or a specific document in the file of such 
an application may be provided upon request and payment of the 
appropriate fee set forth in Sec.1.19(b).
    (ii) Published abandoned applications. The file of an abandoned 
published application is available to the public as set forth in Sec.
1.11(a). A copy of the application-as-filed, the file contents of the 
published application, or a specific document in the file of the 
published application may be provided to any person upon request and 
payment of the appropriate fee set forth in Sec.1.19(b).
    (iii) Published pending applications. A copy of the application-as-
filed, the file contents of the application, or a specific document in 
the file of a pending published application may be provided to any 
person upon request and payment of the appropriate fee set forth in 
Sec.1.19(b). If a redacted copy of the application was used for the 
patent application publication, the copy of the specification, drawings, 
and papers may be limited to a redacted copy. The Office will not 
provide access to the paper file of a pending application that has been 
published, except as provided in paragraph (c) or (i) of this section.
    (iv) Unpublished abandoned applications (including provisional 
applications) that are identified or relied upon. The file contents of 
an unpublished, abandoned application may be made available to the 
public if the application is identified in a U.S. patent, a statutory 
invention registration, a U.S. patent application publication, an 
international publication of an international application under PCT 
Article 21(2), or a publication of an international registration under 
Hague Agreement Article 10(3) of an international design application 
designating the United States. An application is considered to have been 
identified in a document, such as a patent, when the application number 
or serial number and filing date, first named inventor, title, and 
filing date or other application specific information are provided in 
the text of the patent, but not when the same identification is made in 
a paper in the file contents of the patent and is not included in the 
printed patent. Also, the file contents may be made available to the 
public, upon a written request, if benefit of the abandoned application 
is claimed under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c) in an 
application that has issued as a U.S. patent, or has published as a 
statutory invention registration, a U.S. patent application publication, 
an international publication of an international application under PCT 
Article 21(2), or a publication of an international registration under 
Hague Agreement Article 10(3). A copy of the application-as-filed, the 
file

[[Page 26]]

contents of the application, or a specific document in the file of the 
application may be provided to any person upon written request and 
payment of the appropriate fee (Sec.1.19(b)).
    (v) Unpublished pending applications (including provisional 
applications) whose benefit is claimed. A copy of the file contents of 
an unpublished pending application may be provided to any person, upon 
written request and payment of the appropriate fee (Sec.1.19(b)), if 
the benefit of the application is claimed under 35 U.S.C. 119(e), 120, 
121, 365(c), or 386(c) in an application that has issued as a U.S. 
patent, or in an application that has published as a statutory invention 
registration, a U.S. patent application publication, an international 
publication of an international application under PCT Article 21(2), or 
a publication of an international registration under Hague Agreement 
Article 10(3). A copy of the application-as-filed or a specific document 
in the file of the pending application may also be provided to any 
person upon written request and payment of the appropriate fee (Sec.
1.19(b)). The Office will not provide access to the paper file of a 
pending application, except as provided in paragraph (c) or (i) of this 
section.
    (vi) Unpublished pending applications (including provisional 
applications) that are incorporated by reference or otherwise 
identified. A copy of the application as originally filed of an 
unpublished pending application may be provided to any person, upon 
written request and payment of the appropriate fee (Sec.1.19(b)), if 
the application is incorporated by reference or otherwise identified in 
a U.S. patent, a statutory invention registration, a U.S. patent 
application publication, an international publication of an 
international application under PCT Article 21(2), or a publication of 
an international registration under Hague Agreement Article 10(3) of an 
international design application designating the United States. The 
Office will not provide access to the paper file of a pending 
application, except as provided in paragraph (c) or (i) of this section.
    (vii) When a petition for access or a power to inspect is required. 
Applications that were not published or patented, that are not the 
subject of a benefit claim under 35 U.S.C. 119(e), 120, 121, 365(c), or 
386(c) in an application that has issued as a U.S. patent, an 
application that has published as a statutory invention registration, a 
U.S. patent application publication, an international publication of an 
international application under PCT Article 21(2), or a publication of 
an international registration under Hague Agreement Article 10(3), or 
are not identified in a U.S. patent, a statutory invention registration, 
a U.S. patent application publication, an international publication of 
an international application under PCT Article 21(2), or a publication 
of an international registration under Hague Agreement Article 10(3) of 
an international design application designating the United States, are 
not available to the public. If an application is identified in the file 
contents of another application, but not the published patent 
application or patent itself, a granted petition for access (see 
paragraph (i)) or a power to inspect (see paragraph (c) of this section) 
is necessary to obtain the application, or a copy of the application.
    (2) Information concerning a patent application may be communicated 
to the public if the patent application is identified in a published 
patent document or in an application as set forth in paragraphs 
(a)(1)(i) through (a)(1)(vi) of this section. The information that may 
be communicated to the public (i.e., status information) includes:
    (i) Whether the application is pending, abandoned, or patented;
    (ii) Whether the application has been published under 35 U.S.C. 
122(b);
    (iii) The application ``numerical identifier'' which may be:
    (A) The eight-digit application number (the two-digit series code 
plus the six-digit serial number); or
    (B) The six-digit serial number plus any one of the filing date of 
the national application, the international filing date, or date of 
entry into the national stage; and
    (iv) Whether another application claims the benefit of the 
application (i.e., whether there are any applications that claim the 
benefit of the filing date under 35 U.S.C. 119(e), 120, 121, 365, or 386 
of the application), and if there are any such applications, the

[[Page 27]]

numerical identifier of the application, the specified relationship 
between the applications (e.g., continuation), whether the application 
is pending, abandoned or patented, and whether the application has been 
published under 35 U.S.C. 122(b).
    (b) Electronic access to an application. Where a copy of the 
application file or access to the application may be made available 
pursuant to this section, the Office may at its discretion provide 
access to only an electronic copy of the specification, drawings, and 
file contents of the application.
    (c) Power to inspect a pending or abandoned application. Access to 
an application may be provided to any person if the application file is 
available, and the application contains written authority (e.g., a power 
to inspect) granting access to such person. The written authority must 
be signed by:
    (1) The applicant;
    (2) A patent practitioner of record;
    (3) The assignee or an assignee of an undivided part interest;
    (4) The inventor or a joint inventor; or
    (5) A registered attorney or agent named in the papers accompanying 
the application papers filed under Sec.1.53 or the national stage 
documents filed under Sec.1.495, if a power of attorney has not been 
appointed under Sec.1.32.
    (d) Applications reported to Department of Energy. Applications for 
patents which appear to disclose, purport to disclose or do disclose 
inventions or discoveries relating to atomic energy are reported to the 
Department of Energy, which Department will be given access to the 
applications. Such reporting does not constitute a determination that 
the subject matter of each application so reported is in fact useful or 
is an invention or discovery, or that such application in fact discloses 
subject matter in categories specified by 42 U.S.C. 2181(c) and (d).
    (e) Decisions by the Director. Any decision by the Director that 
would not otherwise be open to public inspection may be published or 
made available for public inspection if:
    (1) The Director believes the decision involves an interpretation of 
patent laws or regulations that would be of precedential value; and
    (2) The applicant is given notice and an opportunity to object in 
writing within two months on the ground that the decision discloses a 
trade secret or other confidential information. Any objection must 
identify the deletions in the text of the decision considered necessary 
to protect the information, or explain why the entire decision must be 
withheld from the public to protect such information. An applicant or 
party will be given time, not less than twenty days, to request 
reconsideration and seek court review before any portions of a decision 
are made public under this paragraph over his or her objection.
    (f) Notice to inventor of the filing of an application. The Office 
may publish notice in the Official Gazette as to the filing of an 
application on behalf of an inventor by a person who otherwise shows 
sufficient proprietary interest in the matter.
    (g) International applications. (1) Copies of international 
application files for international applications which designate the 
U.S. and which have been published in accordance with PCT Article 21(2), 
or copies of a document in such application files, will be furnished in 
accordance with PCT Articles 30 and 38 and PCT Rules 94.2 and 94.3, upon 
written request including a showing that the publication of the 
application has occurred and that the U.S. was designated, and upon 
payment of the appropriate fee (see Sec.1.19(b)), if:
    (i) With respect to the Home Copy (the copy of the international 
application kept by the Office in its capacity as the Receiving Office, 
see PCT Article 12(1)), the international application was filed with the 
U.S. Receiving Office;
    (ii) With respect to the Search Copy (the copy of an international 
application kept by the Office in its capacity as the International 
Searching Authority, see PCT Article 12(1)), the U.S. acted as the 
International Searching Authority, except for the written opinion of the 
International Searching Authority which shall not be available until the 
expiration of thirty months from the priority date; or

[[Page 28]]

    (iii) With respect to the Examination Copy (the copy of an 
international application kept by the Office in its capacity as the 
International Preliminary Examining Authority), the United States acted 
as the International Preliminary Examining Authority, an International 
Preliminary Examination Report has issued, and the United States was 
elected.
    (2) A copy of an English language translation of a publication of an 
international application which has been filed in the United States 
Patent and Trademark Office pursuant to 35 U.S.C. 154(d)(4) will be 
furnished upon written request including a showing that the publication 
of the application in accordance with PCT Article 21(2) has occurred and 
that the U.S. was designated, and upon payment of the appropriate fee 
(Sec.1.19(b)(4)).
    (3) Access to international application files for international 
applications which designate the U.S. and which have been published in 
accordance with PCT Article 21(2), or copies of a document in such 
application files, will be permitted in accordance with PCT Articles 30 
and 38 and PCT Rules 44ter.1, 94.2 and 94.3, upon written request 
including a showing that the publication of the application has occurred 
and that the U.S. was designated.
    (4) In accordance with PCT Article 30, copies of an international 
application-as-filed under paragraph (a) of this section will not be 
provided prior to the international publication of the application 
pursuant to PCT Article 21(2).
    (5) Access to international application files under paragraphs 
(a)(1)(i) through (a)(1)(vi) and (g)(3) of this section will not be 
permitted with respect to the Examination Copy in accordance with PCT 
Article 38.
    (h) Access by a Foreign Intellectual Property Office. (1) Access to 
an application-as-filed may be provided to any foreign intellectual 
property office participating with the Office in a bilateral or 
multilateral priority document exchange agreement (participating foreign 
intellectual property office), if the application contains written 
authority granting such access. Written authority provided under this 
paragraph (h)(1) will be treated as authorizing the Office to provide 
the following to all participating foreign intellectual property offices 
in accordance with their respective agreements with the Office:
    (i) A copy of the application-as-filed and its related bibliographic 
data;
    (ii) A copy of the application-as-filed of any application the 
filing date of which is claimed by the application in which written 
authority under this paragraph (h)(1) is filed and its related 
bibliographic data; and
    (iii) The date of filing of the written authorization under this 
paragraph (h)(1).
    (2) Access to the file contents of an application may be provided to 
a foreign intellectual property office that has imposed a requirement 
for information on a counterpart application filed with the foreign 
intellectual property office where the foreign intellectual property 
office is a party to a bilateral or multilateral agreement with the 
Office to provide the required information from the application filed 
with the Office and the application contains written authority granting 
such access. Written authority provided under this paragraph (h)(2) will 
be treated as authorizing the Office to provide the following to all 
foreign intellectual property offices in accordance with their 
respective agreements with the Office:
    (i) Bibliographic data related to the application; and
    (ii) Any content of the application file necessary to satisfy the 
foreign intellectual property office requirement for information imposed 
on the counterpart application as indicated in the respective agreement.
    (3) Written authority provided under paragraphs (h)(1) and (h)(2) of 
this section must include the title of the invention (Sec.1.72(a)), 
comply with the requirements of paragraph (c) of this section, and be 
submitted on an application data sheet (Sec.1.76) or on a separate 
document (Sec.1.4(c)). The written authority provided under these 
paragraphs should be submitted before filing any subsequent foreign 
application in which priority is claimed to the application.
    (i) Access or copies in other circumstances. The Office, either sua 
sponte or on petition, may also provide

[[Page 29]]

access or copies of all or part of an application if necessary to carry 
out an Act of Congress or if warranted by other special circumstances. 
Any petition by a member of the public seeking access to, or copies of, 
all or part of any pending or abandoned application preserved in 
confidence pursuant to paragraph (a) of this section, or any related 
papers, must include:
    (1) The fee set forth in Sec.1.17(g); and
    (2) A showing that access to the application is necessary to carry 
out an Act of Congress or that special circumstances exist which warrant 
petitioner being granted access to all or part of the application.
    (j) International design applications. (1) With respect to an 
international design application maintained by the Office in its 
capacity as a designated office (Sec.1.1003) for national processing, 
the records associated with the international design application may be 
made available as provided under paragraphs (a) through (i) of this 
section.
    (2) With respect to an international design application maintained 
by the Office in its capacity as an office of indirect filing (Sec.
1.1002), the records of the international design application may be made 
available under paragraph (j)(1) of this section where contained in the 
file of the international design application maintained by the Office 
for national processing. Also, if benefit of the international design 
application is claimed under 35 U.S.C. 386(c) in a U.S. patent or 
published application, the file contents of the application may be made 
available to the public, or the file contents of the application, a copy 
of the application-as-filed, or a specific document in the file of the 
application may be provided to any person upon written request and 
payment of the appropriate fee (Sec.1.19(b)).

[68 FR 38624, June 30, 2003, as amended at 68 FR 59886, Oct. 20, 2003; 
68 FR 67805, Dec. 4, 2003; 68 FR 71006, Dec. 22, 2003; 69 FR 49997, Aug. 
12, 2004; 69 FR 56536, Sept. 21, 2004; 72 FR 1667, Jan. 16, 2007; 77 FR 
48812, Aug. 14, 2012; 78 FR 11052, Feb. 14, 2013; 80 FR 17953, Apr. 2, 
2015; 80 FR 65655, Oct. 27, 2015]



Sec.1.15  [Reserved]

                        Fees and Payment of Money

    Authority: Sections 1.16 through 1.22 also issued under 35 U.S.C. 
41, 111, 119, 120, 132(b), 156, 157, 255, 302, and 311, Public Laws 103-
465, 106-113, and 112-29.



Sec.1.16  National application filing, search, and examination fees.

    (a) Basic fee for filing each application under 35 U.S.C. 111 for an 
original patent, except design, plant, or provisional applications:

                        Table 1 to Paragraph (a)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $80.00
By a small entity (Sec. 1.27(a)).........................       160.00
By a small entity (Sec. 1.27(a)) if the application is           80.00
 submitted in compliance with the Office electronic filing
 system (Sec. 1.27(b)(2))................................
By other than a small or micro entity......................       320.00
------------------------------------------------------------------------

    (b) Basic fee for filing each application under 35 U.S.C. 111 for an 
original design patent:

                        Table 2 to Paragraph (b)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $55.00
By a small entity (Sec. 1.27(a)).........................       110.00
By other than a small or micro entity......................       220.00
------------------------------------------------------------------------

    (c) Basic fee for filing each application for an original plant 
patent:

                        Table 3 to Paragraph (c)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $55.00
By a small entity (Sec. 1.27(a)).........................       110.00
By other than a small or micro entity......................       220.00
------------------------------------------------------------------------

    (d) Basic fee for filing each provisional application:

                        Table 4 to Paragraph (d)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $75.00
By a small entity (Sec. 1.27(a)).........................       150.00
By other than a small or micro entity......................       300.00
------------------------------------------------------------------------

    (e) Basic fee for filing each application for the reissue of a 
patent:

                        Table 5 to Paragraph (e)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $80.00
By a small entity (Sec. 1.27(a)).........................       160.00
By other than a small or micro entity......................       320.00
------------------------------------------------------------------------


[[Page 30]]

    (f) Surcharge for filing the basic filing fee, search fee, 
examination fee, or the inventor's oath or declaration on a date later 
than the filing date of the application, an application that does not 
contain at least one claim on the filing date of the application, or an 
application filed by reference to a previously filed application under 
Sec.1.57(a), except provisional applications:

                        Table 6 to Paragraph (f)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $40.00
By a small entity (Sec. 1.27(a)).........................        80.00
By other than a small or micro entity......................       160.00
------------------------------------------------------------------------

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

                        Table 7 to Paragraph (g)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)..............................     $15.00
By a small entity (Sec. 1.27(a))...........................      30.00
By other than a small or micro entity........................      60.00
------------------------------------------------------------------------

    (h) In addition to the basic filing fee in an application, other 
than a provisional application, for filing or later presentation at any 
other time of each claim in independent form in excess of three:

                        Table 8 to Paragraph (h)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $120.00
By a small entity (Sec. 1.27(a)).........................       240.00
By other than a small or micro entity......................       480.00
------------------------------------------------------------------------

    (i) In addition to the basic filing fee in an application, other 
than a provisional application, for filing or later presentation at any 
other time of each claim (whether dependent or independent) in excess of 
20 (note that Sec.1.75(c) indicates how multiple dependent claims are 
considered for fee calculation purposes):

                        Table 9 to Paragraph (i)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $25.00
By a small entity (Sec. 1.27(a)).........................        50.00
By other than a small or micro entity......................       100.00
------------------------------------------------------------------------

    (j) In addition to the basic filing fee in an application, other 
than a provisional application, that contains, or is amended to contain, 
a multiple dependent claim, per application:

                        Table 10 to Paragraph (j)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $215.00
By a small entity (Sec. 1.27(a)).........................       430.00
By other than a small or micro entity......................       860.00
------------------------------------------------------------------------

    (k) Search fee for each application filed under 35 U.S.C. 111 for an 
original patent, except design, plant, or provisional applications:

                        Table 11 to Paragraph (k)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $175.00
By a small entity (Sec. 1.27(a)).........................       350.00
By other than a small or micro entity......................       700.00
------------------------------------------------------------------------

    (l) Search fee for each application under 35 U.S.C. 111 for an 
original design patent:

                        Table 12 to Paragraph (l)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $40.00
By a small entity (Sec. 1.27(a)).........................        80.00
By other than a small or micro entity......................       160.00
------------------------------------------------------------------------

    (m) Search fee for each application for an original plant patent:

                        Table 13 to Paragraph (m)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $110.00
By a small entity (Sec. 1.27(a)).........................       220.00
By other than a small or micro entity......................       440.00
------------------------------------------------------------------------

    (n) Search fee for each application for the reissue of a patent:

                        Table 14 to Paragraph (n)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $175.00
By a small entity (Sec. 1.27(a)).........................       350.00
By other than a small or micro entity......................       700.00
------------------------------------------------------------------------

    (o) Examination fee for each application filed under 35 U.S.C. 111 
for an original patent, except design, plant, or provisional 
applications:

                        Table 15 to Paragraph (o)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $200.00
By a small entity (Sec. 1.27(a)).........................       400.00
By other than a small or micro entity......................       800.00
------------------------------------------------------------------------

    (p) Examination fee for each application under 35 U.S.C. 111 for an 
original design patent:

[[Page 31]]



                        Table 16 to Paragraph (p)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $160.00
By a small entity (Sec. 1.27(a)).........................       320.00
By other than a small or micro entity......................       640.00
------------------------------------------------------------------------

    (q) Examination fee for each application for an original plant 
patent:

                        Table 17 to Paragraph (q)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $165.00
By a small entity (Sec. 1.27(a)).........................       330.00
By other than a small or micro entit.......................       660.00
------------------------------------------------------------------------

    (r) Examination fee for each application for the reissue of a 
patent:

                        Table 18 to Paragraph (r)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $580.00
By a small entity (Sec. 1.27(a)).........................     1,160.00
By other than a small or micro entity......................     2,320.00
------------------------------------------------------------------------

    (s) Application size fee for any application filed under 35 
U.S.C.111 for the specification and drawings which exceed 100 sheets of 
paper, for each additional 50 sheets or fraction thereof:

                        Table 19 to Paragraph (s)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $105.00
By a small entity (Sec. 1.27(a)).........................       210.00
By other than a small or micro entity......................       420.00
------------------------------------------------------------------------

    (t) Non-electronic filing fee for any application under 35 U.S.C. 
111(a) that is filed on or after November 15, 2011, other than by the 
Office electronic filing system, except for a reissue, design, or plant 
application:

                        Table 20 to Paragraph (t)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a small entity (Sec. 1.27(a))...........................    $200.00
By other than a small entity.................................    $400.00
------------------------------------------------------------------------

    Note to Sec.1.16: See Sec. Sec.1.445, 1.482 and 1.492 for 
international application filing and processing fees.

[70 FR 3887, Jan. 27, 2005, as amended at 70 FR 30365, May 26, 2005; 72 
FR 46901, Aug. 22, 2007; 73 FR 47540, Aug. 14, 2008; 76 FR 70653, Nov. 
15, 2011; 77 FR 48812, Aug. 14, 2012; 77 FR 54365, Sept. 5, 2012; 78 FR 
4284, Jan. 18, 2013; 78 FR 62395, Oct. 21, 2013; 80 FR 17954, Apr. 2, 
2015; 82 FR 52813, Nov. 14, 2017; 85 FR 46985, Aug. 3, 2020]

    Effective Date Note: At 85 FR 46985, Aug. 3, 2020, Sec.1.16 was 
amended by adding paragraph (u), effective Jan. 1, 2022. For the 
convenience of the user, the added text is set forth as follows:



Sec.1.16  National application filing, search, and examination fees.

                                * * * * *

    (u) Additional fee for any application filed on or after January 1, 
2022 under 35 U.S.C.111 for an original patent, except design, plant, or 
provisional applications, where the specification, claims, and/or 
abstract does not conform to the USPTO requirements for submission in 
DOCX format:

                        Table 21 to Paragraph (u)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $100.00
By a small entity (Sec. 1.27(a)).........................       200.00
By a small entity (Sec. 1.27(a)) if the application is          200.00
 submitted in compliance with the Office electronic filing
 system (Sec. 1.27(b)(2))................................
By other than a small or micro entity......................       400.00
------------------------------------------------------------------------



Sec.1.17  Patent application and reexamination processing fees.

    (a) Extension fees pursuant to Sec.1.136(a):
    (1) For reply within first month:

                       Table 1 to Paragraph (a)(1)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $55.00
By a small entity (Sec. 1.27(a)).........................       110.00
By other than a small or micro entity......................       220.00
------------------------------------------------------------------------

    (2) For reply within second month:

                       Table 2 to Paragraph (a)(2)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $160.00
By a small entity (Sec. 1.27(a)).........................       320.00
By other than a small or micro entity......................       640.00
------------------------------------------------------------------------

    (3) For reply within third month:

                       Table 3 to Paragraph (a)(3)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $370.00
By a small entity (Sec. 1.27(a)).........................       740.00
By other than a small or micro entity......................     1,480.00
------------------------------------------------------------------------

    (4) For reply within fourth month:

                       Table 4 to Paragraph (a)(4)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $580.00
By a small entity (Sec. 1.27(a)).........................     1,160.00
By other than a small or micro entity......................    $2,320.00
------------------------------------------------------------------------

    (5) For reply within fifth month:

[[Page 32]]



                       Table 5 to Paragraph (a)(5)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $790.00
By a small entity (Sec. 1.27(a)).........................     1,580.00
By other than a small or micro entity......................     3,160.00
------------------------------------------------------------------------

    (b) For fees in proceedings before the Patent Trial and Appeal 
Board, see Sec.41.20 and Sec.42.15 of this title.
    (c) For filing a request for prioritized examination under Sec.
1.102(e):

                        Table 6 to Paragraph (c)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................    $1,050.00
By a small entity (Sec. 1.27(a)).........................     2,100.00
By other than a small or micro entity......................     4,200.00
------------------------------------------------------------------------

    (d) For correction of inventorship in an application after the first 
action on the merits:

                        Table 7 to Paragraph (d)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $160.00
By a small entity (Sec. 1.27(a)).........................       320.00
By other than a small or micro entity......................       640.00
------------------------------------------------------------------------

    (e) To request continued examination pursuant to Sec.1.114:
    (1) For filing a first request for continued examination pursuant to 
Sec.1.114 in an application:

                       Table 8 to Paragraph (e)(1)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $340.00
By a small entity (Sec. 1.27(a)).........................       680.00
By other than a small or micro entity......................     1,360.00
------------------------------------------------------------------------

    (2) For filing a second or subsequent request for continued 
examination pursuant to Sec.1.114 in an application:

                       Table 9 to Paragraph (e)(2)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $500.00
By a small entity (Sec. 1.27(a)).........................     1,000.00
By other than a small or micro entity......................     2,000.00
------------------------------------------------------------------------

    (f) For filing a petition under one of the following sections that 
refers to this paragraph (f):

                        Table 10 to Paragraph (f)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $105.00
By a small entity (Sec. 1.27(a)).........................       210.00
By other than a small or micro entity......................       420.00
------------------------------------------------------------------------

Sec.1.36(a)--for revocation of a power of attorney by fewer than all 
          of the applicants.
Sec.1.53(e)--to accord a filing date.
Sec.1.182--for a decision on a question not specifically provided for 
          in an application for a patent.
Sec.1.183--to suspend the rules in an application for a patent.
Sec.1.741(b)--to accord a filing date to an application under Sec.
          1.740 for an extension of a patent term.
Sec.1.1023--to review the filing date of an international design 
          application.

    (g) For filing a petition under one of the following sections that 
refers to this paragraph (g):

                        Table 11 to Paragraph (g)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $55.00
By a small entity (Sec. 1.27(a)).........................       110.00
By other than a small or micro entity......................       220.00
------------------------------------------------------------------------

Sec.1.12--for access to an assignment record.
Sec.1.14--for access to an application.
Sec.1.46--for filing an application on behalf of an inventor by a 
          person who otherwise shows sufficient proprietary interest in 
          the matter.
Sec.1.55(f)--for filing a belated certified copy of a foreign 
          application.
Sec.1.55(g)--for filing a belated certified copy of a foreign 
          application.
Sec.1.57(a)--for filing a belated certified copy of a foreign 
          application.
Sec.1.59--for expungement of information.
Sec.1.103(a)--to suspend action in an application.
Sec.1.136(b)--for review of a request for an extension of time when 
          the provisions of Sec.1.136(a) are not available.
Sec.1.377--for review of a decision refusing to accept and record 
          payment of a maintenance fee filed prior to the expiration of 
          a patent.
Sec.1.550(c)--for patent owner requests for an extension of time in ex 
          parte reexamination proceedings.
Sec.1.956--for patent owner requests for an extension of time in inter 
          partes reexamination proceedings.
Sec.5.12 of this chapter--for expedited handling of a foreign filing 
          license.
Sec.5.15 of this chapter--for changing the scope of a license.
Sec.5.25 of this chapter--for a retroactive license.

    (h) For filing a petition under one of the following sections that 
refers to this paragraph (h):

                        Table 12 to Paragraph (h)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $35.00
By a small entity (Sec. 1.27(a)).........................        70.00
By other than a small or micro entity......................       140.00
------------------------------------------------------------------------


[[Page 33]]

Sec.1.84--for accepting color drawings or photographs.
Sec.1.91--for entry of a model or exhibit.
Sec.1.102(d)--to make an application special.
Sec.1.138(c)--to expressly abandon an application to avoid 
          publication.
Sec.1.313--to withdraw an application from issue.
Sec.1.314--to defer issuance of a patent.
    (i) Processing fees. (1) For taking action under one of the 
following sections that refers to this paragraph (i)(1):

                      Table 13 to Paragraph (i)(1)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $35.00
By a small entity (Sec. 1.27(a)).........................        70.00
By other than a small or micro entity......................       140.00
------------------------------------------------------------------------

Sec.1.28(c)(3)--for processing a non-itemized fee deficiency based on 
          an error in small entity status.
Sec.1.29(k)(3)--for processing a non-itemized fee deficiency based on 
          an error in micro entity status.
Sec.1.41(b)--for supplying the name or names of the inventor or joint 
          inventors in an application without either an application data 
          sheet or the inventor's oath or declaration, except in 
          provisional applications.
Sec.1.48--for correcting inventorship, except in provisional 
          applications.
Sec.1.52(d)--for processing a nonprovisional application filed with a 
          specification in a language other than English.
Sec.1.53(c)(3)--t convert a provisional application filed under Sec.
          1.53(c) into a nonprovisional application under Sec.1.53(b).
Sec.1.71(g)(2)--for processing a belated amendment under Sec.
          1.71(g).
Sec.1.102(e)--for requesting prioritized examination of an 
          application.
Sec.1.103(b)--for requesting limited suspension of action, continued 
          prosecution application for a design patent (Sec.1.53(d)).
Sec.1.103(c)--for requesting limited suspension of action, request for 
          continued examination (Sec.1.114).
Sec.1.103(d)--for requesting deferred examination of an application.
Sec.1.291(c)(5)--for processing a second or subsequent protest by the 
          same real party in interest.
Sec.3.81--for a patent to issue to assignee, assignment submitted 
          after payment of the issue fee.
    (2) For taking action under one of the following sections that 
refers to this paragraph (i)(2):

                      Table 14 to Paragraph (i)(2)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $140.00
By a small entity (Sec. 1.27(a)).........................       140.00
By other than a small or micro entity......................       140.00
------------------------------------------------------------------------

Sec.1.217--for processing a redacted copy of a paper submitted in the 
          file of an application in which a redacted copy was submitted 
          for the patent application publication.
Sec.1.221--for requesting voluntary publication or republication of an 
          application.
    (j) [Reserved]
    (k) For filing a request for expedited examination under Sec.
1.155(a):

                        Table 15 to Paragraph (k)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $400.00
By a small entity (Sec. 1.27(a)).........................       800.00
By other than a small or micro entity......................     1,600.00
------------------------------------------------------------------------

    (l) [Reserved]
    (m) For filing a petition for the revival of an abandoned 
application for a patent, for the delayed payment of the fee for issuing 
each patent, for the delayed response by the patent owner in any 
reexamination proceeding, for the delayed payment of the fee for 
maintaining a patent in force, for the delayed submission of a priority 
or benefit claim, for the extension of the 12-month (six-month for 
designs) period for filing a subsequent application (Sec. Sec.1.55(c) 
and (e); 1.78(b), (c), and (e); 1.137; 1.378; and 1.452), or for filing 
a petition to excuse an applicant's failure to act within prescribed 
time limits in an international design application (Sec.1.1051):

                        Table 16 to Paragraph (m)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $525.00
By a small entity (Sec. 1.27(a)).........................     1,050.00
By other than a small or micro entity......................     2,100.00
------------------------------------------------------------------------

    (n) [Reserved]
    (o) For every ten items or fraction thereof in a third-party 
submission under Sec.1.290:

                        Table 17 to Paragraph (o)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a small entity (Sec. 1.27(a)) or micro entity (Sec.$90.00
 1.29)......................................................
By other than a small entity................................     $180.00
------------------------------------------------------------------------

    (p) For an information disclosure statement under Sec.1.97(c) or 
(d):

[[Page 34]]



                        Table 18 to Paragraph (p)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $65.00
By a small entity (Sec. 1.27(a)).........................       130.00
By other than a small or micro entity......................       260.00
------------------------------------------------------------------------

    (q) Processing fee for taking action under one of the following 
sections that refers to this paragraph (q): $50.00

Sec.1.41--to supply the name or names of the inventor or inventors 
          after the filing date without a cover sheet as prescribed by 
          Sec.1.51(c)(1) in a provisional application.
Sec.1.48--for correction of inventorship in a provisional application.
Sec.1.53(c)(2)--to convert a nonprovisional application filed under 
          Sec.1.53(b) to a provisional application under Sec.
          1.53(c).

    (r) For entry of a submission after final rejection under Sec.
1.129(a):

                        Table 19 to Paragraph (r)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $220.00
By a small entity (Sec. 1.27(a)).........................       440.00
By other than a small or micro entity......................       880.00
------------------------------------------------------------------------

    (s) For each additional invention requested to be examined under 
Sec.1.129(b):

                        Table 20 to Paragraph (s)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $220.00
By a small entity (Sec. 1.27(a)).........................       440.00
By other than a small or micro entity......................       880.00
------------------------------------------------------------------------

    (t) For filing a petition to convert an international design 
application to a design application under 35 U.S.C. chapter 16 (Sec.
1.1052):

                        Table 21 to Paragraph (t)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $45.00
By a small entity (Sec. 1.27(a)).........................        90.00
By other than a small or micro entity......................       180.00
------------------------------------------------------------------------


[78 FR 17105, Mar. 20, 2013, as amended at 78 FR 62395, Oct. 21, 2013; 
78 FR 75252, Dec. 11, 2013; 80 FR 17954, Apr. 2, 2015; 82 FR 52814, Nov. 
14, 2017; 85 FR 46986, Aug. 3, 2020; 85 FR 58283, Sept. 18, 2020]



Sec.1.18  Patent post allowance (including issue) fees.

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

                        Table 1 to Paragraph (a)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $300.00
By a small entity (Sec. 1.27(a)).........................       600.00
By other than a small or micro entity......................     1,200.00
------------------------------------------------------------------------

    (b)(1) Issue fee for issuing an original design patent:

                       Table 2 to Paragraph (b)(1)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $185.00
By a small entity (Sec. 1.27(a)).........................       370.00
By other than a small or micro entity......................       740.00
------------------------------------------------------------------------

    (2) [Reserved]
    (3) Issue fee for issuing an international design application 
designating the United States, where the issue fee is paid through the 
International Bureau (Hague Agreement Rule 12(3)(c)) as an alternative 
to paying the issue fee under paragraph (b)(1) of this section: The 
amount established in Swiss currency pursuant to Hague Agreement Rule 28 
as of the date of mailing of the notice of allowance (Sec.1.311).
    (c) Issue fee for issuing an original plant patent:

                        Table 3 to Paragraph (c)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $210.00
By a small entity (Sec. 1.27(a)).........................       420.00
By other than a small or micro entity......................       840.00
------------------------------------------------------------------------


(d)(1) Publication fee on or after January 1, 2014..........       $0.00
(2) Publication fee before January 1, 2014..................      300.00
(3) Republication fee (Sec. 1.221(a)).....................     $320.00
(e) For filing an application for patent term adjustment          210.00
 under Sec. 1.705.........................................
(f) For filing a request for reinstatement of all or part of      420.00
 the term reduced pursuant to Sec. 1.704(b) in an
 application for a patent term adjustment under Sec. 1.705
 


[78 FR 4286, Jan. 18, 2013, as amended at 80 FR 17955, Apr. 2, 2015; 82 
FR 52814, Nov. 14, 2017; 85 FR 46988, Aug. 3, 2020; 85 FR 58283, Sept. 
18, 2020]



Sec.1.19  Document supply fees.

    The United States Patent and Trademark Office will supply copies of 
the following patent-related documents

[[Page 35]]

upon payment of the fees indicated. Paper copies will be in black and 
white unless the original document is in color, a color copy is 
requested and the fee for a color copy is paid.
    (a) Uncertified copies of patent application publications and 
patents:
    (1) Printed copy of the paper portion of a patent application 
publication or patent including a design patent, statutory invention 
registration, or defensive publication document. Service includes 
preparation of copies by the Office within two to three business days 
and delivery by United States Postal Service; and preparation of copies 
by the Office within one business day of receipt and delivery to an 
Office Box or by electronic means (e.g., facsimile, electronic mail): 
$3.00.
    (2) Printed copy of a plant patent in color: $15.00.
    (3) Color copy of a patent (other than a plant patent) or statutory 
invention registration containing a color drawing: $25.00.
    (b) Copies of Office documents to be provided in paper, or in 
electronic form, as determined by the Director (for other patent-related 
materials see Sec.1.21(k)):
    (1) Copy of a patent application as filed, or a patent-related file 
wrapper and contents, stored in paper in a paper file wrapper, in an 
image format in an image file wrapper, or if color documents, stored in 
paper in an Artifact Folder:
    (i) If provided on paper:
    (A) Application as filed: $35.00.
    (B) Copy Patent File Wrapper, Any Number of Sheets: $290.00
    (C) [Reserved]
    (D) Individual application documents, other than application as 
filed, per document: $25.00.
    (ii) If provided on compact disc or other physical electronic medium 
in single order or if provided electronically (e.g., by electronic 
transmission) other than on a physical electronic medium:
    (A) Application as filed: $35.00.
    (B) Copy Patent File Wrapper, Electronic, Any Size: $60.00
    (C) [Reserved]
    (iii) [Reserved]
    (iv) If provided to a foreign intellectual property office pursuant 
to a bilateral or multilateral agreement (see Sec.1.14(h)): $0.00.
    (2) [Reserved]
    (3) Copy of Office records, except copies available under paragraph 
(b)(1) or (2) of this section: $25.00.
    (4) For assignment records, abstract of title and certification, per 
patent: $35.00.
    (c) Library service (35 U.S.C. 13): For providing to libraries 
copies of all patents issued annually, per annum: $50.00.
    (d)-(e) [Reserved]
    (f) Uncertified copy of a non-United States patent document, per 
document: $25.00.
    (g) [Reserved]
    (h) Copy of Patent Grant Single-Page TIFF Images (52 week 
subscription): $10,400.00.
    (i) Copy of Patent Grant Full-Text W/Embedded Images, Patent 
Application Publication Single-Page TIFF Images, or Patent Application 
Publication Full-Text W/Embedded Images (52 week subscription): 
$5,200.00.

[78 FR 4287, Jan. 18, 2013, as amended at 80 FR 65655, Oct. 27, 2015; 82 
FR 52814, Nov. 14, 2017; 85 FR 46988, Aug. 3, 2020]



Sec.1.20  Post-issuance fees.

    (a) For providing a certificate of correction for an applicant's 
mistake (Sec.1.323): $160.00
    (b) Processing fee for correcting inventorship in a patent (Sec.
1.324): $160.00
    (c) In reexamination proceedings:
    (1)(i) For filing a request for ex parte reexamination (Sec.
1.510(a)) having:
    (A) 40 or fewer pages;
    (B) Lines that are double-spaced or one-and-a-half spaced;
    (C) Text written in a non-script type font such as Arial, Times New 
Roman, or Courier;
    (D) A font size no smaller than 12 point;
    (E) Margins that conform to the requirements of Sec.
1.52(a)(1)(ii); and
    (F) Sufficient clarity and contrast to permit direct reproduction 
and electronic capture by use of digital imaging and optical character 
recognition.

                     Table 1 to Paragraph (c)(1)(i)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................    $1,575.00
By a small entity (Sec. 1.27(a)).........................     3,150.00
By other than a small or micro entity......................     6,300.00
------------------------------------------------------------------------


[[Page 36]]

    (ii) The following parts of an ex parte reexamination request are 
excluded from paragraphs (c)(1)(i)(A) through (F) of this section:
    (A) The copies of every patent or printed publication relied upon in 
the request pursuant to Sec.1.510(b)(3)
    (B) The copy of the entire patent for which reexamination is 
requested pursuant to Sec.1.510(b)(4); and
    (C) The certifications required pursuant to Sec.1.510(b)(5) and 
(6).
    (2) For filing a request for ex parte reexamination (Sec.1.510(b)) 
that has sufficient clarity and contrast to permit direct reproduction 
and electronic capture by use of digital imaging and optical character 
recognition, and which otherwise does not comply with the provisions of 
paragraph (c)(1) of this section:

                       Table 2 to Paragraph (c)(2)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................    $3,150.00
By a small entity (Sec. 1.27(a)).........................     6,300.00
By other than a small or micro entity......................    12,600.00
------------------------------------------------------------------------

    (3) For filing with a request for reexamination or later 
presentation at any other time of each claim in independent form in 
excess of three and also in excess of the number of claims in 
independent form in the patent under reexamination:

                       Table 3 to Paragraph (c)(3)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $120.00
By a small entity (Sec. 1.27(a)).........................       240.00
By other than a small or micro entity......................       480.00
------------------------------------------------------------------------

    (4) For filing with a request for reexamination or later 
presentation at any other time of each claim (whether dependent or 
independent) in excess of 20 and also in excess of the number of claims 
in the patent under reexamination (note that Sec.1.75(c) indicates how 
multiple dependent claims are considered for fee calculation purposes):

                       Table 4 to Paragraph (c)(4)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $25.00
By a small entity (Sec. 1.27(a)).........................        50.00
By other than a small or micro entity......................       100.00
------------------------------------------------------------------------

    (5) If the excess claims fees required by paragraphs (c)(3) and (4) 
of this section are not paid with the request for reexamination or on 
later presentation of the claims for which the excess claims fees are 
due, the fees required by paragraphs (c)(3) and (4) 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 in order to 
avoid abandonment.
    (6) For filing a petition in a reexamination proceeding, except for 
those specifically enumerated in Sec. Sec.1.550(i) and 1.937(d):

                       Table 5 to Paragraph (c)(6)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $510.00
By a small entity (Sec. 1.27(a)).........................     1,020.00
By other than a small or micro entity......................     2,040.00
------------------------------------------------------------------------

    (7) For a refused request for ex parte reexamination under Sec.
1.510 (included in the request for ex parte reexamination fee at Sec.
1.20(c)(1) or (2)):

                       Table 6 to Paragraph (c)(7)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29).........................         $945.00
By a small entity (Sec. 1.27(a))......................        1,890.00
By other than a small or micro entity...................        3,780.00
------------------------------------------------------------------------

    (d) For filing each statutory disclaimer (Sec.1.321): $170.00
    (e) For maintaining an original or any 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 being due by 
three years and six months after the original grant:

                        Table 7 to Paragraph (e)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $500.00
By a small entity (Sec. 1.27(a)).........................     1,000.00
By other than a small or micro entity......................     2,000.00
------------------------------------------------------------------------

    (f) For maintaining an original or any 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 being due by 
seven years and six months after the original grant:

                        Table 8 to Paragraph (f)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $940.00
By a small entity (Sec. 1.27(a)).........................     1,880.00

[[Page 37]]

 
By other than a small or micro entity......................     3,760.00
------------------------------------------------------------------------

    (g) For maintaining an original or any 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 being due by 
eleven years and six months after the original grant:

                        Table 9 to Paragraph (g)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................    $1,925.00
By a small entity (Sec. 1.27(a)).........................     3,850.00
By other than a small or micro entity......................     7,700.00
------------------------------------------------------------------------

    (h) 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:

                        Table 10 to Paragraph (h)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $125.00
By a small entity (Sec. 1.27(a)).........................       250.00
By other than a small or micro entity......................       500.00
------------------------------------------------------------------------

    (i) [Reserved]
    (j) For filing an application for extension of the term of a patent:

                        Table 11 to Paragraph (j)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
(1) Application for extension under Sec. 1.740...........    $1,180.00
(2) Initial application for interim extension under Sec.440.00
 1.790.....................................................
(3) Subsequent application for interim extension under Sec. 230.00
   1.790...................................................
------------------------------------------------------------------------

    (k) In supplemental examination proceedings:
    (1) For processing and treating a request for supplemental 
examination:

                      Table 12 to Paragraph (k)(1)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................    $1,155.00
By a small entity (Sec. 1.27(a)).........................     2,310.00
By other than a small or micro entity......................     4,620.00
------------------------------------------------------------------------

    (2) For ex parte reexamination ordered as a result of a supplemental 
examination proceeding:

                      Table 13 to Paragraph (k)(2)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................    $3,175.00
By a small entity (Sec. 1.27(a)).........................     6,350.00
By other than a small or micro entity......................    12,700.00
------------------------------------------------------------------------

    (3) For processing and treating, in a supplemental examination 
proceeding, a non-patent document over 20 sheets in length, per 
document:
    (i) Between 21 and 50 sheets:

                     Table 14 to Paragraph (k)(3)(i)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $45.00
By a small entity (Sec. 1.27(a)).........................        90.00
By other than a small or micro entity......................       180.00
------------------------------------------------------------------------

    (ii) For each additional 50 sheets or a fraction thereof:

                    Table 15 to Paragraph (k)(3)(ii)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $75.00
By a small entity (Sec. 1.27(a)).........................       150.00
By other than a small or micro entity......................       300.00
------------------------------------------------------------------------


[85 FR 46988, Aug. 3, 2020, as amended at 85 FR 58283, Sept. 18, 2020]



Sec.1.21  Miscellaneous fees and charges.

    The Patent and Trademark Office has established the following fees 
for the services indicated:
    (a) Registration of attorneys and agents:
    (1) For admission to examination for registration to practice:
    (i) Application fee (non-refundable): $110.00
    (ii) Registration examination fee
    (A) For test administration by commercial entity: $210.00
    (B) [Reserved]
    (iii) For USPTO-administered review of registration examination: 
$470.00
    (iv) Request for extension of time in which to schedule examination 
for registration to practice (non-refundable): $115.00.
    (2) On registration to practice or grant of limited recognition:
    (i) On registration to practice under Sec.11.6 of this chapter: 
$210.00
    (ii) On grant of limited recognition under Sec.11.9(b) of this 
chapter: $210.00
    (iii) On change of registration from agent to attorney: $110.00
    (3) [Reserved]

[[Page 38]]

    (4) For certificate of good standing as an attorney or agent:
    (i) Standard: $40.00.
    (ii) Suitable for framing: $50.00.
    (5) For review of decision:
    (i) By the Director of Enrollment and Discipline under Sec.11.2(c) 
of this chapter: $420.00
    (ii) Of the Director of Enrollment and Discipline under Sec.
11.2(d) of this chapter: $420.00
    (6) Recovery/Retrieval of OED Information System Customer Interface 
account by USPTO:
    (i) [Reserved]
    (ii) For USPTO-assisted change of address: $70.00.
    (7)-(8) [Reserved]
    (9) Administrative reinstatement fees:
    (i) Delinquency fee: $50.00.
    (ii) Administrative reinstatement fee: $210.00
    (10) On application by a person for recognition or registration 
after disbarment or suspension on ethical grounds, or resignation 
pending disciplinary proceedings in any other jurisdiction; on 
application by a person for recognition or registration who is asserting 
rehabilitation from prior conduct that resulted in an adverse decision 
in the Office regarding the person's moral character; on application by 
a person for recognition or registration after being convicted of a 
felony or crime involving moral turpitude or breach of fiduciary duty; 
and on petition for reinstatement by a person excluded or suspended on 
ethical grounds, or excluded on consent from practice before the Office: 
$1,680.00
    (b) Deposit accounts:
    (1) [Reserved]
    (2) Service charge for each month when the balance at the end of the 
month is below $1,000: $25.00.
    (3) 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.
    (c)-(d) [Reserved]
    (e) 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.
    (f)-(g) [Reserved]
    (h) For recording each assignment, agreement, or other paper 
relating to the property in a patent or application, per property:
    (1) If submitted electronically, on or after January 1, 2014: $0.00.
    (2) If not submitted electronically: $50.00.
    (i) 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.
    (j) [Reserved]
    (k) For items and services that the director finds may be supplied, 
for which fees are not specified by statute or by this part, such 
charges as may be determined by the director with respect to each such 
item or service: Actual cost
    (l) [Reserved]
    (m) For processing each payment refused (including a check returned 
``unpaid'') or charged back by a financial institution: $50.00.
    (n) For handling an application in which proceedings are terminated 
pursuant to Sec.1.53(e): $140.00
    (o) The receipt of a very lengthy sequence listing (mega-sequence 
listing) in an application under 35 U.S.C. 111 or 371 is subject to the 
following fee:
    (1) First receipt by the Office of a sequence listing in electronic 
form ranging in size from 300MB to 800MB (without file compression):

                       Table 1 to Paragraph (o)(1)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $265.00
By a small entity (Sec. 1.27(a)).........................       530.00
By other than a small or micro entity......................     1,060.00
------------------------------------------------------------------------

    (2) First receipt by the Office of a sequence listing in electronic 
form exceeding 800MB in size (without file compression):

                       Table 2 to Paragraph (o)(2)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................    $2,625.00
By a small entity (Sec. 1.27(a)).........................     5,250.00
By other than a small or micro entity......................    10,500.00
------------------------------------------------------------------------

    (p) Additional Fee for Overnight Delivery: $40.00.

[[Page 39]]

    (q) Additional fee for expedited service: $170.00.

[82 FR 52815, Nov. 14, 2017, as amended at 85 FR 46989, Aug. 3, 2020, 85 
FR 58283, Sept. 18, 2020; 86 FR 28451, May 26, 2021]



Sec.1.22  Fees payable in advance.

    (a) Patent fees and charges payable to the United States 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 Sec.1.53 applications for 
patent may be assigned a filing date without payment of the basic filing 
fee.
    (b) All fees paid to the United States Patent and Trademark Office 
must 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. The Office may return fees that are not itemized as required 
by this paragraph. The provisions of Sec.1.5(a) do not apply to the 
resubmission of fees returned pursuant to this paragraph.

[68 FR 48288, Aug. 13, 2003]



Sec.1.23  Methods of payment.

    (a) All payments of money required for United States Patent and 
Trademark Office fees, including fees for the processing of 
international applications (Sec.1.445), shall be made in U.S. dollars 
and in the form of a cashier's or certified check, Treasury note, 
national bank notes, or United States Postal Service money order. If 
sent in any other form, the Office may delay or cancel the credit until 
collection is made. Checks and money orders must be made payable to the 
Director of the United States Patent and Trademark Office. (Checks made 
payable to the Commissioner of Patents and Trademarks will continue to 
be accepted.) Payments from foreign countries must be payable and 
immediately negotiable in the United States for the full amount of the 
fee required. Money sent to the Office by mail will be at the risk of 
the sender, and letters containing money should be registered with the 
United States Postal Service.
    (b) Payments of money required for United States Patent and 
Trademark Office fees may also be made by credit card, except for 
replenishing a deposit account. Payment of a fee by credit card must 
specify the amount to be charged to the credit card and such other 
information as is necessary to process the charge, and is subject to 
collection of the fee. The Office will not accept a general 
authorization to charge fees to a credit card. If credit card 
information is provided on a form or document other than a form provided 
by the Office for the payment of fees by credit card, the Office will 
not be liable if the credit card number becomes public knowledge.
    (c) A fee transmittal letter may be signed by a juristic applicant 
or patent owner.

[65 FR 33455, May 24, 2000, as amended at 69 FR 43752, July 22, 2004; 78 
FR 62395, Oct. 21, 2013]



Sec.1.24  [Reserved]



Sec.1.25  Deposit accounts.

    (a) 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 (Sec.1.21(b)(1)). A minimum deposit of $1,000 is required for 
paying any fees 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. 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 (Sec.
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,

[[Page 40]]

a service charge (Sec.1.21(b)(3)) will be assessed for each month that 
the balance at the end of the month is below $300.
    (b) Filing, issue, appeal, international-type search report, 
international application processing, international design application 
fees, 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 Sec. Sec.1.16 through 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 a particular paper filed. 
A general authorization to charge fees in an international design 
application set forth in Sec.1.1031 will only be effective for the 
transmittal fee (Sec.1.1031(a)). An authorization to charge fees under 
Sec.1.16 in an international application entering the national stage 
under 35 U.S.C. 371 will be treated as an authorization to charge fees 
under Sec.1.492. An authorization to charge fees set forth in Sec.
1.18 to a deposit account is subject to the provisions of Sec.
1.311(b). An authorization to charge to a deposit account the fee for a 
request for reexamination pursuant to Sec.1.510 or 1.913 and any other 
fees required in a reexamination proceeding in a patent may also be 
filed with the request for reexamination, and an authorization to charge 
to a deposit account the fee for a request for supplemental examination 
pursuant to Sec.1.610 and any other fees required in a supplemental 
examination proceeding in a patent may also be filed with the request 
for supplemental examination. 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 unless sufficient funds 
are present in the account to cover the fee.
    (c) A deposit account holder may replenish the deposit account by 
submitting a payment to the United States Patent and Trademark Office. A 
payment to replenish a deposit account must be submitted by one of the 
methods set forth in paragraphs (c)(1), (c)(2), (c)(3), or (c)(4) of 
this section.
    (1) A payment to replenish a deposit account may be submitted by 
electronic funds transfer through the Federal Reserve Fedwire System, 
which requires that the following information be provided to the deposit 
account holder's bank or financial institution:
    (i) Name of the Bank, which is Treas NYC (Treasury New York City);
    (ii) Bank Routing Code, which is 021030004;
    (iii) United States Patent and Trademark Office account number with 
the Department of the Treasury, which is 13100001; and
    (iv) The deposit account holder's company name and deposit account 
number.
    (2) A payment to replenish a deposit account may be submitted by 
electronic funds transfer over the Office's Internet Web site 
(www.uspto.gov).
    (3) A payment to replenish a deposit account may be addressed to: 
Director of the United States Patent and Trademark Office, Attn: Deposit 
Accounts, 2051 Jamieson Avenue, Suite 300, Alexandria, Virginia 22314.

(35 U.S.C. 6, Pub. L. 97-247)

[49 FR 553, Jan. 4, 1984, as amended at 50 FR 31826, Aug. 6, 1985; 65 FR 
76772, Dec. 7, 2000; 67 FR 523, Jan. 4, 2002; 68 FR 14336, Mar. 25, 
2003; 69 FR 43752, July 22, 2004; 70 FR 56127, Sept. 26, 2005; 73 FR 
47541, Aug. 14, 2008; 78 FR 62395, Oct. 21, 2013; 80 FR 17955, Apr. 2, 
2015]



Sec.1.26  Refunds.

    (a) The Director may refund any fee paid by mistake or in excess of 
that required. A change of purpose after the payment of a fee, such as 
when a party desires to withdraw a patent filing for which the fee was 
paid, including an application, an appeal, or a request for an oral 
hearing, will not entitle a party to a refund of such fee. The Office 
will not refund amounts of twenty-five dollars or less unless a refund 
is specifically requested, and will not notify the payor of such 
amounts. If a party paying a fee or requesting a refund does not provide 
the banking information necessary for making refunds by electronic funds 
transfer (31 U.S.C. 3332 and 31 CFR part 208), or instruct the Office 
that refunds are to be credited to a deposit account, the Director may 
require such information, or use the banking information on the payment 
instrument to make a refund. Any refund of a fee paid by credit card 
will be

[[Page 41]]

by a credit to the credit card account to which the fee was charged.
    (b) Any request for refund must be filed within two years from the 
date the fee was paid, except as otherwise provided in this paragraph or 
in Sec.1.28(a). If the Office charges a deposit account by an amount 
other than an amount specifically indicated in an authorization (Sec.
1.25(b)), any request for refund based upon such charge must be filed 
within two years from the date of the deposit account statement 
indicating such charge, and include a copy of that deposit account 
statement. The time periods set forth in this paragraph are not 
extendable.
    (c) If the Director decides not to institute a reexamination 
proceeding in response to a request for reexamination or supplemental 
examination, fees paid with the request for reexamination or 
supplemental examination will be refunded or returned in accordance with 
paragraphs (c)(1) through (c)(3) of this section. The reexamination 
requester or the patent owner who requested a supplemental examination 
proceeding, as appropriate, should indicate the form in which any refund 
should be made (e.g., by check, electronic funds transfer, credit to a 
deposit account). Generally, refunds will be issued in the form that the 
original payment was provided.
    (1) For an ex parte reexamination request, the ex parte 
reexamination filing fee paid by the reexamination requester, less the 
fee set forth in Sec.1.20(c)(7), will be refunded to the requester if 
the Director decides not to institute an ex parte reexamination 
proceeding.
    (2) For an inter partes reexamination request, a refund of $7,970 
will be made to the reexamination requester if the Director decides not 
to institute an inter partes reexamination proceeding.
    (3) For a supplemental examination request, the fee for 
reexamination ordered as a result of supplemental examination, as set 
forth in Sec.1.20(k)(2), will be returned to the patent owner who 
requested the supplemental examination proceeding if the Director 
decides not to institute a reexamination proceeding.

(35 U.S.C. 6; 15 U.S.C. 1113, 1123)

[47 FR 41274, Sept. 17, 1982, as amended at 50 FR 31826, Aug. 6, 1985; 
54 FR 6902, Feb. 15, 1989; 56 FR 65153, Dec. 13, 1991; 57 FR 38195, Aug. 
21, 1992; 62 FR 53183, Oct. 10, 1997; 65 FR 54659, Sept. 8, 2000; 65 FR 
76773, Dec. 7, 2000; 68 FR 48289, Aug. 13, 2003; 72 FR 46836, Aug. 21, 
2007; 74 FR 52688, Oct. 14, 2009; 77 FR 48851, Aug. 14, 2012]



Sec.1.27  Definition of small entities and establishing status as
a small entity to permit payment of small entity fees; when a 
determination of entitlement to small entity status and notification
of loss of entitlement to small entity status are required;
fraud on the Office.

    (a) Definition of small entities. A small entity as used in this 
chapter means any party (person, small business concern, or nonprofit 
organization) under paragraphs (a)(1) through (a)(3) of this section.
    (1) Person. A person, as used in paragraph (c) of this section, 
means any inventor or other individual (e.g., an individual to whom an 
inventor has transferred some rights in the invention) who has not 
assigned, granted, conveyed, or licensed, and is under no obligation 
under contract or law to assign, grant, convey, or license, any rights 
in the invention. An inventor or other individual who has transferred 
some rights in the invention to one or more parties, or is under an 
obligation to transfer some rights in the invention to one or more 
parties, can also qualify for small entity status if all the parties who 
have had rights in the invention transferred to them also qualify for 
small entity status either as a person, small business concern, or 
nonprofit organization under this section.
    (2) Small business concern. A small business concern, as used in 
paragraph (c) of this section, means any business concern that:
    (i) Has not assigned, granted, conveyed, or licensed, and is under 
no obligation under contract or law to assign, grant, convey, or 
license, any rights in the invention to any person, concern, or 
organization which would not qualify for small entity status as a 
person, small business concern, or nonprofit organization; and

[[Page 42]]

    (ii) Meets the size standards set forth in 13 CFR 121.801 through 
121.805 to be eligible for reduced patent fees. Questions related to 
standards for a small business concern may be directed to: Small 
Business Administration, Size Standards Staff, 409 Third Street, SW., 
Washington, DC 20416.
    (3) Nonprofit organization. A nonprofit organization, as used in 
paragraph (c) of this section, means any nonprofit organization that:
    (i) Has not assigned, granted, conveyed, or licensed, and is under 
no obligation under contract or law to assign, grant, convey, or 
license, any rights in the invention to any person, concern, or 
organization which would not qualify as a person, small business 
concern, or a nonprofit organization; and
    (ii) Is either:
    (A) A university or other institution of higher education located in 
any country;
    (B) An organization of the type described in section 501(c)(3) of 
the Internal Revenue Code of 1986 (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));
    (C) 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
    (D) Any nonprofit organization located in a foreign country which 
would qualify as a nonprofit organization under paragraphs (a)(3)(ii)(B) 
of this section or (a)(3)(ii)(C) of this section if it were located in 
this country.
    (4) Federal Government Use License Exceptions. In a patent 
application filed, prosecuted, and if patented, maintained at no expense 
to the Government, with the exception of any expense taken to deliver 
the application and fees to the Office on behalf of the applicant:
    (i) For persons under paragraph (a)(1) of this section, claiming 
small entity status is not prohibited by:
    (A) A use license to the Government resulting from a rights 
determination under Executive Order 10096 made in accordance with Sec.
501.6 of this title;
    (B) A use license to the Government resulting from Federal agency 
action pursuant to 15 U.S.C. 3710d(a) allowing the Federal employee-
inventor to obtain or retain title to the invention; or
    (C) A use license to a Federal agency resulting from retention of 
rights under 35 U.S.C. 202(d) by an inventor employed by a small 
business concern or nonprofit organization contractor, provided the 
license is equivalent to the license under 35 U.S.C. 202(c)(4) the 
Federal agency would have received had the contractor elected to retain 
title, and all the conditions applicable under Sec.401.9 of this title 
to an employee/inventor are met.
    (ii) For small business concerns and nonprofit organizations under 
paragraphs (a)(2) and (3) of this section, a use license to a Federal 
agency resulting from a funding agreement with that agency pursuant to 
35 U.S.C. 202(c)(4) does not preclude claiming small entity status, 
provided that:
    (A) The subject invention was made solely by employees of the small 
business concern or nonprofit organization; or
    (B) In the case of a Federal employee co-inventor, the Federal 
agency employing such co-inventor took action pursuant to 35 U.S.C. 
202(e)(1) to exclusively license or assign whatever rights currently 
held or that it may acquire in the subject invention to the small 
business concern or nonprofit organization, subject to the license under 
35 U.S.C. 202(c)(4).
    (iii) For small business concerns and nonprofit organizations under 
paragraphs (a)(2) and (3) of this section that have collaborated with a 
Federal agency laboratory pursuant to a cooperative research and 
development agreement (CRADA) under 15 U.S.C. 3710a(a)(1), claiming 
small entity status is not prohibited by a use license to the Government 
pursuant to:
    (A) 15 U.S.C. 3710a(b)(2) that results from retaining title to an 
invention made solely by the employee of the small business concern or 
nonprofit organization; or
    (B) 15 U.S.C. 3710a(b)(3)(D), provided the laboratory has waived in 
whole any right of ownership the Government may have to the subject 
invention made by the small business concern or nonprofit organization, 
or has exclusively licensed whatever ownership rights the Government may 
acquire in

[[Page 43]]

the subject invention to the small business concern or nonprofit 
organization.
    (iv) Regardless of whether an exception under this paragraph (a)(4) 
applies, no refund under Sec.1.28(a) is available for any patent fee 
paid by the Government.
    (5) Security Interest. A security interest does not involve an 
obligation to transfer rights in the invention for the purposes of 
paragraphs (a)(1) through (a)(3) of this section unless the security 
interest is defaulted upon.
    (b) Establishment of small entity status permits payment of reduced 
fees. (1) A small entity, as defined in paragraph (a) of this section, 
who has properly asserted entitlement to small entity status pursuant to 
paragraph (c) of this section will be accorded small entity status by 
the Office in the particular application or patent in which entitlement 
to small entity status was asserted. Establishment of small entity 
status allows the payment of certain reduced patent fees pursuant to 35 
U.S.C. 41(h)(1).
    (2) Submission of an original utility application in compliance with 
the Office electronic filing system by an applicant who has properly 
asserted entitlement to small entity status pursuant to paragraph (c) of 
this section in that application allows the payment of a reduced filing 
fee pursuant to 35 U.S.C. 41(h)(3).
    (c) Assertion of small entity status. Any party (person, small 
business concern or nonprofit organization) should make a determination, 
pursuant to paragraph (f) of this section, of entitlement to be accorded 
small entity status based on the definitions set forth in paragraph (a) 
of this section, and must, in order to establish small entity status for 
the purpose of paying small entity fees, actually make an assertion of 
entitlement to small entity status, in the manner set forth in 
paragraphs (c)(1) or (c)(3) of this section, in the application or 
patent in which such small entity fees are to be paid.
    (1) Assertion by writing. Small entity status may be established by 
a written assertion of entitlement to small entity status. A written 
assertion must:
    (i) Be clearly identifiable;
    (ii) Be signed (see paragraph (c)(2) of this section); and
    (iii) Convey the concept of entitlement to small entity status, such 
as by stating that applicant is a small entity, or that small entity 
status is entitled to be asserted for the application or patent. While 
no specific words or wording are required to assert small entity status, 
the intent to assert small entity status must be clearly indicated in 
order to comply with the assertion requirement.
    (2) Parties who can sign the written assertion. The written 
assertion can be signed by:
    (i) The applicant (Sec.1.42 or Sec.1.421);
    (ii) A patent practitioner of record or a practitioner acting in a 
representative capacity under Sec.1.34;
    (iii) The inventor or a joint inventor, if the inventor is the 
applicant; or
    (iv) The assignee.
    (3) Assertion by payment of the small entity basic filing, basic 
transmittal, basic national fee, international search fee, or individual 
designation fee in an international design application. The payment, by 
any party, of the exact amount of one of the small entity basic filing 
fees set forth in Sec.1.16(a), (b), (c), (d), or (e), the small entity 
transmittal fee set forth in Sec.1.445(a)(1) or Sec.1.1031(a), the 
small entity international search fee set forth in Sec.1.445(a)(2) to 
a Receiving Office other than the United States Receiving Office in the 
exact amount established for that Receiving Office pursuant to PCT Rule 
16, or the small entity basic national fee set forth in Sec.1.492(a), 
will be treated as a written assertion of entitlement to small entity 
status even if the type of basic filing, basic transmittal, or basic 
national fee is inadvertently selected in error. The payment, by any 
party, of the small entity first part of the individual designation fee 
for the United States to the International Bureau (Sec.1.1031) will be 
treated as a written assertion of entitlement to small entity status.
    (i) If the Office accords small entity status based on payment of a 
small entity basic filing or basic national fee under paragraph (c)(3) 
of this section that is not applicable to that application, any balance 
of the small entity

[[Page 44]]

fee that is applicable to that application will be due along with the 
appropriate surcharge set forth in Sec.1.16(f), or Sec.1.16(g).
    (ii) The payment of any small entity fee other than those set forth 
in paragraph (c)(3) of this section (whether in the exact fee amount or 
not) will not be treated as a written assertion of entitlement to small 
entity status and will not be sufficient to establish small entity 
status in an application or a patent.
    (4) Assertion required in related, continuing, and reissue 
applications. Status as a small entity must be specifically established 
by an assertion in each related, continuing and reissue application in 
which status is appropriate and desired. Status as a small entity in one 
application or patent does not affect the status of any other 
application or patent, regardless of the relationship of the 
applications or patents. The refiling of an application under Sec.1.53 
as a continuation, divisional, or continuation-in-part application 
(including a continued prosecution application under Sec.1.53(d)), or 
the filing of a reissue application, requires a new assertion as to 
continued entitlement to small entity status for the continuing or 
reissue application.
    (d) When small entity fees can be paid. Any fee, other than the 
small entity basic filing fees and the small entity national fees of 
paragraph (c)(3) of this section, can be paid in the small entity amount 
only if it is submitted with, or subsequent to, the submission of a 
written assertion of entitlement to small entity status, except when 
refunds are permitted by Sec.1.28(a).
    (e) Only one assertion required. (1) An assertion of small entity 
status need only be filed once in an application or patent. Small entity 
status, once established, remains in effect until changed pursuant to 
paragraph (g)(1) of this section. Where an assignment of rights or an 
obligation to assign rights to other parties who are small entities 
occurs subsequent to an assertion of small entity status, a second 
assertion is not required.
    (2) Once small entity status is withdrawn pursuant to paragraph 
(g)(2) of this section, a new written assertion is required to again 
obtain small entity status.
    (f) Assertion requires a determination of entitlement to pay small 
entity fees. Prior to submitting an assertion of entitlement to small 
entity status in an application, including a related, continuing, or 
reissue application, a determination of such entitlement should be made 
pursuant to the requirements of paragraph (a) of this section. It should 
be determined that all parties holding rights in the invention qualify 
for small entity status. The Office will generally not question any 
assertion of small entity status that is made in accordance with the 
requirements of this section, but note paragraph (h) of this section.
    (g)(1) New determination of entitlement to small entity status is 
needed when issue and maintenance fees are due. 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.
    (2) Notification of loss of entitlement to small entity status is 
required when issue and maintenance fees are due. Notification of a 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 as defined in paragraph (a) of this section is no longer 
appropriate. The notification that small entity status is no longer 
appropriate must be signed by a party identified in Sec.1.33(b). 
Payment of a fee in other than the small entity amount is not sufficient 
notification that small entity status is no longer appropriate.
    (h) Fraud attempted or practiced on the Office. (1) Any attempt to 
fraudulently establish status as a small entity, or pay fees as a small 
entity, shall be considered as a fraud practiced or attempted on the 
Office.
    (2) Improperly, and with intent to deceive, establishing status as a 
small entity, or paying fees as a small entity,

[[Page 45]]

shall be considered as a fraud practiced or attempted on the Office.

[65 FR 54659, Sept. 8, 2000, as amended at 69 FR 56538, Sept. 21, 2004; 
70 FR 3889, Jan. 27, 2005; 77 FR 48813, Aug. 14, 2012; 78 FR 4289, Jan. 
18, 2013; 80 FR 17955, Apr. 2, 2015; 85 FR 46990, Aug. 3, 2020; 85 FR 
82923, Dec. 21, 2020]



Sec.1.28  Refunds when small entity status is later established; 
how errors in small entity status are excused.

    (a) Refunds based on later establishment of small entity status. A 
refund pursuant to Sec.1.26, 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 an assertion under 
Sec.1.27(c) and a request for a refund of the excess amount are filed 
within three months of the date of the timely payment of the full fee. 
The three-month time period is not extendable under Sec.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 three months of 
the date of payment of, the full fee.
    (b) Date of payment. (1) The three-month period for requesting a 
refund, pursuant to paragraph (a) of this section, starts on the date 
that a full fee has been paid;
    (2) The date when a deficiency payment is paid in full determines 
the amount of deficiency that is due, pursuant to paragraph (c) of this 
section.
    (c) How errors in small entity status are excused. 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 loss of 
entitlement to small entity status as required by Sec.1.27(g)(2), the 
error will be excused upon: compliance with the separate submission and 
itemization requirements of paragraphs (c)(1) and (c)(2) of this 
section, and the deficiency payment requirement of paragraph (c)(2) of 
this section:
    (1) Separate submission required for each application or patent. Any 
paper submitted under this paragraph must be limited to the deficiency 
payment (all fees paid in error), required by paragraph (c)(2) of this 
section, for one application or one patent. Where more than one 
application or patent is involved, separate submissions of deficiency 
payments (e.g., checks) and itemizations are required for each 
application or patent. See Sec.1.4(b).
    (2) Payment of deficiency owed. The deficiency owed, resulting from 
the previous erroneous payment of small entity fees, must be paid.
    (i) Calculation of the deficiency owed. The deficiency owed for each 
previous fee erroneously paid as a small entity is the difference 
between the current fee amount (for other than a small entity) on the 
date the deficiency is paid in full and the amount of the previous 
erroneous (small entity) fee payment. The total deficiency payment owed 
is the sum of the individual deficiency owed amounts for each fee amount 
previously erroneously paid as a small entity. Where a fee paid in error 
as a small entity was subject to a fee decrease between the time the fee 
was paid in error and the time the deficiency is paid in full, the 
deficiency owed is equal to the amount (previously) paid in error;
    (ii) Itemization of the deficiency payment. An itemization of the 
total deficiency payment is required. The itemization must include the 
following information:
    (A) Each particular type of fee that was erroneously paid as a small 
entity, (e.g., basic statutory filing fee, two-month extension of time 
fee) along with the current fee amount for a non-small entity;
    (B) The small entity fee actually paid, and when. This will permit 
the Office to differentiate, for example, between two one-month 
extension of time fees erroneously paid as a small entity but on 
different dates;
    (C) The deficiency owed amount (for each fee erroneously paid); and
    (D) The total deficiency payment owed, which is the sum or total of 
the individual deficiency owed amounts set forth in paragraph 
(c)(2)(ii)(C) of this section.
    (3) Failure to comply with requirements. If the requirements of 
paragraphs (c)(1) and (c)(2) of this section are not complied with, such 
failure will either: be

[[Page 46]]

treated as an authorization for the Office to process the deficiency 
payment and charge the processing fee set forth in Sec.1.17(i), or 
result in a requirement for compliance within a one-month non-extendable 
time period under Sec.1.136(a) to avoid the return of the fee 
deficiency paper, at the option of the Office.
    (d) Payment of deficiency operates as notification of loss of 
status. Any deficiency payment (based on a previous erroneous payment of 
a small entity fee) submitted under paragraph (c) of this section will 
be treated under Sec.1.27(g)(2) as a notification of a loss of 
entitlement to small entity status.

[65 FR 54661, Sept. 8, 2000]



Sec.1.29  Micro entity status.

    (a) To establish micro entity status under this paragraph, the 
applicant must certify that:
    (1) The applicant qualifies as a small entity as defined in Sec.
1.27 without relying on a government use license exception under Sec.
1.27(a)(4);
    (2) Neither the applicant nor the inventor nor a joint inventor has 
been named as the inventor or a joint inventor on more than four 
previously filed patent applications, other than applications filed in 
another country, provisional applications under 35 U.S.C. 111(b), or 
international applications for which the basic national fee under 35 
U.S.C. 41(a) was not paid;
    (3) Neither the applicant nor the inventor nor a joint inventor, in 
the calendar year preceding the calendar year in which the applicable 
fee is being paid, had a gross income, as defined in section 61(a) of 
the Internal Revenue Code of 1986 (26 U.S.C. 61(a)), exceeding three 
times the median household income for that preceding calendar year, as 
most recently reported by the Bureau of the Census; and
    (4) Neither the applicant nor the inventor nor a joint inventor has 
assigned, granted, or conveyed, nor is under an obligation by contract 
or law to assign, grant, or convey, a license or other ownership 
interest in the application concerned to an entity that, in the calendar 
year preceding the calendar year in which the applicable fee is being 
paid, had a gross income, as defined in section 61(a) of the Internal 
Revenue Code of 1986, exceeding three times the median household income 
for that preceding calendar year, as most recently reported by the 
Bureau of the Census.
    (b) An applicant, inventor, or joint inventor is not considered to 
be named on a previously filed application for purposes of paragraph 
(a)(2) of this section if the applicant, inventor, or joint inventor has 
assigned, or is under an obligation by contract or law to assign, all 
ownership rights in the application as the result of the applicant's, 
inventor's, or joint inventor's previous employment.
    (c) If an applicant's, inventor's, joint inventor's, or entity's 
gross income in the preceding calendar year is not in United States 
dollars, the average currency exchange rate, as reported by the Internal 
Revenue Service, during that calendar year shall be used to determine 
whether the applicant's, inventor's, joint inventor's, or entity's gross 
income exceeds the threshold specified in paragraph (a)(3) or (4) of 
this section.
    (d) To establish micro entity status under this paragraph, the 
applicant must certify that:
    (1) The applicant qualifies as a small entity as defined in Sec.
1.27 without relying on a government use license exception under Sec.
1.27(a)(4);
    (2)(i) The applicant's employer, from which the applicant obtains 
the majority of the applicant's income, is an institution of higher 
education as defined in section 101(a) of the Higher Education Act of 
1965 (20 U.S.C. 1001(a)); or
    (ii) The applicant has assigned, granted, conveyed, or is under an 
obligation by contract or law, to assign, grant, or convey, a license or 
other ownership interest in the particular application to such an 
institution of higher education.
    (e) Micro entity status is established in an application by filing a 
micro entity certification in writing complying with the requirements of 
either paragraph (a) or (d) of this section and signed either in 
compliance with Sec.1.33(b), in an international application filed in 
a Receiving Office other than the United States Receiving Office by a

[[Page 47]]

person authorized to represent the applicant under Sec.1.455, or in an 
international design application by a person authorized to represent the 
applicant under Sec.1.1041 before the International Bureau where the 
micro entity certification is filed with the International Bureau. 
Status as a micro entity must be specifically established in each 
related, continuing and reissue application in which status is 
appropriate and desired. Status as a micro entity in one application or 
patent does not affect the status of any other application or patent, 
regardless of the relationship of the applications or patents. The 
refiling of an application under Sec.1.53 as a continuation, 
divisional, or continuation-in-part application (including a continued 
prosecution application under Sec.1.53(d)), or the filing of a reissue 
application, requires a new certification of entitlement to micro entity 
status for the continuing or reissue application.
    (f) A fee may be paid in the micro entity amount only if it is 
submitted with, or subsequent to, the submission of a certification of 
entitlement to micro entity status.
    (g) A certification of entitlement to micro entity status need only 
be filed once in an application or patent. Micro entity status, once 
established, remains in effect until changed pursuant to paragraph (i) 
of this section. However, a fee may be paid in the micro entity amount 
only if status as a micro entity as defined in paragraph (a) or (d) of 
this section is appropriate on the date the fee is being paid. Where an 
assignment of rights or an obligation to assign rights to other parties 
who are micro entities occurs subsequent to the filing of a 
certification of entitlement to micro entity status, a second 
certification of entitlement to micro entity status is not required.
    (h) Prior to submitting a certification of entitlement to micro 
entity status in an application, including a related, continuing, or 
reissue application, a determination of such entitlement should be made 
pursuant to the requirements of this section. It should be determined 
that each applicant qualifies for micro entity status under paragraph 
(a) or (d) of this section, and that any other party holding rights in 
the invention qualifies for small entity status under Sec.1.27. The 
Office will generally not question certification of entitlement to micro 
entity status that is made in accordance with the requirements of this 
section.
    (i) Notification of a loss of entitlement to micro entity status 
must be filed in the application or patent prior to paying, or at the 
time of paying, any fee after the date on which status as a micro entity 
as defined in paragraph (a) or (d) of this section is no longer 
appropriate. The notification that micro entity status is no longer 
appropriate must be signed by a party identified in Sec.1.33(b). 
Payment of a fee in other than the micro entity amount is not sufficient 
notification that micro entity status is no longer appropriate. A 
notification that micro entity status is no longer appropriate will not 
be treated as a notification that small entity status is also no longer 
appropriate unless it also contains a notification of loss of 
entitlement to small entity status under Sec.1.27(f)(2). Once a 
notification of a loss of entitlement to micro entity status is filed in 
the application or patent, a new certification of entitlement to micro 
entity status is required to again obtain micro entity status.
    (j) Any attempt to fraudulently establish status as a micro entity, 
or pay fees as a micro entity, shall be considered as a fraud practiced 
or attempted on the Office. Improperly, and with intent to deceive, 
establishing status as a micro entity, or paying fees as a micro entity, 
shall be considered as a fraud practiced or attempted on the Office.
    (k) If status as a micro entity is established in good faith in an 
application or patent, and fees as a micro entity are paid in good faith 
in the application or patent, and it is later discovered that such micro 
entity status either was established in error, or that the Office was 
not notified of a loss of entitlement to micro entity status as required 
by paragraph (i) of this section through error, the error will be 
excused upon compliance with the separate submission and itemization 
requirements of paragraph (k)(1) of this section and the deficiency 
payment requirement of paragraph (k)(2) of this section.

[[Page 48]]

    (1) Any paper submitted under this paragraph must be limited to the 
deficiency payment (all fees paid in error) required for a single 
application or patent. Where more than one application or patent is 
involved, separate submissions of deficiency payments are required for 
each application or patent (see Sec.1.4(b)). The paper must contain an 
itemization of the total deficiency payment for the single application 
or patent and include the following information:
    (i) Each particular type of fee that was erroneously paid as a micro 
entity, (e.g., basic statutory filing fee, two-month extension of time 
fee) along with the current fee amount for a small or non-small entity, 
as applicable;
    (ii) The micro entity fee actually paid, and the date on which it 
was paid;
    (iii) The deficiency owed amount (for each fee erroneously paid); 
and
    (iv) The total deficiency payment owed, which is the sum or total of 
the individual deficiency owed amounts as set forth in paragraph (k)(2) 
of this section.
    (2) The deficiency owed, resulting from the previous erroneous 
payment of micro entity fees, must be paid. The deficiency owed for each 
previous fee erroneously paid as a micro entity is the difference 
between the current fee amount for a small entity or non-small entity, 
as applicable, on the date the deficiency is paid in full and the amount 
of the previous erroneous micro entity fee payment. The total deficiency 
payment owed is the sum of the individual deficiency owed amounts for 
each fee amount previously and erroneously paid as a micro entity.
    (3) If the requirements of paragraphs (k)(1) and (2) of this section 
are not complied with, such failure will either be treated at the option 
of the Office as an authorization for the Office to process the 
deficiency payment and charge the processing fee set forth in Sec.
1.17(i), or result in a requirement for compliance within a one-month 
time period that is not extendable under Sec.1.136(a) to avoid the 
return of the fee deficiency payment.
    (4) Any deficiency payment (based on a previous erroneous payment of 
a micro entity fee) submitted under this paragraph will be treated as a 
notification of a loss of entitlement to micro entity status under 
paragraph (i) of this section.

[77 FR 75033, Dec. 19, 2012, as amended at 78 FR 62396, Oct. 21, 2013; 
80 FR 17955, Apr. 2, 2015; 85 FR 82923, Dec. 21, 2020]



                Subpart B_National Processing Provisions

     Prosecution of Application and Appointment of Attorney or Agent



Sec.1.31  Applicant may be represented by one or more patent 
practitioners or joint inventors.

    An applicant for patent may file and prosecute the applicant's own 
case, or the applicant may give power of attorney so as to be 
represented by one or more patent practitioners or joint inventors, 
except that a juristic entity (e.g., organizational assignee) must be 
represented by a patent practitioner even if the juristic entity is the 
applicant. The Office cannot aid in the selection of a patent 
practitioner.

[77 FR 48813, Aug. 14, 2012]



Sec.1.32  Power of attorney.

    (a) Definitions. (1) Patent practitioner means a registered patent 
attorney or registered patent agent under Sec.11.6.
    (2) Power of attorney means a written document by which a principal 
authorizes one or more patent practitioners or joint inventors to act on 
the principal's behalf.
    (3) Principal means the applicant (Sec.1.42) for an application 
for patent and the patent owner for a patent, including a patent in a 
supplemental examination or reexamination proceeding. The principal 
executes a power of attorney designating one or more patent 
practitioners or joint inventors to act on the principal's behalf.
    (4) Revocation means the cancellation by the principal of the 
authority previously given to a patent practitioner or joint inventor to 
act on the principal's behalf.
    (5) Customer Number means a number that may be used to:
    (i) Designate the correspondence address of a patent application or 
patent

[[Page 49]]

such that the correspondence address for the patent application, patent 
or other patent proceeding would be the address associated with the 
Customer Number;
    (ii) Designate the fee address (Sec.1.363) of a patent such that 
the fee address for the patent would be the address associated with the 
Customer Number; and
    (iii) Submit a list of patent practitioners such that those patent 
practitioners associated with the Customer Number would have power of 
attorney.
    (6) Patent practitioner of record means a patent practitioner who 
has been granted a power of attorney in an application, patent, or other 
proceeding in compliance with paragraph (b) of this section. The phrases 
practitioner of record and attorney or agent of record also mean a 
patent practitioner who has been granted a power of attorney in an 
application, patent, or other proceeding in compliance with paragraph 
(b) of this section.
    (b) A power of attorney must:
    (1) Be in writing;
    (2) Name one or more representatives in compliance with paragraph 
(c) of this section;
    (3) Give the representative power to act on behalf of the principal; 
and
    (4) Be signed by the applicant for patent (Sec.1.42) or the patent 
owner. A patent owner who was not the applicant under Sec.1.46 must 
appoint any power of attorney in compliance with Sec. Sec.3.71 and 
3.73 of this chapter.
    (c) A power of attorney may only name as representative:
    (1) One or more joint inventors (Sec.1.45);
    (2) Those registered patent practitioners associated with a Customer 
Number;
    (3) Ten or fewer patent practitioners, stating the name and 
registration number of each patent practitioner. Except as provided in 
paragraph (c)(1) or (c)(2) of this section, the Office will not 
recognize more than ten patent practitioners as being of record in an 
application or patent. If a power of attorney names more than ten patent 
practitioners, such power of attorney must be accompanied by a separate 
paper indicating which ten patent practitioners named in the power of 
attorney are to be recognized by the Office as being of record in the 
application or patent to which the power of attorney is directed.
    (d) A power of attorney from a prior national application for which 
benefit is claimed under 35 U.S.C. 120, 121, 365(c), or 386(c) in a 
continuing application may have effect in the continuing application if 
a copy of the power of attorney from the prior application is filed in 
the continuing application unless:
    (1) The power of attorney was granted by the inventor; and
    (2) The continuing application names an inventor who was not named 
as an inventor in the prior application.
    (e) If the power of attorney was granted by the originally named 
inventive entity, and an added inventor pursuant to Sec.1.48 does not 
provide a power of attorney consistent with the power of attorney 
granted by the originally named inventive entity, the addition of the 
inventor results in the loss of that power of attorney upon grant of the 
Sec.1.48 request. This provision does not preclude a practitioner from 
acting pursuant to Sec.1.34, if applicable.

[69 FR 29877, May 26, 2004, as amended at 70 FR 56127, Sept. 26, 2005; 
77 FR 48813, Aug. 14, 2012; 80 FR 17956, Apr. 2, 2015]



Sec.1.33  Correspondence respecting patent applications, patent
reexamination proceedings, and other proceedings.

    (a) Correspondence address and daytime telephone number. When filing 
an application, a correspondence address must be set forth in either an 
application data sheet (Sec.1.76), or elsewhere, in a clearly 
identifiable manner, in any paper submitted with an application filing. 
If no correspondence address is specified, the Office may treat the 
mailing address of the first named inventor (if provided, see Sec. Sec.
1.76(b)(1) and 1.63(b)(2)) as the correspondence address. The Office 
will direct, or otherwise make available, all notices, official letters, 
and other communications relating to the application to the person 
associated with the correspondence address. For correspondence submitted

[[Page 50]]

via the Office's electronic filing system, however, an electronic 
acknowledgment receipt will be sent to the submitter. The Office will 
generally not engage in double correspondence with an applicant and a 
patent practitioner, or with more than one patent practitioner except as 
deemed necessary by the Director. If more than one correspondence 
address is specified, the Office will select one of the specified 
addresses for use as the correspondence address and, if given, may 
select the address associated with a Customer Number over a typed 
correspondence address. For the party to whom correspondence is to be 
addressed, a daytime telephone number should be supplied in a clearly 
identifiable manner and may be changed by any party who may change the 
correspondence address. The correspondence address may be changed by the 
parties set forth in paragraph (b)(1) or (b)(3) of this section. Prior 
to the appointment of any power of attorney under Sec.1.32(b), the 
correspondence address may also be changed by any patent practitioner 
named in the application transmittal papers who acts in a representative 
capacity under the provisions of Sec.1.34.
    (b) Amendments and other papers. Amendments and other papers, except 
for written assertions pursuant to Sec.1.27(c)(2)(iii) or (c)(2)(iv), 
filed in the application must be signed by:
    (1) A patent practitioner of record;
    (2) A patent practitioner not of record who acts in a representative 
capacity under the provisions of Sec.1.34; or
    (3) The applicant (Sec.1.42). Unless otherwise specified, all 
papers submitted on behalf of a juristic entity must be signed by a 
patent practitioner.
    (c) All notices, official letters, and other communications for the 
patent owner or owners in a reexamination or supplemental examination 
proceeding will be directed to the correspondence address in the patent 
file. Amendments filed in a reexamination proceeding, and other papers 
filed in a reexamination or supplemental examination 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 Sec.1.34. 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.
    (d) 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 Sec.1.363 for ``fee address'' used 
solely for maintenance fee purposes.
    (e) A change of address filed in a patent application or patent does 
not change the address for a patent practitioner in the roster of patent 
attorneys and agents. See Sec.11.11 of this title.
    (f) Where application papers from a prior application are used in a 
continuing application and the correspondence address was changed during 
the prosecution of the prior application, an application data sheet or 
separate paper identifying the correspondence address to be used for the 
continuing application must be submitted. Otherwise, the Office may not 
recognize the change of correspondence address effected during the 
prosecution of the prior application.
    (g) A patent practitioner acting in a representative capacity whose 
correspondence address is the correspondence address of record in an 
application may change the correspondence address after the patent has 
issued, provided that the change of correspondence address is 
accompanied by a statement that notice has been given to the patentee or 
owner.

[36 FR 12617, July 2, 1971, as amended at 46 FR 29181, May 29, 1981; 49 
FR 34724, Aug. 31, 1984; 50 FR 5171, Feb. 6, 1985; 62 FR 53184, Oct. 10, 
1997; 65 FR 54661, Sept. 8, 2000; 69 FR 29877, May 26, 2004; 69 FR 
35452, June 24, 2004; 70 FR 3889, Jan. 27, 2005; 70 FR 56127, Sept. 26, 
2005; 72 FR 2776, Jan. 23, 2007; 72 FR 18904, Apr. 16, 2007; 77 FR 
48814, Aug. 14, 2012; 78 FR 62396, Oct. 21, 2013]



Sec.1.34  Acting in a representative capacity.

    When a patent practitioner acting in a representative capacity 
appears in

[[Page 51]]

person or signs a paper in practice before the United States Patent and 
Trademark Office in a patent case, his or her personal appearance or 
signature shall constitute a representation to the United States Patent 
and Trademark Office that under the provisions of this subchapter and 
the law, he or she is authorized to represent the particular party on 
whose behalf he or she acts. In filing such a paper, the patent 
practitioner must set forth his or her registration number, his or her 
name and signature. Further proof of authority to act in a 
representative capacity may be required.

[70 FR 56127, Sept. 26, 2005]



Sec.1.36  Revocation of power of attorney; withdrawal of patent attorney or agent.

    (a) A power of attorney, pursuant to Sec.1.32(b), may be revoked 
at any stage in the proceedings of a case by the applicant or patent 
owner. A power of attorney to the patent practitioners associated with a 
Customer Number will be treated as a request to revoke any powers of 
attorney previously given. Fewer than all of the applicants (or fewer 
than all patent owners in a supplemental examination or reexamination 
proceeding) may revoke the power of attorney only upon a showing of 
sufficient cause, and payment of the petition fee set forth in Sec.
1.17(f). A patent practitioner will be notified of the revocation of the 
power of attorney. Where power of attorney is given to the patent 
practitioners associated with a Customer Number (Sec.1.32(c)(2)), the 
practitioners so appointed will also be notified of the revocation of 
the power of attorney when the power of attorney to all of the 
practitioners associated with the Customer Number is revoked. The notice 
of revocation will be mailed to the correspondence address for the 
application (Sec.1.33) in effect before the revocation. An assignment 
will not of itself operate as a revocation of a power previously given, 
but the assignee may become the applicant under Sec.1.46(c) and revoke 
any previous power of attorney and grant a power of attorney as provided 
in Sec.1.32(b).
    (b) A registered patent attorney or patent agent who has been given 
a power of attorney pursuant to Sec.1.32(b) may withdraw as attorney 
or agent of record upon application to and approval by the Director. The 
applicant or patent owner will be notified of the withdrawal of the 
registered patent attorney or patent agent. Where power of attorney is 
given to the patent practitioners associated with a Customer Number, a 
request to delete all of the patent practitioners associated with the 
Customer Number may not be granted if an applicant has given power of 
attorney to the patent practitioners associated with the Customer Number 
in an application that has an Office action to which a reply is due, but 
insufficient time remains for the applicant to file a reply. See Sec.
41.5 of this title for withdrawal during proceedings before the Patent 
Trial and Appeal Board.

[69 FR 49997, Aug. 12, 2004, as amended at 70 FR 56128, Sept. 26, 2005; 
77 FR 46624, Aug. 6, 2012; 77 FR 48814, Aug. 14, 2012]

                       Who May Apply for a Patent



Sec.1.41  Inventorship.

    (a) An application must include, or be amended to include, the name 
of the inventor for any invention claimed in the application.
    (b) The inventorship of a nonprovisional application under 35 U.S.C. 
111(a) is the inventor or joint inventors set forth in the application 
data sheet in accordance with Sec.1.76 filed before or concurrently 
with the inventor's oath or declaration. If an application data sheet is 
not filed before or concurrently with the inventor's oath or 
declaration, the inventorship is the inventor or joint inventors set 
forth in the inventor's oath or declaration, except as provided for in 
Sec. Sec.1.53(d)(4) and 1.63(d). Once an application data sheet or the 
inventor's oath or declaration is filed in a nonprovisional application, 
any correction of inventorship must be pursuant to Sec.1.48. If 
neither an application data sheet nor the inventor's oath or declaration 
is filed during the pendency of a nonprovisional application, the 
inventorship is the inventor or joint inventors set forth in the 
application papers filed pursuant to Sec.1.53(b), unless the applicant 
files a paper, including the processing fee set forth in Sec.1.17(i), 
supplying the name or names of the inventor or joint inventors.

[[Page 52]]

    (c) The inventorship of a provisional application is the inventor or 
joint inventors set forth in the cover sheet as prescribed by Sec.
1.51(c)(1). Once a cover sheet as prescribed by Sec.1.51(c)(1) is 
filed in a provisional application, any correction of inventorship must 
be pursuant to Sec.1.48. If a cover sheet as prescribed by Sec.
1.51(c)(1) is not filed during the pendency of a provisional 
application, the inventorship is the inventor or joint inventors set 
forth in the application papers filed pursuant to Sec.1.53(c), unless 
applicant files a paper including the processing fee set forth in Sec.
1.17(q), supplying the name or names of the inventor or joint inventors.
    (d) In a nonprovisional application under 35 U.S.C. 111(a) filed 
without an application data sheet or the inventor's oath or declaration, 
or in a provisional application filed without a cover sheet as 
prescribed by Sec.1.51(c)(1), the name and residence of each person 
believed to be an actual inventor should be provided when the 
application papers pursuant to Sec.1.53(b) or Sec.1.53(c) are filed.
    (e) The inventorship of an international application entering the 
national stage under 35 U.S.C. 371 is the inventor or joint inventors 
set forth in the application data sheet in accordance with Sec.1.76 
filed with the initial submission under 35 U.S.C. 371. Unless the 
initial submission under 35 U.S.C. 371 is accompanied by an application 
data sheet in accordance with Sec.1.76 setting forth the inventor or 
joint inventors, the inventorship is the inventor or joint inventors set 
forth in the international application, which includes any change 
effected under PCT Rule 92 bis.
    (f) The inventorship of an international design application 
designating the United States is the creator or creators set forth in 
the publication of the international registration under Hague Agreement 
Article 10(3). Any correction of inventorship must be pursuant to Sec.
1.48.

[77 FR 48814, Aug. 14, 2012, as amended at 80 FR 17956, Apr. 2, 2015]



Sec.1.42  Applicant for patent.

    (a) The word ``applicant'' when used in this title refers to the 
inventor or all of the joint inventors, or to the person applying for a 
patent as provided in Sec. Sec.1.43, 1.45, or 1.46.
    (b) If a person is applying for a patent as provided in Sec.1.46, 
the word ``applicant'' refers to the assignee, the person to whom the 
inventor is under an obligation to assign the invention, or the person 
who otherwise shows sufficient proprietary interest in the matter, who 
is applying for a patent under Sec.1.46 and not the inventor.
    (c) If fewer than all joint inventors are applying for a patent as 
provided in Sec.1.45, the phrase ``the applicant'' means the joint 
inventors who are applying for the patent without the omitted 
inventor(s).
    (d) Any person having authority may deliver an application and fees 
to the Office on behalf of the applicant. However, an oath or 
declaration, or substitute statement in lieu of an oath or declaration, 
may be executed only in accordance with Sec.1.63 or 1.64, a 
correspondence address may be provided only in accordance with Sec.
1.33(a), and amendments and other papers must be signed in accordance 
with Sec.1.33(b).
    (e) The Office may require additional information where there is a 
question concerning ownership or interest in an application, and a 
showing may be required from the person filing the application that the 
filing was authorized where such authorization comes into question.

[77 FR 48815, Aug. 14, 2012]



Sec.1.43  Application for patent by a legal representative of 
a deceased or legally incapacitated inventor.

    If an inventor is deceased or under legal incapacity, the legal 
representative of the inventor may make an application for patent on 
behalf of the inventor. If an 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. See Sec.1.64 concerning the execution of a 
substitute statement by a legal representative in lieu of an oath or 
declaration.

[77 FR 48815, Aug. 14, 2012]

[[Page 53]]



Sec.1.44  [Reserved]



Sec.1.45  Application for patent by joint inventors.

    (a) Joint inventors must apply for a patent jointly, and each must 
make an inventor's oath or declaration as required by Sec.1.63, except 
as provided for in Sec.1.64. If a joint inventor refuses to join in an 
application for patent or cannot be found or reached after diligent 
effort, the other joint inventor or inventors may make the application 
for patent on behalf of themselves and the omitted inventor. See Sec.
1.64 concerning the execution of a substitute statement by the other 
joint inventor or inventors in lieu of an oath or declaration.
    (b) Inventors may apply for a patent jointly even though:
    (1) They did not physically work together or at the same time;
    (2) Each inventor did not make the same type or amount of 
contribution; or
    (3) Each inventor did not make a contribution to the subject matter 
of every claim of the application.
    (c) 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.

[77 FR 48815, Aug. 14, 2012]



Sec.1.46  Application for patent by an assignee, obligated assignee, 
or a person who otherwise shows sufficient proprietary interest in
the matter.

    (a) A person to whom the inventor has assigned or is under an 
obligation to assign the invention may make an application for patent. A 
person who otherwise shows sufficient proprietary interest in the matter 
may make an application for patent on behalf of and as agent for the 
inventor on proof of the pertinent facts and a showing that such action 
is appropriate to preserve the rights of the parties.
    (b) If an application under 35 U.S.C. 111 is made by a person other 
than the inventor under paragraph (a) of this section, the application 
must contain an application data sheet under Sec.1.76 specifying in 
the applicant information section (Sec.1.76(b)(7)) the assignee, 
person to whom the inventor is under an obligation to assign the 
invention, or person who otherwise shows sufficient proprietary interest 
in the matter. If an application entering the national stage under 35 
U.S.C. 371, or a nonprovisional international design application, is 
applied for by a person other than the inventor under paragraph (a) of 
this section, the assignee, person to whom the inventor is under an 
obligation to assign the invention, or person who otherwise shows 
sufficient proprietary interest in the matter must have been identified 
as the applicant for the United States in the international stage of the 
international application or as the applicant in the publication of the 
international registration under Hague Agreement Article 10(3).
    (1) If the applicant is the assignee or a person to whom the 
inventor is under an obligation to assign the invention, documentary 
evidence of ownership (e.g., assignment for an assignee, employment 
agreement for a person to whom the inventor is under an obligation to 
assign the invention) should be recorded as provided for in part 3 of 
this chapter no later than the date the issue fee is paid in the 
application.
    (2) If the applicant is a person who otherwise shows sufficient 
proprietary interest in the matter, such applicant must submit a 
petition including:
    (i) The fee set forth in Sec.1.17(g);
    (ii) A showing that such person has sufficient proprietary interest 
in the matter; and
    (iii) A statement that making the application for patent by a person 
who otherwise shows sufficient proprietary interest in the matter on 
behalf of and as agent for the inventor is appropriate to preserve the 
rights of the parties.
    (c)(1) Correction or update in the name of the applicant. Any 
request to correct or update the name of the applicant

[[Page 54]]

under this section must include an application data sheet under Sec.
1.76 specifying the correct or updated name of the applicant in the 
applicant information section (Sec.1.76(b)(7)) in accordance with 
Sec.1.76(c)(2). A change in the name of the applicant recorded 
pursuant to Hague Agreement Article 16(1)(ii) will be effective to 
change the name of the applicant in a nonprovisional international 
design application.
    (2) Change in the applicant. Any request to change the applicant 
under this section after an original applicant has been specified must 
include an application data sheet under Sec.1.76 specifying the 
applicant in the applicant information section (Sec.1.76(b)(7)) in 
accordance with Sec.1.76(c)(2) and comply with Sec. Sec.3.71 and 
3.73 of this title.
    (d) Even if the whole or a part interest in the invention or in the 
patent to be issued is assigned or obligated to be assigned, an oath or 
declaration must be executed by the actual inventor or each actual joint 
inventor, except as provided for in Sec.1.64. See Sec.1.64 
concerning the execution of a substitute statement by an assignee, 
person to whom the inventor is under an obligation to assign the 
invention, or a person who otherwise shows sufficient proprietary 
interest in the matter.
    (e) If a patent is granted on an application filed under this 
section by a person other than the inventor, the patent shall be granted 
to the real party in interest. Otherwise, the patent may be issued to 
the assignee or jointly to the inventor and the assignee as provided in 
Sec.3.81. Where a real party in interest has filed an application 
under Sec.1.46, the applicant shall notify the Office of any change in 
the real party in interest no later than payment of the issue fee. The 
Office will treat the absence of such a notice as an indication that 
there has been no change in the real party in interest.
    (f) The Office may publish notice of the filing of the application 
by a person who otherwise shows sufficient proprietary interest in the 
Official Gazette.

[77 FR 48815, Aug. 14, 2012, as amended at 80 FR 17956, Apr. 2, 2015]



Sec.1.47  [Reserved]



Sec.1.48  Correction of inventorship pursuant to 35 U.S.C. 116 or
correction of the name or order of names in a patent application,
other than a reissue application.
          

    (a) Nonprovisional application: Any request to correct or change the 
inventorship once the inventorship has been established under Sec.1.41 
must include:
    (1) An application data sheet in accordance with Sec.1.76 that 
identifies each inventor by his or her legal name; and
    (2) The processing fee set forth in Sec.1.17(i).
    (b) Inventor's oath or declaration for added inventor: An oath or 
declaration as required by Sec.1.63, or a substitute statement in 
compliance with Sec.1.64, will be required for any actual inventor who 
has not yet executed such an oath or declaration.
    (c) Any request to correct or change the inventorship under 
paragraph (a) of this section filed after the Office action on the 
merits has been given or mailed in the application must also be 
accompanied by the fee set forth in Sec.1.17(d), unless the request is 
accompanied by a statement that the request to correct or change the 
inventorship is due solely to the cancelation of claims in the 
application.
    (d) Provisional application. Once a cover sheet as prescribed by 
Sec.1.51(c)(1) is filed in a provisional application, any request to 
correct or change the inventorship must include:
    (1) A request, signed by a party set forth in Sec.1.33(b), to 
correct the inventorship that identifies each inventor by his or her 
legal name; and
    (2) The processing fee set forth in Sec.1.17(q).
    (e) Additional information may be required. The Office may require 
such other information as may be deemed appropriate under the particular 
circumstances surrounding the correction of inventorship.
    (f) Correcting or updating the name of an inventor: Any request to 
correct or update the name of the inventor or a joint inventor, or the 
order of the names of joint inventors, in a nonprovisional application 
must include:
    (1) An application data sheet in accordance with Sec.1.76 that 
identifies each

[[Page 55]]

inventor by his or her legal name in the desired order; and
    (2) The processing fee set forth in Sec.1.17(i).
    (g) Reissue applications not covered. The provisions of this section 
do not apply to reissue applications. See Sec. Sec.1.171 and 1.175 for 
correction of inventorship in a patent via a reissue application.
    (h) Correction of inventorship in patent. See Sec.1.324 for 
correction of inventorship in a patent.
    (i) Correction of inventorship in an interference or contested case 
before the Patent Trial and Appeal Board. In an interference under part 
41, subpart D, of this title, a request for correction of inventorship 
in an application must be in the form of a motion under Sec.
41.121(a)(2) of this title. In a contested case under part 42, subpart 
D, of this title, a request for correction of inventorship in an 
application must be in the form of a motion under Sec.42.22 of this 
title. The motion under Sec.41.121(a)(2) or 42.22 of this title must 
comply with the requirements of paragraph (a) of this section.

[77 FR 48816, Aug. 14, 2012, as amended at 78 FR 4289, Jan. 18, 2013]

                             The Application



Sec.1.51  General requisites of an application.

    (a) Applications for patents must be made to the Director of the 
United States Patent and Trademark Office. An application transmittal 
letter limited to the transmittal of the documents and fees comprising a 
patent application under this section may be signed by a juristic 
applicant or patent owner.
    (b) A complete application filed under Sec.1.53(b) or Sec.
1.53(d) comprises:
    (1) A specification as prescribed by 35 U.S.C. 112, including a 
claim or claims, see Sec. Sec.1.71 to 1.77;
    (2) The inventor's oath or declaration, see Sec. Sec.1.63 and 
1.64;
    (3) Drawings, when necessary, see Sec. Sec.1.81 to 1.85; and
    (4) The prescribed filing fee, search fee, examination fee, and 
application size fee, see Sec.1.16.
    (c) A complete provisional application filed under Sec.1.53(c) 
comprises:
    (1) A cover sheet identifying:
    (i) The application as a provisional application,
    (ii) The name or names of the inventor or inventors, (see Sec.
1.41(a)(2)),
    (iii) The residence of each named inventor,
    (iv) The title of the invention,
    (v) The name and registration number of the attorney or agent (if 
applicable),
    (vi) The docket number used by the person filing the application to 
identify the application (if applicable),
    (vii) The correspondence address, and
    (viii) 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);
    (2) A specification as prescribed by 35 U.S.C. 112(a), see Sec.
1.71;
    (3) Drawings, when necessary, see Sec. Sec.1.81 to 1.85; and
    (4) The prescribed filing fee and application size fee, see Sec.
1.16.
    (d) Applicants are encouraged to file an information disclosure 
statement in nonprovisional applications. See Sec.1.97 and Sec.1.98. 
No information disclosure statement may be filed in a provisional 
application.

[62 FR 53185, Oct. 10, 1997, as amended at 65 FR 54664, Sept. 8, 2000; 
68 FR 14336, Mar. 25, 2003; 70 FR 3889, Jan. 27, 2005; 77 FR 46624, Aug. 
6, 2012; 77 FR 48816, Aug. 14, 2012; 78 FR 62396, Oct. 21, 2013]



Sec.1.52  Language, paper, writing, margins, compact disc 
specifications.

    (a) Papers that are to become a part of the permanent United States 
Patent and Trademark Office records in the file of a patent application, 
or a reexamination or supplemental examination proceeding. (1) All 
papers, other than drawings, that are submitted on paper or by facsimile 
transmission, and are to become a part of the permanent United States 
Patent and Trademark Office records in the file of a patent application 
or reexamination or supplemental examination proceeding, must be on 
sheets of paper that are the same size, not permanently bound together, 
and:
    (i) Flexible, strong, smooth, non-shiny, durable, and white;

[[Page 56]]

    (ii) 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), with each sheet including 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);
    (iii) Written on only one side in portrait orientation;
    (iv) Plainly and legibly written either by a typewriter or machine 
printer in permanent dark ink or its equivalent; and
    (v) 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 capture by use of digital imaging and optical character 
recognition.
    (2) All papers that are submitted on paper or by facsimile 
transmission and are to become a part of the permanent records of the 
United States Patent and Trademark Office should have no holes in the 
sheets as submitted.
    (3) The provisions of this paragraph and paragraph (b) of this 
section do not apply to the pre-printed information on paper forms 
provided by the Office, or to the copy of the patent submitted on paper 
in double column format as the specification in a reissue application or 
request for reexamination.
    (4) See Sec.1.58 for chemical and mathematical formulae and 
tables, and Sec.1.84 for drawings.
    (5) Papers that are submitted electronically to the Office must be 
formatted and transmitted in compliance with the Office's electronic 
filing system requirements.
    (b) The application (specification, including the claims, drawings, 
and the inventor's oath or declaration) or reexamination or supplemental 
examination proceeding, any amendments to the application or 
reexamination proceeding, or any corrections to the application, or 
reexamination or supplemental examination proceeding. (1) The 
application or proceeding and any amendments or corrections to the 
application (including any translation submitted pursuant to paragraph 
(d) of this section) or proceeding, except as provided for in Sec.1.69 
and paragraph (d) of this section, must:
    (i) Comply with the requirements of paragraph (a) of this section; 
and
    (ii) Be in the English language 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.
    (2) The specification (including the abstract and claims) for other 
than reissue applications and reexamination or supplemental examination 
proceedings, and any amendments for applications (including reissue 
applications) and reexamination proceedings to the specification, except 
as provided for in Sec. Sec.1.821 through 1.825, must have:
    (i) Lines that are 1\1/2\ or double spaced;
    (ii) Text written in a nonscript type font (e.g., Arial, Times 
Roman, or Courier, preferably a font size of 12) lettering style having 
capital letters which should be at least 0.3175 cm. (0.125 inch) high, 
but may be no smaller than 0.21 cm. (0.08 inch) high (e.g., a font size 
of 6); and
    (iii) Only a single column of text.
    (3) The claim or claims must commence on a separate physical sheet 
or electronic page (Sec.1.75(h)).
    (4) The abstract must commence on a separate physical sheet or 
electronic page or be submitted as the first page of the patent in a 
reissue application or reexamination or supplemental examination 
proceeding (Sec.1.72(b)).
    (5) Other than in a reissue application or a reexamination or 
supplemental examination proceeding, 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.
    (6) Other than in a reissue application or reexamination or 
supplemental examination proceeding, the paragraphs of the 
specification, other than in the claims or abstract, may be numbered at 
the time the application is filed, and should be individually and 
consecutively numbered using Arabic numerals, so as to unambiguously 
identify each paragraph. The number should consist of at least four 
numerals

[[Page 57]]

enclosed in square brackets, including leading zeros (e.g., [0001]). The 
numbers and enclosing brackets should appear to the right of the left 
margin as the first item in each paragraph, before the first word of the 
paragraph, and should be highlighted in bold. A gap, equivalent to 
approximately four spaces, should follow the number. Nontext elements 
(e.g., tables, mathematical or chemical formulae, chemical structures, 
and sequence data) are considered part of the numbered paragraph around 
or above the elements, and should not be independently numbered. If a 
nontext element extends to the left margin, it should not be numbered as 
a separate and independent paragraph. A list is also treated as part of 
the paragraph around or above the list, and should not be independently 
numbered. Paragraph or section headers (titles), whether abutting the 
left margin or centered on the page, are not considered paragraphs and 
should not be numbered.
    (c) Interlineation, erasure, cancellation, or other alteration of 
the application papers may be made before or after the signing of the 
inventor's oath or declaration referring to those application papers, 
provided that the statements in the inventor's oath or declaration 
pursuant to Sec.1.63 remain applicable to those application papers. A 
substitute specification (Sec.1.125) may be required if the 
application papers do not comply with paragraphs (a) and (b) of this 
section.
    (d) A nonprovisional or provisional application under 35 U.S.C. 111 
may be in a language other than English.
    (1) Nonprovisional application. If a nonprovisional application 
under 35 U.S.C. 111(a) is filed in a language other than English, an 
English language translation of the non-English language application, a 
statement that the translation is accurate, and the processing fee set 
forth in Sec.1.17(i) are required. If these items are not filed with 
the application, the applicant will be notified and given a period of 
time within which they must be filed in order to avoid abandonment.
    (2) Provisional application. If a provisional application under 35 
U.S.C. 111(b) is filed in a language other than English, an English 
language translation of the non-English language provisional application 
will not be required in the provisional application. See Sec.1.78(a) 
for the requirements for claiming the benefit of such provisional 
application in a nonprovisional application.
    (e) Electronic documents that are to become part of the permanent 
United States Patent and Trademark Office records in the file of a 
patent application, or reexamination or supplemental examination 
proceeding. (1) The following documents may be submitted to the Office 
on a compact disc in compliance with this paragraph:
    (i) A computer program listing (see Sec.1.96);
    (ii) A ``Sequence Listing'' (submitted under Sec.1.821(c)); or
    (iii) Any individual table (see Sec.1.58) if the table is more 
than 50 pages in length, or if the total number of pages of all the 
tables in an application exceeds 100 pages in length, where a table page 
is a page printed on paper in conformance with paragraph (b) of this 
section and Sec.1.58(c).
    (2) A compact disc as used in this part means a Compact Disc-Read 
Only Memory (CD-ROM) or a Compact Disc-Recordable (CD-R) in compliance 
with this paragraph. A CD-ROM is a ``read-only'' medium on which the 
data is pressed into the disc so that it cannot be changed or erased. A 
CD-R is a ``write once'' medium on which once the data is recorded, it 
is permanent and cannot be changed or erased.
    (3)(i) Each compact disc must conform to the International 
Organization for Standardization (ISO) 9660 standard, and the contents 
of each compact disc must be in compliance with the American Standard 
Code for Information Interchange (ASCII).
    (ii) Each compact disc must be enclosed in a hard compact disc case 
within an unsealed padded and protective mailing envelope and 
accompanied by a transmittal letter on paper in accordance with 
paragraph (a) of this section. The transmittal letter must list for each 
compact disc the machine format (e.g., IBM-PC, Macintosh), the operating 
system compatibility (e.g., MS-DOS, MS-Windows, Macintosh, Unix), a list 
of files contained on the compact disc including their names, sizes in

[[Page 58]]

bytes, and dates of creation, plus any other special information that is 
necessary to identify, maintain, and interpret (e.g., tables in 
landscape orientation should be identified as landscape orientation or 
be identified when inquired about) the information on the compact disc. 
Compact discs submitted to the Office will not be returned to the 
applicant.
    (4) Any compact disc must be submitted in duplicate unless it 
contains only the ``Sequence Listing'' in computer readable form 
required by Sec.1.821(e). The compact disc and duplicate copy must be 
labeled ``Copy 1'' and ``Copy 2,'' respectively. The transmittal letter 
which accompanies the compact disc must include a statement that the two 
compact discs are identical. In the event that the two compact discs are 
not identical, the Office will use the compact disc labeled ``Copy 1'' 
for further processing. Any amendment to the information on a compact 
disc must be by way of a replacement compact disc in compliance with 
this paragraph containing the substitute information, and must be 
accompanied by a statement that the replacement compact disc contains no 
new matter. The compact disc and copy must be labeled ``COPY 1 
REPLACEMENT MM/DD/YYYY'' (with the month, day and year of creation 
indicated), and ``COPY 2 REPLACEMENT MM/DD/YYYY,'' respectively.
    (5) The specification must contain an incorporation-by-reference of 
the material on the compact disc in a separate paragraph (Sec.
1.77(b)(5)), identifying each compact disc by the names of the files 
contained on each of the compact discs, their date of creation and their 
sizes in bytes. The Office may require applicant to amend the 
specification to include in the paper portion any part of the 
specification previously submitted on compact disc.
    (6) A compact disc must also be labeled with the following 
information:
    (i) The name of each inventor (if known);
    (ii) Title of the invention;
    (iii) The docket number, or application number if known, used by the 
person filing the application to identify the application;
    (iv) A creation date of the compact disc;
    (v) If multiple compact discs are submitted, the label shall 
indicate their order (e.g., ``1 of X''); and
    (vi) An indication that the disc is ``Copy 1'' or ``Copy 2'' of the 
submission. See paragraph (b)(4) of this section.
    (7) If a file is unreadable on both copies of the disc, the 
unreadable file will be treated as not having been submitted. A file is 
unreadable if, for example, it is of a format that does not comply with 
the requirements of paragraph (e)(3) of this section, it is corrupted by 
a computer virus, or it is written onto a defective compact disc.
    (f)(1) Any sequence listing in an electronic medium in compliance 
with Sec. Sec.1.52(e) and 1.821(c) or (e), and any computer program 
listing filed in an electronic medium in compliance with Sec. Sec.
1.52(e) and 1.96, will be excluded when determining the application size 
fee required by Sec.1.16(s) or Sec.1.492(j). For purposes of 
determining the application size fee required by Sec.1.16(s) or Sec.
1.492(j), for an application the specification and drawings of which, 
excluding any sequence listing in compliance with Sec.1.821(c) or (e), 
and any computer program listing filed in an electronic medium in 
compliance with Sec. Sec.1.52(e) and 1.96, are submitted in whole or 
in part on an electronic medium other than the Office electronic filing 
system, each three kilobytes of content submitted on an electronic 
medium shall be counted as a sheet of paper.
    (2) Except as otherwise provided in this paragraph, the paper size 
equivalent of the specification and drawings of an application submitted 
via the Office electronic filing system will be considered to be 
seventy-five percent of the number of sheets of paper present in the 
specification and drawings of the application when entered into the 
Office file wrapper after being rendered by the Office electronic filing 
system for purposes of determining the application size fee required by 
Sec.1.16(s). Any sequence listing in compliance with Sec.1.821(c) or 
(e), and any computer program listing in compliance with Sec.1.96,

[[Page 59]]

submitted via the Office electronic filing system will be excluded when 
determining the application size fee required by Sec.1.16(s) if the 
listing is submitted in ASCII text as part of an associated file.

(Pub. L. 94-131, 89 Stat. 685; 35 U.S.C. 6, Pub. L. 97-247; 15 U.S.C. 
1113, 1123)

[43 FR 20462, May 11, 1978]

    Editorial Note: For Federal Register citations affecting Sec.1.52, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.govinfo.gov.



Sec.1.53  Application number, filing date, and completion of application.

    (a) 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.
    (b) Application filing requirements--Nonprovisional application. The 
filing date of an application for patent filed under this section, other 
than an application for a design patent or a provisional application 
under paragraph (c) of this section, is the date on which a 
specification, with or without claims, is received in the Office. The 
filing date of an application for a design patent filed under this 
section, except for a continued prosecution application under paragraph 
(d) of this section, is the date on which the specification as 
prescribed by 35 U.S.C. 112, including at least one claim, and any 
required drawings are received in the 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, 365(c), or 386(c) and Sec.1.78.
    (1) 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.
    (2) 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.
    (c) Application filing requirements--Provisional application. The 
filing date of a provisional application is the date on which a 
specification, with or without claims, is received in the 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.
    (1) A provisional application must also include the cover sheet 
required by Sec.1.51(c)(1), which may be an application data sheet 
(Sec.1.76), 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.
    (2) 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. The grant of such a request for conversion will not 
entitle applicant to a refund of the fees that were properly paid in the 
application filed under paragraph (b) of this section. Such a request 
for conversion must be accompanied by the processing fee set forth in 
Sec.1.17(q) and be filed prior to the earliest of:
    (i) Abandonment of the application filed under paragraph (b) of this 
section;
    (ii) Payment of the issue fee on the application filed under 
paragraph (b) of this section; or
    (iii) Expiration of twelve months after the filing date of the 
application filed under paragraph (b) of this section.
    (3) A provisional application filed under paragraph (c) of this 
section may be converted to a nonprovisional application filed under 
paragraph (b) of this section and accorded the original filing date of 
the provisional application. The conversion of a provisional application 
to a nonprovisional application will not result in either the refund of 
any fee properly paid in the provisional application or the application 
of any such fee to the filing fee, or any other fee,

[[Page 60]]

for the nonprovisional application. Conversion of a provisional 
application to a nonprovisional application under this paragraph will 
result in the term of any patent to issue from the application being 
measured from at least the filing date of the provisional application 
for which conversion is requested. Thus, applicants should consider 
avoiding this adverse patent term impact by filing a nonprovisional 
application claiming the benefit of the provisional application under 35 
U.S.C. 119(e), rather than converting the provisional application into a 
nonprovisional application pursuant to this paragraph. A request to 
convert a provisional application to a nonprovisional application must 
be accompanied by the fee set forth in Sec.1.17(i) and an amendment 
including at least one claim as prescribed by 35 U.S.C. 112(b), unless 
the provisional application under paragraph (c) of this section 
otherwise contains at least one claim as prescribed by 35 U.S.C. 112(b). 
The nonprovisional application resulting from conversion of a 
provisional application must also include the filing fee, search fee, 
and examination fee for a nonprovisional application, and the surcharge 
required by Sec.1.16(f) if either the basic filing fee for a 
nonprovisional application or the inventor's oath or declaration was not 
present on the filing date accorded the resulting nonprovisional 
application (i.e., the filing date of the original provisional 
application). A request to convert a provisional application to a 
nonprovisional application must also be filed prior to the earliest of:
    (i) Abandonment of the provisional application filed under paragraph 
(c) of this section; or
    (ii) Expiration of twelve months after the filing date of the 
provisional application filed under paragraph (c) of this section.
    (4) A provisional application is not entitled to the right of 
priority under 35 U.S.C. 119, 365(a), or 386(a) or Sec.1.55, or to the 
benefit of an earlier filing date under 35 U.S.C. 120, 121, 365(c), or 
386(c) or Sec.1.78 of any other application. No claim for priority 
under 35 U.S.C. 119(e) or Sec.1.78(a) may be made in a design 
application based on a provisional application. The requirements of 
Sec. Sec.1.821 through 1.825 regarding application disclosures 
containing nucleotide and/or amino acid sequences are not mandatory for 
provisional applications.
    (d) Application filing requirements--Continued prosecution 
(nonprovisional) application. (1) 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:
    (i) The application is for a design patent;
    (ii) The prior nonprovisional application is a design application, 
but not an international design application, that is complete as defined 
by Sec.1.51(b), except for the inventor's oath or declaration if the 
application is filed on or after September 16, 2012, and the prior 
nonprovisional application contains an application data sheet meeting 
the conditions specified in Sec.1.53(f)(3)(i); and
    (iii) The application under this paragraph is filed before the 
earliest of:
    (A) Payment of the issue fee on the prior application, unless a 
petition under Sec.1.313(c) is granted in the prior application;
    (B) Abandonment of the prior application; or
    (C) Termination of proceedings on the prior application.
    (2) 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:
    (i) Must identify the prior application;
    (ii) Discloses and claims only subject matter disclosed in the prior 
application;
    (iii) 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;
    (iv) 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 the inventor's

[[Page 61]]

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
    (v) Is a request to expressly abandon the prior application as of 
the filing date of the request for an application under this paragraph.
    (3) The filing fee, search fee, and examination fee for a continued 
prosecution application filed under this paragraph are the basic filing 
fee as set forth in Sec.1.16(b), the search fee as set forth in Sec.
1.16(l), and the examination fee as set forth in Sec.1.16(p).
    (4) 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 correction of inventorship under 
Sec.1.48.
    (5) 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 Sec.1.125.
    (6) 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 Sec.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.
    (7) 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.
    (8) 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:
    (i) Title of invention;
    (ii) Name of applicant(s); and
    (iii) Correspondence address.
    (9) See Sec.1.103(b) for requesting a limited suspension of action 
in an application filed under this paragraph.
    (e) Failure to meet filing date requirements. (1) 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 period of time within which to correct the filing 
error. If, however, a request for an application under paragraph (d) of 
this section does not meet the requirements of that paragraph because 
the application in which the request was filed is not a design 
application, and if the application in which the request was filed was 
itself filed on or after June 8, 1995, the request for an application 
under paragraph (d) of this section will be treated as a request for 
continued examination under Sec.1.114.
    (2) 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 accompanied by the fee set 
forth in Sec.1.17(f). In the absence of a timely (Sec.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

[[Page 62]]

paragraph (e)(1) of this section will be the date the filing error is 
corrected.
    (3) 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 (Sec.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 Sec.
1.21(n), will be refunded.
    (f) Completion of application subsequent to filing--Nonprovisional 
(including continued prosecution or reissue) application. (1) If an 
application which has been accorded a filing date pursuant to paragraph 
(b) or (d) of this section does not include the basic filing fee, search 
fee, or examination fee, or if an application which has been accorded a 
filing date pursuant to paragraph (b) of this section does not include 
at least one claim or the inventor's oath or declaration (Sec. Sec.
1.63, 1.64, 1.162, or 1.175), and the applicant has provided a 
correspondence address (Sec.1.33(a)), the applicant will be notified 
and given a period of time within which to file a claim or claims, pay 
the basic filing fee, search fee, and examination fee, and pay the 
surcharge if required by Sec.1.16(f), to avoid abandonment.
    (2) If an application which has been accorded a filing date pursuant 
to paragraph (b) of this section does not include the basic filing fee, 
search fee, examination fee, at least one claim, or the inventor's oath 
or declaration, and the applicant has not provided a correspondence 
address (Sec.1.33(a)), the applicant has three months from the filing 
date of the application within which to file a claim or claims, pay the 
basic filing fee, search fee, and examination fee, and pay the surcharge 
required by Sec.1.16(f), to avoid abandonment.
    (3) The inventor's oath or declaration in an application under Sec.
1.53(b) must also be filed within the period specified in paragraph 
(f)(1) or (f)(2) of this section, except that the filing of the 
inventor's oath or declaration may be postponed until the application is 
otherwise in condition for allowance under the conditions specified in 
paragraphs (f)(3)(i) and (f)(3)(ii) of this section.
    (i) The application must be an original (non-reissue) application 
that contains an application data sheet in accordance with Sec.1.76 
identifying:
    (A) Each inventor by his or her legal name;
    (B) A mailing address where the inventor customarily receives mail, 
and residence, if an inventor lives at a location which is different 
from where the inventor customarily receives mail, for each inventor.
    (ii) The applicant must file each required oath or declaration in 
compliance with Sec.1.63, or substitute statement in compliance with 
Sec.1.64, no later than the date on which the issue fee for the patent 
is paid. If the applicant is notified in a notice of allowability that 
an oath or declaration in compliance with Sec.1.63, or substitute 
statement in compliance with Sec.1.64, executed by or with respect to 
each named inventor has not been filed, the applicant must file each 
required oath or declaration in compliance with Sec.1.63, or 
substitute statement in compliance with Sec.1.64, no later than the 
date on which the issue fee is paid to avoid abandonment. This time 
period is not extendable under Sec.1.136 (see Sec.1.136(c)). The 
Office may dispense with the notice provided for in paragraph (f)(1) of 
this section if each required oath or declaration in compliance with 
Sec.1.63, or substitute statement in compliance with Sec.1.64, has 
been filed before the application is in condition for allowance.
    (4) If the excess claims fees required by Sec.1.16(h) and (i) and 
multiple dependent claim fee required by Sec.1.16(j) are not paid on 
filing or on later presentation of the claims for which the excess 
claims or multiple dependent claim fees are due, the fees required by 
Sec.1.16(h), (i), and (j) 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. If the application size fee 
required by Sec.1.16(s) (if any) is not paid on filing or on later 
presentation of the amendment necessitating a fee or additional fee 
under Sec.1.16(s), the fee required by Sec.1.16(s) must be paid 
prior to the expiration of the time period set for reply by the Office 
in any notice of

[[Page 63]]

fee deficiency in order to avoid abandonment.
    (5) This paragraph applies to continuation or divisional 
applications under paragraphs (b) or (d) of this section and to 
continuation-in-part applications under paragraph (b) of this section. 
See Sec.1.63(d) concerning the submission of a copy of the inventor's 
oath or declaration from the prior application for a continuing 
application under paragraph (b) of this section.
    (6) If applicant does not pay the basic filing fee during the 
pendency of the application, the Office may dispose of the application.
    (g) Completion of application subsequent to filing--Provisional 
application. (1) If a provisional application which has been accorded a 
filing date pursuant to paragraph (c) of this section does not include 
the cover sheet required by Sec.1.51(c)(1) or the basic filing fee 
(Sec.1.16(d)), and applicant has provided a correspondence address 
(Sec.1.33(a)), applicant will be notified and given a period of time 
within which to pay the basic filing fee, file a cover sheet (Sec.
1.51(c)(1)), and pay the surcharge required by Sec.1.16(g) to avoid 
abandonment.
    (2) If a provisional application which has been accorded a filing 
date pursuant to paragraph (c) of this section does not include the 
cover sheet required by Sec.1.51(c)(1) or the basic filing fee (Sec.
1.16(d)), and applicant has not provided a correspondence address (Sec.
1.33(a)), applicant has two months from the filing date of the 
application within which to pay the basic filing fee, file a cover sheet 
(Sec.1.51(c)(1)), and pay the surcharge required by Sec.1.16(g) to 
avoid abandonment.
    (3) If the application size fee required by Sec.1.16(s) (if any) 
is not paid on filing, the fee required by Sec.1.16(s) must be paid 
prior to the expiration of the time period set for reply by the Office 
in any notice of fee deficiency in order to avoid abandonment.
    (4) If applicant does not pay the basic filing fee during the 
pendency of the application, the Office may dispose of the application.
    (h) 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 the inventor's oath or 
declaration may be filed when the application is otherwise in condition 
for allowance pursuant to paragraph (f)(3) of this section and minor 
informalities may be waived subject to subsequent correction whenever 
required.
    (i) 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).

[62 FR 53186, Oct. 10, 1997, as amended at 63 FR 5734, Feb. 4, 1998; 65 
FR 14871, Mar. 20, 2000; 65 FR 50104, Aug. 16, 2000; 65 FR 54665, Sept. 
8, 2000; 65 FR 78960, Dec. 18, 2000; 68 FR 14336, Mar. 25, 2003; 68 FR 
32380, May 30, 2003; 69 FR 29878, May 26, 2004; 69 FR 56539, Sept. 21, 
2004; 70 FR 3890, Jan. 27, 2005; 70 FR 30365, May 26, 2005; 72 FR 46836, 
Aug. 21, 2007; 74 FR 52688, Oct. 14, 2009; 77 FR 48817, Aug. 14, 2012; 
78 FR 11053, Feb. 14, 2013; 78 FR 62398, Oct. 21, 2013; 79 FR 12386, 
Mar. 5, 2014; 80 FR 17956, Apr. 2, 2015]



Sec.1.54  Parts of application to be filed together; filing receipt.

    (a) It is desirable that all parts of the complete application be 
deposited in the Office together; otherwise, a letter must accompany 
each part, accurately and clearly connecting it with the other parts of 
the application. See Sec.1.53 (f) and (g) with regard to completion of 
an application.
    (b) Applicant will be informed of the application number and filing 
date by a filing receipt, unless the application is an application filed 
under Sec.1.53(d). A letter limited to a request for a filing receipt 
may be signed by a juristic applicant or patent owner.

[62 FR 53188, Oct. 10, 1997, as amended at 78 FR 62399, Oct. 21, 2013]



Sec.1.55  Claim for foreign priority.

    (a) In general. An applicant in a nonprovisional application may 
claim priority to one or more prior foreign applications under the 
conditions specified in 35 U.S.C. 119(a) through (d) and (f), 172, 
365(a) and (b), and 386(a) and (b) and this section.

[[Page 64]]

    (b) Time for filing subsequent application. The nonprovisional 
application must be:
    (1) Filed not later than twelve months (six months in the case of a 
design application) after the date on which the foreign application was 
filed, subject to paragraph (c) of this section (a subsequent 
application); or
    (2) Entitled to claim the benefit under 35 U.S.C. 120, 121, 365(c), 
or 386(c) of a subsequent application that was filed within the period 
set forth in paragraph (b)(1) of this section.
    (c) Delayed filing of subsequent application. If the subsequent 
application has a filing date which is after the expiration of the 
period set forth in paragraph (b)(1) of this section, but within two 
months from the expiration of the period set forth in paragraph (b)(1) 
of this section, the right of priority in the subsequent application may 
be restored under PCT Rule 26bis.3 for an international application, or 
upon petition pursuant to this paragraph, if the delay in filing the 
subsequent application within the period set forth in paragraph (b)(1) 
of this section was unintentional. A petition to restore the right of 
priority under this paragraph filed on or after May 13, 2015, must be 
filed in the subsequent application, or in the earliest nonprovisional 
application claiming benefit under 35 U.S.C. 120, 121, 365(c), or 386(c) 
to the subsequent application, if such subsequent application is not a 
nonprovisional application. Any petition to restore the right of 
priority under this paragraph must include:
    (1) The priority claim under 35 U.S.C. 119(a) through (d) or (f), 
365(a) or (b), or 386(a) or (b) in an application data sheet (Sec.
1.76(b)(6)), identifying the foreign application to which priority is 
claimed, by specifying the application number, country (or intellectual 
property authority), day, month, and year of its filing, unless 
previously submitted;
    (2) The petition fee as set forth in Sec.1.17(m); and
    (3) A statement that the delay in filing the subsequent application 
within the period set forth in paragraph (b)(1) of this section was 
unintentional. The Director may require additional information where 
there is a question whether the delay was unintentional.
    (d) Time for filing priority claim--(1) Application under 35 U.S.C. 
111(a). The claim for priority must be filed within the later of four 
months from the actual filing date of the application or sixteen months 
from the filing date of the prior foreign application in an original 
application filed under 35 U.S.C. 111(a), except as provided in 
paragraph (e) of this section. The claim for priority must be presented 
in an application data sheet (Sec.1.76(b)(6)) and must identify the 
foreign application to which priority is claimed by specifying the 
application number, country (or intellectual property authority), day, 
month, and year of its filing. The time periods in this paragraph do not 
apply if the later-filed application is:
    (i) An application for a design patent; or
    (ii) An application filed under 35 U.S.C. 111(a) before November 29, 
2000.
    (2) Application under 35 U.S.C. 371. The claim for priority must be 
made within the time limit set forth in the PCT and the Regulations 
under the PCT in an international application entering the national 
stage under 35 U.S.C. 371, except as provided in paragraph (e) of this 
section.
    (e) Delayed priority claim. Unless such claim is accepted in 
accordance with the provisions of this paragraph, any claim for priority 
under 35 U.S.C. 119(a) through (d) or (f), 365(a) or (b), or 386(a) or 
386(b) not presented in the manner required by paragraph (d) or (m) of 
this section during pendency and within the time period provided by 
paragraph (d) of this section (if applicable) is considered to have been 
waived. If a claim for priority is considered to have been waived under 
this section, the claim may be accepted if the priority claim was 
unintentionally delayed. A petition to accept a delayed claim for 
priority under 35 U.S.C. 119(a) through (d) or (f), 365(a) or (b), or 
386(a) or 386(b) must be accompanied by:
    (1) The priority claim under 35 U.S.C. 119(a) through (d) or (f), 
365(a) or (b), or 386(a) or 386(b) in an application data sheet (Sec.
1.76(b)(6)), identifying the foreign application to which priority is 
claimed, by specifying the application

[[Page 65]]

number, country (or intellectual property authority), day, month, and 
year of its filing, unless previously submitted;
    (2) A certified copy of the foreign application, unless previously 
submitted or an exception in paragraph (h), (i), or (j) of this section 
applies;
    (3) The petition fee as set forth in Sec.1.17(m); and
    (4) A statement that the entire delay between the date the priority 
claim was due under this section and the date the priority claim was 
filed was unintentional. The Director may require additional information 
where there is a question whether the delay was unintentional.
    (f) Time for filing certified copy of foreign application--(1) 
Application under 35 U.S.C. 111(a). A certified copy of the foreign 
application must be filed within the later of four months from the 
actual filing date of the application, or sixteen months from the filing 
date of the prior foreign application, in an original application under 
35 U.S.C. 111(a) filed on or after March 16, 2013, except as provided in 
paragraphs (h), (i), and (j) of this section. The time period in this 
paragraph does not apply in a design application.
    (2) Application under 35 U.S.C. 371. A certified copy of the foreign 
application must be filed within the time limit set forth in the PCT and 
the Regulations under the PCT in an international application entering 
the national stage under 35 U.S.C. 371. If a certified copy of the 
foreign application is not filed during the international stage in an 
international application in which the national stage commenced on or 
after December 18, 2013, a certified copy of the foreign application 
must be filed within the later of four months from the date on which the 
national stage commenced under 35 U.S.C. 371(b) or (f) (Sec.1.491(a)), 
four months from the date of the initial submission under 35 U.S.C. 371 
to enter the national stage, or sixteen months from the filing date of 
the prior foreign application, except as provided in paragraphs (h), 
(i), and (j) of this section.
    (3) If a certified copy of the foreign application is not filed 
within the time period specified paragraph (f)(1) of this section in an 
application under 35 U.S.C. 111(a) or within the period specified in 
paragraph (f)(2) of this section in an international application 
entering the national stage under 35 U.S.C. 371, and an exception in 
paragraph (h), (i), or (j) of this section is not applicable, the 
certified copy of the foreign application must be accompanied by a 
petition including a showing of good and sufficient cause for the delay 
and the petition fee set forth in Sec.1.17(g).
    (g) Requirement for filing priority claim, certified copy of foreign 
application, and translation in any application. (1) The claim for 
priority and the certified copy of the foreign application specified in 
35 U.S.C. 119(b) or PCT Rule 17 must, in any event, be filed within the 
pendency of the application, unless filed with a petition under 
paragraph (e) or (f) of this section, or with a petition accompanied by 
the fee set forth in Sec.1.17(g) which includes a showing of good and 
sufficient cause for the delay in filing the certified copy of the 
foreign application in a design application. If the claim for priority 
or the certified copy of the foreign application is filed after the date 
the issue fee is paid, the patent will not include the priority claim 
unless corrected by a certificate of correction under 35 U.S.C. 255 and 
Sec.1.323.
    (2) The Office may require that the claim for priority and the 
certified copy of the foreign application be filed earlier than 
otherwise provided in this section:
    (i) When the application is involved in an interference (see Sec.
41.202 of this chapter) or derivation (see part 42 of this chapter) 
proceeding;
    (ii) When necessary to overcome the date of a reference relied upon 
by the examiner; or
    (iii) When deemed necessary by the examiner.
    (3) An English language translation of a non-English language 
foreign application is not required except:
    (i) When the application is involved in an interference (see Sec.
41.202 of this chapter) or derivation (see part 42 of this chapter) 
proceeding;
    (ii) When necessary to overcome the date of a reference relied upon 
by the examiner; or
    (iii) When specifically required by the examiner.

[[Page 66]]

    (4) If an English language translation of a non-English language 
foreign application is required, it must be filed together with a 
statement that the translation of the certified copy is accurate.
    (h) Certified copy in another U.S. patent or application. The 
requirement in paragraphs (f) and (g) of this section for a certified 
copy of the foreign application will be considered satisfied in a 
reissue application if the patent for which reissue is sought satisfies 
the requirement of this section for a certified copy of the foreign 
application and such patent is identified as containing a certified copy 
of the foreign application. The requirement in paragraphs (f) and (g) of 
this section for a certified copy of the foreign application will also 
be considered satisfied in an application if a prior-filed 
nonprovisional application for which a benefit is claimed under 35 
U.S.C. 120, 121, 365(c), or 386(c) contains a certified copy of the 
foreign application and such prior-filed nonprovisional application is 
identified as containing a certified copy of the foreign application.
    (i) Foreign intellectual property office participating in a priority 
document exchange agreement. The requirement in paragraphs (f) and (g) 
of this section for a certified copy of the foreign application to be 
filed within the time limit set forth therein will be considered 
satisfied if:
    (1) The foreign application was filed in a foreign intellectual 
property office participating with the Office in a bilateral or 
multilateral priority document exchange agreement (participating foreign 
intellectual property office), or a copy of the foreign application was 
filed in an application subsequently filed in a participating foreign 
intellectual property office that permits the Office to obtain such a 
copy;
    (2) The claim for priority is presented in an application data sheet 
(Sec.1.76(b)(6)), identifying the foreign application for which 
priority is claimed, by specifying the application number, country (or 
intellectual property authority), day, month, and year of its filing, 
and the applicant provides the information necessary for the 
participating foreign intellectual property office to provide the Office 
with access to the foreign application;
    (3) The copy of the foreign application is received by the Office 
from the participating foreign intellectual property office, or a 
certified copy of the foreign application is filed, within the period 
specified in paragraph (g)(1) of this section; and
    (4) The applicant files in a separate document a request that the 
Office obtain a copy of the foreign application from a participating 
intellectual property office that permits the Office to obtain such a 
copy where, although the foreign application was not filed in a 
participating foreign intellectual property office, a copy of the 
foreign application was filed in an application subsequently filed in a 
participating foreign intellectual property office that permits the 
Office to obtain such a copy. The request must identify the 
participating intellectual property office and the subsequent 
application by the application number, day, month, and year of its 
filing in which a copy of the foreign application was filed. The request 
must be filed within the later of sixteen months from the filing date of 
the prior foreign application, four months from the actual filing date 
of an application under 35 U.S.C. 111(a), four months from the date on 
which the national stage commenced under 35 U.S.C. 371(b) or (f) (Sec.
1.491(a)), or four months from the date of the initial submission under 
35 U.S.C. 371 to enter the national stage, or the request must be 
accompanied by a petition under paragraph (e) or (f) of this section.
    (j) Interim copy. The requirement in paragraph (f) of this section 
for a certified copy of the foreign application to be filed within the 
time limit set forth therein will be considered satisfied if:
    (1) A copy of the original foreign application clearly labeled as 
``Interim Copy,'' including the specification, and any drawings or 
claims upon which it is based, is filed in the Office together with a 
separate cover sheet identifying the foreign application by specifying 
the application number, country (or intellectual property authority), 
day, month, and year of its filing, and stating that the copy filed in 
the Office is a true copy of the original application

[[Page 67]]

as filed in the foreign country (or intellectual property authority);
    (2) The copy of the foreign application and separate cover sheet are 
filed within the later of sixteen months from the filing date of the 
prior foreign application, four months from the actual filing date of an 
application under 35 U.S.C. 111(a), four months from the date on which 
the national stage commenced under 35 U.S.C. 371(b) or (f) (Sec.
1.491(a)), four months from the date of the initial submission under 35 
U.S.C. 371 to enter the national stage, or with a petition under 
paragraph (e) or (f) of this section; and
    (3) A certified copy of the foreign application is filed within the 
period specified in paragraph (g)(1) of this section.
    (k) Requirements for certain applications filed on or after March 
16, 2013. If a nonprovisional application filed on or after March 16, 
2013, other than a nonprovisional international design application, 
claims priority to a foreign application filed prior to March 16, 2013, 
and also contains, or contained at any time, a claim to a claimed 
invention that has an effective filing date as defined in Sec.1.109 
that is on or after March 16, 2013, the applicant must provide a 
statement to that effect within the later of four months from the actual 
filing date of the nonprovisional application, four months from the date 
of entry into the national stage as set forth in Sec.1.491 in an 
international application, sixteen months from the filing date of the 
prior foreign application, or the date that a first claim to a claimed 
invention that has an effective filing date on or after March 16, 2013, 
is presented in the nonprovisional application. An applicant is not 
required to provide such a statement if the applicant reasonably 
believes on the basis of information already known to the individuals 
designated in Sec.1.56(c) that the nonprovisional application does 
not, and did not at any time, contain a claim to a claimed invention 
that has an effective filing date on or after March 16, 2013.
    (l) Inventor's certificates. An applicant in a nonprovisional 
application may under certain circumstances claim priority on the basis 
of one or more applications for an inventor's certificate in a country 
granting both inventor's certificates and patents. To claim the right of 
priority on the basis of an application for an inventor's certificate in 
such a country under 35 U.S.C. 119(d), the applicant, when submitting a 
claim for such right as specified in this section, must include an 
affidavit or declaration. The affidavit or declaration must include a 
specific statement that, upon an investigation, he or she is satisfied 
that to the best of his or her knowledge, the applicant, when filing the 
application for the inventor's certificate, had the option to file an 
application for either a patent or an inventor's certificate as to the 
subject matter of the identified claim or claims forming the basis for 
the claim of priority.
    (m) Time for filing priority claim and certified copy of foreign 
application in an international design application designating the 
United States. In an international design application designating the 
United States, the claim for priority may be made in accordance with the 
Hague Agreement and the Hague Agreement Regulations. In a nonprovisional 
international design application, the priority claim, unless made in 
accordance with the Hague Agreement and the Hague Agreement Regulations, 
must be presented in an application data sheet (Sec.1.76(b)(6)), 
identifying the foreign application for which priority is claimed, by 
specifying the application number, country (or intellectual property 
authority), day, month, and year of its filing. In a nonprovisional 
international design application, the priority claim and certified copy 
must be furnished in accordance with the time period and other 
conditions set forth in paragraph (g) of this section.
    (n) Applications filed before September 16, 2012. Notwithstanding 
the requirement in paragraphs (d)(1), (e)(1), and (i)(2) of this section 
that any priority claim be presented in an application data sheet (Sec.
1.76), this requirement in paragraphs (d)(1), (e)(1), and (i)(2) of this 
section will be satisfied by the presentation of such priority claim in 
the oath or declaration under Sec.1.63 in a nonprovisional application 
filed under 35 U.S.C. 111(a) before September 16, 2012, or resulting 
from an international

[[Page 68]]

application filed under 35 U.S.C. 363 before September 16, 2012. The 
provisions of this paragraph do not apply to any priority claim 
submitted for a petition under paragraph (c) of this section to restore 
the right of priority to a foreign application.
    (o) Priority under 35 U.S.C. 386(a) or (b). The right of priority 
under 35 U.S.C. 386(a) or (b) with respect to an international design 
application is applicable only to nonprovisional applications, 
international applications, and international design applications filed 
on or after May 13, 2015, and patents issuing thereon.
    (p) Time periods in this section. The time periods set forth in this 
section are not extendable, but are subject to 35 U.S.C. 21(b) (and 
Sec.1.7(a)), PCT Rule 80.5, and Hague Agreement Rule 4(4).

[80 FR 17956, Apr. 2, 2015]



Sec.1.56  Duty to disclose information material to patentability.

    (a) A patent by its very nature is affected with a public interest. 
The public interest is best served, and the most effective patent 
examination occurs when, at the time an application is being examined, 
the Office is aware of and evaluates the teachings of all information 
material to patentability. Each individual associated with the filing 
and prosecution of a patent application has a duty of candor and good 
faith in dealing with the Office, which includes a duty to disclose to 
the Office all information known to that individual to be material to 
patentability as defined in this section. The duty to disclose 
information exists with respect to each pending claim until the claim is 
cancelled or withdrawn from consideration, or the application becomes 
abandoned. Information material to the patentability of a claim that is 
cancelled or withdrawn from consideration need not be submitted if the 
information is not material to the patentability of any claim remaining 
under consideration in the application. There is no duty to submit 
information which is not material to the patentability of any existing 
claim. The duty to disclose all information known to be material to 
patentability is deemed to be satisfied if all information known to be 
material to patentability of any claim issued in a patent was cited by 
the Office or submitted to the Office in the manner prescribed by 
Sec. Sec.1.97(b)-(d) and 1.98. However, no patent will be granted on 
an application in connection with which fraud on the Office was 
practiced or attempted or the duty of disclosure was violated through 
bad faith or intentional misconduct. The Office encourages applicants to 
carefully examine:
    (1) Prior art cited in search reports of a foreign patent office in 
a counterpart application, and
    (2) The closest information over which individuals associated with 
the filing or prosecution of a patent application believe any pending 
claim patentably defines, to make sure that any material information 
contained therein is disclosed to the Office.
    (b) Under this section, information is material to patentability 
when it is not cumulative to information already of record or being made 
of record in the application, and
    (1) It establishes, by itself or in combination with other 
information, a prima facie case of unpatentability of a claim; or
    (2) It refutes, or is inconsistent with, a position the applicant 
takes in:
    (i) Opposing an argument of unpatentability relied on by the Office, 
or
    (ii) Asserting an argument of patentability.

A prima facie case of unpatentability is established when the 
information compels a conclusion that a claim is unpatentable under the 
preponderance of evidence, burden-of-proof standard, giving each term in 
the claim its broadest reasonable construction consistent with the 
specification, and before any consideration is given to evidence which 
may be submitted in an attempt to establish a contrary conclusion of 
patentability.
    (c) Individuals associated with the filing or prosecution of a 
patent application within the meaning of this section are:
    (1) Each inventor named in the application;
    (2) Each attorney or agent who prepares or prosecutes the 
application; and

[[Page 69]]

    (3) Every other person who is substantively involved in the 
preparation or prosecution of the application and who is associated with 
the inventor, the applicant, an assignee, or anyone to whom there is an 
obligation to assign the application.
    (d) Individuals other than the attorney, agent or inventor may 
comply with this section by disclosing information to the attorney, 
agent, or inventor.
    (e) In any continuation-in-part application, the duty under this 
section includes the duty to disclose to the Office all information 
known to the person to be material to patentability, as defined in 
paragraph (b) of this section, which became available between the filing 
date of the prior application and the national or PCT international 
filing date of the continuation-in-part application.

[57 FR 2034, Jan. 17, 1992, as amended at 65 FR 54666, Sept. 8, 2000; 77 
FR 48818, Aug. 14, 2012]



Sec.1.57  Incorporation by reference.

    (a) Subject to the conditions and requirements of this paragraph, a 
reference made in the English language in an application data sheet in 
accordance with Sec.1.76 upon the filing of an application under 35 
U.S.C. 111(a) to a previously filed application, indicating that the 
specification and any drawings of the application under 35 U.S.C. 111(a) 
are replaced by the reference to the previously filed application, and 
specifying the previously filed application by application number, 
filing date, and the intellectual property authority or country in which 
the previously filed application was filed, shall constitute the 
specification and any drawings of the application under 35 U.S.C. 111(a) 
for purposes of a filing date under Sec.1.53(b).
    (1) If the applicant has provided a correspondence address (Sec.
1.33(a)), the applicant will be notified and given a period of time 
within which to file a copy of the specification and drawings from the 
previously filed application, an English language translation of the 
previously filed application, and the fee required by Sec.1.17(i) if 
it is in a language other than English, and pay the surcharge required 
by Sec.1.16(f), to avoid abandonment. Such a notice may be combined 
with a notice under Sec.1.53(f).
    (2) If the applicant has not provided a correspondence address 
(Sec.1.33(a)), the applicant has three months from the filing date of 
the application to file a copy of the specification and drawings from 
the previously filed application, an English language translation of the 
previously filed application, and the fee required by Sec.1.17(i) if 
it is in a language other than English, and pay the surcharge required 
by Sec.1.16(f), to avoid abandonment.
    (3) An application abandoned under paragraph (a)(1) or (a)(2) of 
this section shall be treated as having never been filed, unless:
    (i) The application is revived under Sec.1.137; and
    (ii) A copy of the specification and any drawings of the previously 
filed application are filed in the Office.
    (4) A certified copy of the previously filed application must be 
filed in the Office, unless the previously filed application is an 
application filed under 35 U.S.C. 111 or 363, or the previously filed 
application is a foreign priority application and the conditions set 
forth in Sec.1.55(i) are satisfied with respect to such foreign 
priority application. The certified copy of the previously filed 
application, if required by this paragraph, must be filed within the 
later of four months from the filing date of the application or sixteen 
months from the filing date of the previously filed application, or be 
accompanied by a petition including a showing of good and sufficient 
cause for the delay and the petition fee set forth in Sec.1.17(g).
    (b) Subject to the conditions and requirements of this paragraph, if 
all or a portion of the specification or drawing(s) is inadvertently 
omitted from an application, but the application contains a claim under 
Sec.1.55 for priority of a prior-filed foreign application or a claim 
under Sec.1.78 for the benefit of a prior-filed provisional, 
nonprovisional, international application, or international design 
application, that was present on the filing date of the application, and 
the inadvertently omitted portion of the specification or drawing(s) is 
completely contained in the prior-filed application, the claim under

[[Page 70]]

Sec.1.55 or 1.78 shall also be considered an incorporation by 
reference of the prior-filed application as to the inadvertently omitted 
portion of the specification or drawing(s).
    (1) The application must be amended to include the inadvertently 
omitted portion of the specification or drawing(s) within any time 
period set by the Office, but in no case later than the close of 
prosecution as defined by Sec.1.114(b), or abandonment of the 
application, whichever occurs earlier. The applicant is also required 
to:
    (i) Supply a copy of the prior-filed application, except where the 
prior-filed application is an application filed under 35 U.S.C. 111;
    (ii) Supply an English language translation of any prior-filed 
application that is in a language other than English; and
    (iii) Identify where the inadvertently omitted portion of the 
specification or drawings can be found in the prior-filed application.
    (2) Any amendment to an international application pursuant to 
paragraph (b)(1) of this section shall be effective only as to the 
United States, and shall have no effect on the international filing date 
of the application. In addition, no request under this section to add 
the inadvertently omitted portion of the specification or drawings in an 
international application designating the United States will be acted 
upon by the Office prior to the entry and commencement of the national 
stage (Sec.1.491) or the filing of an application under 35 U.S.C. 
111(a) which claims benefit of the international application. Any 
omitted portion of the international application which applicant desires 
to be effective as to all designated States, subject to PCT Rule 
20.8(b), must be submitted in accordance with PCT Rule 20.
    (3) If an application is not otherwise entitled to a filing date 
under Sec.1.53(b), the amendment must be by way of a petition pursuant 
to Sec.1.53(e) accompanied by the fee set forth in Sec.1.17(f).
    (4) Any amendment to an international design application pursuant to 
paragraph (b)(1) of this section shall be effective only as to the 
United States and shall have no effect on the filing date of the 
application. In addition, no request under this section to add the 
inadvertently omitted portion of the specification or drawings in an 
international design application will be acted upon by the Office prior 
to the international design application becoming a nonprovisional 
application.
    (c) Except as provided in paragraph (a) or (b) of this section, an 
incorporation by reference must be set forth in the specification and 
must:
    (1) Express a clear intent to incorporate by reference by using the 
root words ``incorporat(e)'' and ``reference'' (e.g., ``incorporate by 
reference''); and
    (2) Clearly identify the referenced patent, application, or 
publication.
    (d) ``Essential material'' may be incorporated by reference, but 
only by way of an incorporation by reference to a U.S. patent or U.S. 
patent application publication, which patent or patent application 
publication does not itself incorporate such essential material by 
reference. ``Essential material'' is material that is necessary to:
    (1) Provide a written description of the claimed invention, and of 
the manner and process of making and using it, in such full, clear, 
concise, and exact terms as to enable any person skilled in the art to 
which it pertains, or with which it is most nearly connected, to make 
and use the same, and set forth the best mode contemplated by the 
inventor of carrying out the invention as required by 35 U.S.C. 112(a);
    (2) Describe the claimed invention in terms that particularly point 
out and distinctly claim the invention as required by 35 U.S.C. 112(b); 
or
    (3) Describe the structure, material, or acts that correspond to a 
claimed means or step for performing a specified function as required by 
35 U.S.C. 112(f).
    (e) Other material (``Nonessential material'') may be incorporated 
by reference to U.S. patents, U.S. patent application publications, 
foreign patents, foreign published applications, prior and concurrently 
filed commonly owned U.S. applications, or non-patent publications. An 
incorporation by reference by hyperlink or other form of browser 
executable code is not permitted.

[[Page 71]]

    (f) The examiner may require the applicant to supply a copy of the 
material incorporated by reference. If the Office requires the applicant 
to supply a copy of material incorporated by reference, the material 
must be accompanied by a statement that the copy supplied consists of 
the same material incorporated by reference in the referencing 
application.
    (g) Any insertion of material incorporated by reference into the 
specification or drawings of an application must be by way of an 
amendment to the specification or drawings. Such an amendment must be 
accompanied by a statement that the material being inserted is the 
material previously incorporated by reference and that the amendment 
contains no new matter.
    (h) An incorporation of material by reference that does not comply 
with paragraphs (c), (d), or (e) of this section is not effective to 
incorporate such material unless corrected within any time period set by 
the Office, but in no case later than the close of prosecution as 
defined by Sec.1.114(b), or abandonment of the application, whichever 
occurs earlier. In addition:
    (1) A correction to comply with paragraph (c)(1) of this section is 
permitted only if the application as filed clearly conveys an intent to 
incorporate the material by reference. A mere reference to material does 
not convey an intent to incorporate the material by reference.
    (2) A correction to comply with paragraph (c)(2) of this section is 
only permitted for material that was sufficiently described to uniquely 
identify the document.
    (i) An application transmittal letter limited to the transmittal of 
a copy of the specification and drawings from a previously filed 
application submitted under paragraph (a) or (b) of this section may be 
signed by a juristic applicant or patent owner.

[78 FR 62401, Oct. 21, 2013, as amended at 80 FR 17959, Apr. 2, 2015]



Sec.1.58  Chemical and mathematical formulae and tables.

    (a) The specification, including the claims, may contain chemical 
and mathematical formulae, but shall not contain drawings or flow 
diagrams. The description portion of the specification may contain 
tables, but the same tables should not be included in both the drawings 
and description portion of the specification. Claims may contain tables 
either if necessary to conform to 35 U.S.C. 112 or if otherwise found to 
be desirable.
    (b) Tables that are submitted in electronic form (Sec. Sec.1.96(c) 
and 1.821(c)) must maintain the spatial relationships (e.g., alignment 
of columns and rows) of the table elements when displayed so as to 
visually preserve the relational information they convey. Chemical and 
mathematical formulae must be encoded to maintain the proper positioning 
of their characters when displayed in order to preserve their intended 
meaning.
    (c) Chemical and mathematical formulae and tables must be presented 
in compliance with Sec.1.52(a) and (b), except that chemical and 
mathematical formulae or tables may be placed in a landscape orientation 
if they cannot be presented satisfactorily in a portrait orientation. 
Typewritten characters used in such formulae and tables must be chosen 
from a block (nonscript) type font or lettering style having capital 
letters which should be at least 0.422 cm. (0.166 inch) high (e.g., 
preferably Arial, Times Roman, or Courier with a font size of 12), but 
may be no smaller than 0.21 cm. (0.08 inch) high (e.g., a font size of 
6). A space at least 0.64 cm. (1/4 inch) high should be provided between 
complex formulae and tables and the text. Tables should have the lines 
and columns of data closely spaced to conserve space, consistent with a 
high degree of legibility.

[69 FR 56540, Sept. 21, 2004, as amended at 78 FR 62401, Oct. 21, 2013]



Sec.1.59  Expungement of information or copy of papers in application 
file.

    (a) (1) Information in an application will not be expunged, except 
as provided in paragraph (b) of this section or Sec.41.7(a) or Sec.
42.7(a) of this title.
    (2) Information forming part of the original disclosure (i.e., 
written specification including the claims, drawings, and any 
preliminary amendment present on the filing date of the application) 
will not be expunged from the application file.

[[Page 72]]

    (b) An applicant may request that the Office expunge information, 
other than what is excluded by paragraph (a)(2) of this section, by 
filing a petition under this paragraph. Any petition to expunge 
information from an application must include the fee set forth in Sec.
1.17(g) and establish to the satisfaction of the Director that the 
expungement of the information is appropriate in which case a notice 
granting the petition for expungement will be provided.
    (c) Upon request by an applicant and payment of the fee specified in 
Sec.1.19(b), the Office will furnish copies of an application, unless 
the application has been disposed of (see Sec. Sec.1.53(e), (f) and 
(g)). The Office cannot provide or certify copies of an application that 
has been disposed of.

[68 FR 38628, June 30, 2003, as amended at 69 FR 49999, Aug. 12, 2004; 
69 FR 56540, Sept. 21, 2004; 77 FR 46624, Aug. 6, 2012; 77 FR 48818, 
Aug. 14, 2012]



Sec. Sec.1.60-1.62  [Reserved]

                           Oath or Declaration



Sec.1.63  Inventor's oath or declaration.

    (a) The inventor, or each individual who is a joint inventor of a 
claimed invention, in an application for patent must execute an oath or 
declaration directed to the application, except as provided for in Sec.
1.64. An oath or declaration under this section must:
    (1) Identify the inventor or joint inventor executing the oath or 
declaration by his or her legal name;
    (2) Identify the application to which it is directed;
    (3) Include a statement that the person executing the oath or 
declaration believes the named inventor or joint inventor to be the 
original inventor or an original joint inventor of a claimed invention 
in the application for which the oath or declaration is being submitted; 
and
    (4) State that the application was made or was authorized to be made 
by the person executing the oath or declaration.
    (b) Unless the following information is supplied in an application 
data sheet in accordance with Sec.1.76, the oath or declaration must 
also identify:
    (1) Each inventor by his or her legal name; and
    (2) A mailing address where the inventor customarily receives mail, 
and residence, if an inventor lives at a location which is different 
from where the inventor customarily receives mail, for each inventor.
    (c) A person may not execute an oath or declaration for an 
application unless that person has reviewed and understands the contents 
of the application, including the claims, and is aware of the duty to 
disclose to the Office all information known to the person to be 
material to patentability as defined in Sec.1.56. There is no minimum 
age for a person to be qualified to execute an oath or declaration, but 
the person must be competent to execute, i.e., understand, the document 
that the person is executing.
    (d)(1) A newly executed oath or declaration under Sec.1.63, or 
substitute statement under Sec.1.64, is not required under Sec. Sec.
1.51(b)(2) and 1.53(f), or under Sec. Sec.1.497 and 1.1021(d), for an 
inventor in a continuing application that claims the benefit under 35 
U.S.C. 120, 121, 365(c), or 386(c) in compliance with Sec.1.78 of an 
earlier-filed application, provided that an oath or declaration in 
compliance with this section, or substitute statement under Sec.1.64, 
was executed by or with respect to such inventor and was filed in the 
earlier-filed application, and a copy of such oath, declaration, or 
substitute statement showing the signature or an indication thereon that 
it was executed, is submitted in the continuing application.
    (2) The inventorship of a continuing application filed under 35 
U.S.C. 111(a) is the inventor or joint inventors specified in the 
application data sheet filed before or concurrently with the copy of the 
inventor's oath or declaration from the earlier-filed application. If an 
application data sheet is not filed before or concurrently with the copy 
of the inventor's oath or declaration from the earlier-filed 
application, the inventorship is the inventorship set forth in the copy 
of the inventor's oath or declaration from the earlier-filed 
application, unless it is accompanied by a statement signed pursuant to 
Sec.1.33(b) stating the name of each inventor in the continuing 
application.

[[Page 73]]

    (3) Any new joint inventor named in the continuing application must 
provide an oath or declaration in compliance with this section, except 
as provided for in Sec.1.64.
    (e)(1) An assignment may also serve as an oath or declaration 
required by this section if the assignment as executed:
    (i) Includes the information and statements required under 
paragraphs (a) and (b) of this section; and
    (ii) A copy of the assignment is recorded as provided for in part 3 
of this chapter.
    (2) Any reference to an oath or declaration under this section 
includes an assignment as provided for in this paragraph.
    (f) With respect to an application naming only one inventor, any 
reference to the inventor's oath or declaration in this chapter includes 
a substitute statement executed under Sec.1.64. With respect to an 
application naming more than one inventor, any reference to the 
inventor's oath or declaration in this chapter means the oaths, 
declarations, or substitute statements that have been collectively 
executed by or with respect to all of the joint inventors, unless 
otherwise clear from the context.
    (g) An oath or declaration under this section, including the 
statement provided for in paragraph (e) of this section, must be 
executed (i.e., signed) in accordance either with Sec.1.66 or with an 
acknowledgment that any willful false statement made in such declaration 
or statement is punishable under 18 U.S.C. 1001 by fine or imprisonment 
of not more than five (5) years, or both.
    (h) An oath or declaration filed at any time pursuant to 35 U.S.C. 
115(h)(1) will be placed in the file record of the application or 
patent, but may not necessarily be reviewed by the Office. Any request 
for correction of the named inventorship must comply with Sec.1.48 in 
an application and Sec.1.324 in a patent.

[77 FR 48818, Aug. 14, 2012, as amended at 80 FR 17959, Apr. 2, 2015]



Sec.1.64  Substitute statement in lieu of an oath or declaration.

    (a) An applicant under Sec.1.43, 1.45 or 1.46 may execute a 
substitute statement in lieu of an oath or declaration under Sec.1.63 
if the inventor is deceased, is under a legal incapacity, has refused to 
execute the oath or declaration under Sec.1.63, or cannot be found or 
reached after diligent effort.
    (b) A substitute statement under this section must:
    (1) Comply with the requirements of Sec.1.63(a), identifying the 
inventor or joint inventor with respect to whom a substitute statement 
in lieu of an oath or declaration is executed, and stating upon 
information and belief the facts which such inventor is required to 
state;
    (2) Identify the person executing the substitute statement and the 
relationship of such person to the inventor or joint inventor with 
respect to whom the substitute statement is executed, and unless such 
information is supplied in an application data sheet in accordance with 
Sec.1.76, the residence and mailing address of the person signing the 
substitute statement;
    (3) Identify the circumstances permitting the person to execute the 
substitute statement in lieu of an oath or declaration under Sec.1.63, 
namely whether the inventor is deceased, is under a legal incapacity, 
cannot be found or reached after a diligent effort was made, or has 
refused to execute the oath or declaration under Sec.1.63; and
    (4) Unless the following information is supplied in an application 
data sheet in accordance with Sec.1.76, also identify:
    (i) Each inventor by his or her legal name; and
    (ii) The last known mailing address where the inventor customarily 
receives mail, and last known residence, if an inventor lives at a 
location which is different from where the inventor customarily receives 
mail, for each inventor who is not deceased or under a legal incapacity.
    (c) A person may not execute a substitute statement provided for in 
this section for an application unless that person has reviewed and 
understands the contents of the application, including the claims, and 
is aware of the duty to disclose to the Office all information known to 
the person to be material to patentability as defined in Sec.1.56.

[[Page 74]]

    (d) Any reference to an inventor's oath or declaration includes a 
substitute statement provided for in this section.
    (e) A substitute statement under this section must contain an 
acknowledgment that any willful false statement made in such statement 
is punishable under section 1001 of title 18 by fine or imprisonment of 
not more than 5 years, or both.
    (f) A nonsigning inventor or legal representative may subsequently 
join in the application by submitting an oath or declaration under Sec.
1.63. The submission of an oath or declaration by a nonsigning inventor 
or legal representative in an application filed under Sec.1.43, 1.45 
or 1.46 will not permit the nonsigning inventor or legal representative 
to revoke or grant a power of attorney.

[77 FR 48819, Aug. 14, 2012]



Sec.1.66  Statements under oath.

    An oath or affirmation may be made before any person within the 
United States authorized by law to administer oaths. An oath made in a 
foreign country may be made before any diplomatic or consular officer of 
the United States authorized to administer oaths, or before any officer 
having an official seal and authorized to administer oaths in the 
foreign country in which the applicant may be, whose authority shall be 
proved by a certificate of a diplomatic or consular officer of the 
United States, or by an apostille of an official designated by a foreign 
country which, by treaty or convention, accords like effect to 
apostilles of designated officials in the United States. The oath shall 
be attested in all cases in this and other countries, by the proper 
official seal of the officer before whom the oath or affirmation is 
made. Such oath or affirmation shall be valid as to execution if it 
complies with the laws of the State or country where made. When the 
person before whom the oath or affirmation is made in this country is 
not provided with a seal, his official character shall be established by 
competent evidence, as by a certificate from a clerk of a court of 
record or other proper officer having a seal.

[77 FR 48819, Aug. 14, 2012]



Sec.1.67  Supplemental oath or declaration.

    (a) The applicant may submit an inventor's oath or declaration 
meeting the requirements of Sec.1.63, Sec.1.64, or Sec.1.162 to 
correct any deficiencies or inaccuracies present in an earlier-filed 
inventor's oath or declaration. Deficiencies or inaccuracies due to the 
failure to meet the requirements of Sec.1.63(b) in an oath or 
declaration may be corrected with an application data sheet in 
accordance with Sec.1.76, except that any correction of inventorship 
must be pursuant to Sec.1.48.
    (b) A supplemental inventor's oath or declaration under this section 
must be executed by the person whose inventor's oath or declaration is 
being withdrawn, replaced, or otherwise corrected.
    (c) The Office will not require a person who has executed an oath or 
declaration in compliance with 35 U.S.C. 115 and Sec.1.63 or 1.162 for 
an application to provide an additional inventor's oath or declaration 
for the application.
    (d) No new matter may be introduced into a nonprovisional 
application after its filing date even if an inventor's oath or 
declaration is filed to correct deficiencies or inaccuracies present in 
the earlier-filed inventor's oath or declaration.

[77 FR 48819, Aug. 14, 2012]



Sec.1.68  Declaration in lieu of oath.

    Any document to be filed in the Patent and Trademark Office and 
which is required by any law, rule, or other regulation to be under oath 
may be subscribed to by a written declaration. Such declaration may be 
used in lieu of the oath otherwise required, if, and only if, the 
declarant is on the same document, warned that willful false statements 
and the like are punishable by fine or imprisonment, or both (18 U.S.C. 
1001) and may jeopardize the validity of the application or any patent 
issuing thereon. The declarant must set forth in the body of the 
declaration that all statements made of the declarant's own knowledge 
are true and that all statements made on information and belief are 
believed to be true.

[49 FR 48452, Dec. 12, 1984]

[[Page 75]]



Sec.1.69  Foreign language oaths and declarations.

    (a) Whenever an individual making an oath or declaration cannot 
understand English, the oath or declaration must be in a language that 
such individual can understand and shall state that such individual 
understands the content of any documents to which the oath or 
declaration relates.
    (b) Unless the text of any oath or declaration in a language other 
than English is in a form provided by the Patent and Trademark Office or 
in accordance with PCT Rule 4.17(iv), it must be accompanied by an 
English translation together with a statement that the translation is 
accurate, except that in the case of an oath or declaration filed under 
Sec.1.63, the translation may be filed in the Office no later than two 
months from the date applicant is notified to file the translation.

(35 U.S.C. 6, Pub. L. 97-247)

[42 FR 5594, Jan. 28, 1977, as amended at 48 FR 2711, Jan. 20, 1983; 62 
FR 53189, Oct. 10, 1997; 69 FR 56540, Sept. 21, 2004; 70 FR 3890, Jan. 
27, 2005]



Sec.1.70  [Reserved]

                              Specification

    Authority: Secs. 1.71 to 1.79 also issued under 35 U.S.C. 112.



Sec.1.71  Detailed description and specification of the invention.

    (a) The specification must include a written description of the 
invention or discovery and of the manner and process of making and using 
the same, and is required to be in such full, clear, concise, and exact 
terms as to enable any person skilled in the art or science to which the 
invention or discovery appertains, or with which it is most nearly 
connected, to make and use the same.
    (b) The specification must set forth the precise invention for which 
a patent is solicited, in such manner as to distinguish it from other 
inventions and from what is old. It must describe completely a specific 
embodiment of the process, machine, manufacture, composition of matter 
or improvement invented, and must explain the mode of operation or 
principle whenever applicable. The best mode contemplated by the 
inventor of carrying out his invention must be set forth.
    (c) In the case of an improvement, the specification must 
particularly point out the part or parts of the process, machine, 
manufacture, or composition of matter to which the improvement relates, 
and the description should be confined to the specific improvement and 
to such parts as necessarily cooperate with it or as may be necessary to 
a complete understanding or description of it.
    (d) A copyright or mask work notice may be placed in a design or 
utility patent application adjacent to copyright and mask work material 
contained therein. The notice may appear at any appropriate portion of 
the patent application disclosure. For notices in drawings, see Sec.
1.84(s). The content of the notice must be limited to only those 
elements provided for by law. For example, ``(copyright) 1983 
John Doe'' (17 U.S.C. 401) and `` *M* John Doe'' (17 U.S.C. 909) would 
be properly limited and, under current statutes, legally sufficient 
notices of copyright and mask work, respectively. Inclusion of a 
copyright or mask work notice will be permitted only if the 
authorization language set forth in paragraph (e) of this section is 
included at the beginning (preferably as the first paragraph) of the 
specification.
    (e) The authorization shall read as follows:

    A portion of the disclosure of this patent document contains 
material which is subject to (copyright or mask work) protection. The 
(copyright or mask work) owner has no objection to the facsimile 
reproduction by anyone of the patent document or the patent disclosure, 
as it appears in the Patent and Trademark Office patent file or records, 
but otherwise reserves all (copyright or mask work) rights whatsoever.

    (f) The specification must commence on a separate sheet. Each sheet 
including part of the specification may not include other parts of the 
application or other information. The claim(s), abstract and sequence 
listing (if any) should not be included on a sheet including any other 
part of the application.
    (g)(1) The specification may disclose or be amended to disclose the 
names of

[[Page 76]]

the parties to a joint research agreement as defined in Sec.1.9(e).
    (2) An amendment under paragraph (g)(1) of this section must be 
accompanied by the processing fee set forth in Sec.1.17(i) if not 
filed within one of the following time periods:
    (i) Within three months of the filing date of a national 
application;
    (ii) Within three months of the date of entry of the national stage 
as set forth in Sec.1.491 in an international application;
    (iii) Before the mailing of a first Office action on the merits; or
    (iv) Before the mailing of a first Office action after the filing of 
a request for continued examination under Sec.1.114.
    (3) If an amendment under paragraph (g)(1) of this section is filed 
after the date the issue fee is paid, the patent as issued may not 
necessarily include the names of the parties to the joint research 
agreement. If the patent as issued does not include the names of the 
parties to the joint research agreement, the patent must be corrected to 
include the names of the parties to the joint research agreement by a 
certificate of correction under 35 U.S.C. 255 and Sec.1.323 for the 
amendment to be effective.

[24 FR 10332, Dec. 22, 1959, as amended at 53 FR 47808, Nov. 28, 1988; 
58 FR 38723, July 20, 1993; 68 FR 38628, June 30, 2003; 70 FR 1823, Jan. 
11, 2005; 70 FR 54266, Sept. 14, 2005; 78 FR 11055, Feb. 14, 2013]



Sec.1.72  Title and abstract.

    (a) The title of the invention may not exceed 500 characters in 
length and must be as short and specific as possible. Characters that 
cannot be captured and recorded in the Office's automated information 
systems may not be reflected in the Office's records in such systems or 
in documents created by the Office. Unless the title is supplied in an 
application data sheet (Sec.1.76), the title of the invention should 
appear as a heading on the first page of the specification.
    (b) A brief abstract of the technical disclosure in the 
specification must commence on a separate sheet, preferably following 
the claims, under the heading ``Abstract'' or ``Abstract of the 
Disclosure.'' The sheet or sheets presenting the abstract may not 
include other parts of the application or other material. The abstract 
must be as concise as the disclosure permits, preferably not exceeding 
150 words in length. The purpose of the abstract is to enable the Office 
and the public generally to determine quickly from a cursory inspection 
the nature and gist of the technical disclosure.

[65 FR 54667, Sept. 8, 2000, as amended at 65 FR 57054, Sept. 20, 2000; 
68 FR 38628, June 30, 2003; 78 FR 62402, Oct. 21, 2013]



Sec.1.73  Summary of the invention.

    A brief summary of the invention indicating its nature and 
substance, which may include a statement of the object of the invention, 
should precede the detailed description. Such summary should, when set 
forth, be commensurate with the invention as claimed and any object 
recited should be that of the invention as claimed.



Sec.1.74  Reference to drawings.

    When there are drawings, there shall be a brief description of the 
several views of the drawings and the detailed description of the 
invention shall refer to the different views by specifying the numbers 
of the figures and to the different parts by use of reference letters or 
numerals (preferably the latter).



Sec.1.75  Claim(s).

    (a) The specification must conclude with a claim particularly 
pointing out and distinctly claiming the subject matter which the 
applicant regards as his invention or discovery.
    (b) More than one claim may be presented provided they differ 
substantially from each other and are not unduly multiplied.
    (c) One or more claims may be presented in dependent form, referring 
back to and further limiting another claim or claims in the same 
application. Any dependent claim which refers to more than one other 
claim (``multiple dependent claim'') shall refer to such other claims in 
the alternative only. A multiple dependent claim shall not serve as a 
basis for any other multiple dependent claim. For fee calculation 
purposes under Sec.1.16, a multiple dependent claim will be considered 
to

[[Page 77]]

be that number of claims to which direct reference is made therein. For 
fee calculation purposes also, any claim depending from a multiple 
dependent claim will be considered to be that number of claims to which 
direct reference is made in that multiple dependent claim. In addition 
to the other filing fees, any original application which is filed with, 
or is amended to include, multiple dependent claims must have paid 
therein the fee set forth in Sec.1.16(j). Claims in dependent form 
shall be construed to include all the limitations of the claim 
incorporated by reference into the dependent claim. A multiple dependent 
claim shall be construed to incorporate by reference all the limitations 
of each of the particular claims in relation to which it is being 
considered.
    (d)(1) The claim or claims must conform to the invention as set 
forth in the remainder of the specification and the terms and phrases 
used in the claims must find clear support or antecedent basis in the 
description so that the meaning of the terms in the claims may be 
ascertainable by reference to the description. (See Sec.1.58(a).)
    (2) See Sec. Sec.1.141 to 1.146 as to claiming different 
inventions in one application.
    (e) Where the nature of the case admits, as in the case of an 
improvement, any independent claim should contain in the following 
order:
    (1) A preamble comprising a general description of all the elements 
or steps of the claimed combination which are conventional or known,
    (2) A phrase such as ``wherein the improvement comprises,'' and
    (3) Those elements, steps and/or relationships which constitute that 
portion of the claimed combination which the applicant considers as the 
new or improved portion.
    (f) If there are several claims, they shall be numbered 
consecutively in Arabic numerals.
    (g) The least restrictive claim should be presented as claim number 
1, and all dependent claims should be grouped together with the claim or 
claims to which they refer to the extent practicable.
    (h) The claim or claims must commence on a separate physical sheet 
or electronic page. Any sheet including a claim or portion of a claim 
may not contain any other parts of the application or other material.
    (i) Where a claim sets forth a plurality of elements or steps, each 
element or step of the claim should be separated by a line indentation.

(35 U.S.C. 6; 15 U.S.C. 1113, 1126)

[31 FR 12922, Oct. 4, 1966, as amended at 36 FR 12690, July 3, 1971; 37 
FR 21995, Oct. 18, 1972; 43 FR 4015, Jan. 31, 1978; 47 FR 41276, Sept. 
17, 1982; 61 FR 42803, Aug. 19, 1996; 68 FR 38628, June 30, 2003; 70 FR 
3891, Jan. 27, 2005; 72 FR 46836, Aug. 21, 2007; 74 FR 52688, Oct. 14, 
2009]



Sec.1.76  Application data sheet.

    (a) Application data sheet. An application data sheet is a sheet or 
sheets that may be submitted in a provisional application under 35 
U.S.C. 111(b), a nonprovisional application under 35 U.S.C. 111(a), a 
nonprovisional international design application, or a national stage 
application under 35 U.S.C. 371 and must be submitted when required by 
Sec.1.55 or 1.78 to claim priority to or the benefit of a prior-filed 
application under 35 U.S.C. 119, 120, 121, 365, or 386. An application 
data sheet must be titled ``Application Data Sheet.'' An application 
data sheet must contain all of the section headings listed in paragraph 
(b) of this section, except as provided in paragraph (c)(2) of this 
section, with any appropriate data for each section heading. If an 
application data sheet is provided, the application data sheet is part 
of the application for which it has been submitted.
    (b) Bibliographic data. Bibliographic data as used in paragraph (a) 
of this section includes:
    (1) Inventor information. This information includes the legal name, 
residence, and mailing address of the inventor or each joint inventor.
    (2) Correspondence information. This information includes the 
correspondence address, which may be indicated by reference to a 
customer number, to which correspondence is to be directed (see Sec.
1.33(a)).
    (3) Application information. This information includes the title of 
the invention, the total number of drawing sheets, a suggested drawing 
figure for publication (in a nonprovisional application), any docket 
number assigned to the application, the type of application

[[Page 78]]

(e.g., utility, plant, design, reissue, provisional), whether the 
application discloses any significant part of the subject matter of an 
application under a secrecy order pursuant to Sec.5.2 of this chapter 
(see Sec.5.2(c)), and, for plant applications, the Latin name of the 
genus and species of the plant claimed, as well as the variety 
denomination. When information concerning the previously filed 
application is required under Sec.1.57(a), application information 
also includes the reference to the previously filed application, 
indicating that the specification and any drawings of the application 
are replaced by the reference to the previously filed application, and 
specifying the previously filed application by application number, 
filing date, and the intellectual property authority or country in which 
the previously filed application was filed.
    (4) Representative information. This information includes the 
registration number of each practitioner having a power of attorney in 
the application (preferably by reference to a customer number). 
Providing this information in the application data sheet does not 
constitute a power of attorney in the application (see Sec.1.32).
    (5) Domestic benefit information. This information includes the 
application number, the filing date, the status (including patent number 
if available), and relationship of each application for which a benefit 
is claimed under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c). 
Providing this information in the application data sheet constitutes the 
specific reference required by 35 U.S.C. 119(e) or 120 and Sec.1.78.
    (6) Foreign priority information. This information includes the 
application number, country (or intellectual property authority), and 
filing date of each foreign application for which priority is claimed. 
Providing this information in the application data sheet constitutes the 
claim for priority as required by 35 U.S.C. 119(b) and Sec.1.55.
    (7) Applicant information: This information includes the name 
(either natural person or juristic entity) and address of the legal 
representative, assignee, person to whom the inventor is under an 
obligation to assign the invention, or person who otherwise shows 
sufficient proprietary interest in the matter who is the applicant under 
Sec.1.43 or Sec.1.46. Providing assignment information in the 
application data sheet does not substitute for compliance with any 
requirement of part 3 of this chapter to have an assignment recorded by 
the Office.
    (c) Correcting and updating an application data sheet. (1) 
Information in a previously submitted application data sheet, inventor's 
oath or declaration under Sec.1.63, Sec.1.64 or Sec.1.67, or 
otherwise of record, may be corrected or updated until payment of the 
issue fee by a new application data sheet providing corrected or updated 
information, except that inventorship changes must comply with the 
requirements of Sec.1.48, foreign priority and domestic benefit 
information changes must comply with Sec. Sec.1.55 and 1.78, and 
correspondence address changes are governed by Sec.1.33(a).
    (2) An application data sheet providing corrected or updated 
information may include all of the sections listed in paragraph (b) of 
this section or only those sections containing changed or updated 
information. The application data sheet must include the section 
headings listed in paragraph (b) of this section for each section 
included in the application data sheet, and must identify the 
information that is being changed, with underlining for insertions, and 
strike-through or brackets for text removed, except that identification 
of information being changed is not required for an application data 
sheet included with an initial submission under 35 U.S.C. 371.
    (d) Inconsistencies between application data sheet and other 
documents. For inconsistencies between information that is supplied by 
both an application data sheet under this section and other documents:
    (1) The most recent submission will govern with respect to 
inconsistencies as between the information provided in an application 
data sheet, a designation of a correspondence address, or by the 
inventor's oath or declaration, except that:
    (i) The most recent application data sheet will govern with respect 
to foreign priority (Sec.1.55) or domestic benefit (Sec.1.78) 
claims; and

[[Page 79]]

    (ii) The naming of the inventorship is governed by Sec.1.41 and 
changes to inventorship or the names of the inventors is governed by 
Sec.1.48.
    (2) The information in the application data sheet will govern when 
inconsistent with the information supplied at the same time by a 
designation of correspondence address or the inventor's oath or 
declaration. The information in the application data sheet will govern 
when inconsistent with the information supplied at any time in a Patent 
Cooperation Treaty Request Form, Patent Law Treaty Model International 
Request Form, Patent Law Treaty Model International Request for 
Recordation of Change in Name or Address Form, or Patent Law Treaty 
Model International Request for Recordation of Change in Applicant or 
Owner Form.
    (3) The Office will capture bibliographic information from the 
application data sheet. The Office will generally not review the 
inventor's oath or declaration to determine if the bibliographic 
information contained therein is consistent with the bibliographic 
information provided in an application data sheet. Incorrect 
bibliographic information contained in an application data sheet may be 
corrected as provided in paragraph (c)(1) of this section.
    (e) Signature requirement. An application data sheet must be signed 
in compliance with Sec.1.33(b). An unsigned application data sheet 
will be treated only as a transmittal letter.
    (f) Patent Law Treaty Model International Forms. The requirement in 
Sec.1.55 or Sec.1.78 for the presentation of a priority or benefit 
claim under 35 U.S.C. 119, 120, 121, or 365 in an application data sheet 
will be satisfied by the presentation of such priority or benefit claim 
in the Patent Law Treaty Model International Request Form, and the 
requirement in Sec.1.57(a) for a reference to the previously filed 
application in an application data sheet will be satisfied by the 
presentation of such reference to the previously filed application in 
the Patent Law Treaty Model International Request Form. The requirement 
in Sec.1.46 for the presentation of the name of the applicant under 35 
U.S.C. 118 in an application data sheet will be satisfied by the 
presentation of the name of the applicant in the Patent Law Treaty Model 
International Request Form, Patent Law Treaty Model International 
Request for Recordation of Change in Name or Address Form, or Patent Law 
Treaty Model International Request for Recordation of Change in 
Applicant or Owner Form, as applicable.
    (g) Patent Cooperation Treaty Request Form. The requirement in Sec.
1.78 for the presentation of a benefit claim under 35 U.S.C. 119, 120, 
121, or 365 in an application data sheet will be satisfied in a national 
stage application under 35 U.S.C. 371 by the presentation of such 
benefit claim in the Patent Cooperation Treaty Request Form contained in 
the international application or the presence of such benefit claim on 
the front page of the publication of the international application under 
PCT Article 21(2). The requirement in Sec.1.55 or Sec.1.78 for the 
presentation of a priority or benefit claim under 35 U.S.C. 119, 120, 
121, or 365 in an application data sheet and the requirement in Sec.
1.46 for the presentation of the name of the applicant under 35 U.S.C. 
118 in an application data sheet will be satisfied in an application 
under 35 U.S.C. 111 by the presentation of such priority or benefit 
claim and presentation of the name of the applicant in a Patent 
Cooperation Treaty Request Form. If a Patent Cooperation Treaty Request 
Form is submitted in an application under 35 U.S.C. 111, the Patent 
Cooperation Treaty Request Form must be accompanied by a clear 
indication that treatment of the application as an application under 35 
U.S.C. 111 is desired.

[65 FR 54668, Sept. 8, 2000, as amended at 65 FR 57054, Sept. 20, 2000; 
69 FR 56540, Sept. 21, 2004; 70 FR 54266, Sept. 14, 2005;; 72 FR 46837, 
Aug. 21, 2007; 74 FR 52689, Oct. 14, 2009; 77 FR 48820, Aug. 14, 2012; 
78 FR 11055, Feb. 14, 2013; 78 FR 62402, Oct. 21, 2013; 80 FR 17959, 
Apr. 2, 2015]



Sec.1.77  Arrangement of application elements.

    (a) The elements of the application, if applicable, should appear in 
the following order:
    (1) Utility application transmittal form.
    (2) Fee transmittal form.

[[Page 80]]

    (3) Application data sheet (see Sec.1.76).
    (4) Specification.
    (5) Drawings.
    (6) The inventor's oath or declaration.
    (b) The specification should include the following sections in 
order:
    (1) Title of the invention, which may be accompanied by an 
introductory portion stating the name, citizenship, and residence of the 
applicant (unless included in the application data sheet).
    (2) Cross-reference to related applications.
    (3) Statement regarding federally sponsored research or development.
    (4) The names of the parties to a joint research agreement.
    (5) Reference to a ``Sequence Listing,'' a table, or a computer 
program listing appendix submitted on a compact disc and an 
incorporation-by-reference of the material on the compact disc (see 
Sec.1.52(e)(5)). The total number of compact discs including 
duplicates and the files on each compact disc shall be specified.
    (6) Statement regarding prior disclosures by the inventor or a joint 
inventor.
    (7) Background of the invention.
    (8) Brief summary of the invention.
    (9) Brief description of the several views of the drawing.
    (10) Detailed description of the invention.
    (11) A claim or claims.
    (12) Abstract of the disclosure.
    (13) ``Sequence Listing,'' if on paper (see Sec. Sec.1.821 through 
1.825).
    (c) The text of the specification sections defined in paragraphs 
(b)(1) through (b)(12) of this section, if applicable, should be 
preceded by a section heading in uppercase and without underlining or 
bold type.

[65 FR 54668, Sept. 8, 2000, as amended at 70 FR 1823, Jan. 11, 2005; 77 
FR 48820, Aug. 14, 2012; 78 FR 11055, Feb. 14, 2013]



Sec.1.78  Claiming benefit of earlier filing date and cross-references 
to other applications.

    (a) Claims under 35 U.S.C. 119(e) for the benefit of a prior-filed 
provisional application. An applicant in a nonprovisional application, 
other than for a design patent, or an international application 
designating the United States may claim the benefit of one or more 
prior-filed provisional applications under the conditions set forth in 
35 U.S.C. 119(e) and this section.
    (1) The nonprovisional application or international application 
designating the United States must be:
    (i) Filed not later than twelve months after the date on which the 
provisional application was filed, subject to paragraph (b) of this 
section (a subsequent application); or
    (ii) Entitled to claim the benefit under 35 U.S.C. 120, 121, or 
365(c) of a subsequent application that was filed within the period set 
forth in paragraph (a)(1)(i) of this section.
    (2) Each prior-filed provisional application must name the inventor 
or a joint inventor named in the later-filed application as the inventor 
or a joint inventor. In addition, each prior-filed provisional 
application must be entitled to a filing date as set forth in Sec.
1.53(c), and the basic filing fee set forth in Sec.1.16(d) must have 
been paid for such provisional application within the time period set 
forth in Sec.1.53(g).
    (3) Any nonprovisional application or international application 
designating the United States that claims the benefit of one or more 
prior-filed provisional applications must contain, or be amended to 
contain, a reference to each such prior-filed provisional application, 
identifying it by the provisional application number (consisting of 
series code and serial number). If the later-filed application is a 
nonprovisional application, the reference required by this paragraph 
must be included in an application data sheet (Sec.1.76(b)(5)).
    (4) The reference required by paragraph (a)(3) of this section must 
be submitted during the pendency of the later-filed application. If the 
later-filed application is an application filed under 35 U.S.C. 111(a), 
this reference must also be submitted within the later of four months 
from the actual filing date of the later-filed application or sixteen 
months from the filing date of the prior-filed provisional application. 
If the later-filed application is a nonprovisional application entering 
the national stage from an international application under 35 U.S.C.

[[Page 81]]

371, this reference must also be submitted within the later of four 
months from the date on which the national stage commenced under 35 
U.S.C. 371(b) or (f) (Sec.1.491(a)), four months from the date of the 
initial submission under 35 U.S.C. 371 to enter the national stage, or 
sixteen months from the filing date of the prior-filed provisional 
application. Except as provided in paragraph (c) of this section, 
failure to timely submit the reference is considered a waiver of any 
benefit under 35 U.S.C. 119(e) of the prior-filed provisional 
application. The time periods in this paragraph do not apply if the 
later-filed application is:
    (i) An application filed under 35 U.S.C. 111(a) before November 29, 
2000; or
    (ii) An international application filed under 35 U.S.C. 363 before 
November 29, 2000.
    (5) If the prior-filed provisional application was filed in a 
language other than English and both an English-language translation of 
the prior-filed provisional application and a statement that the 
translation is accurate were not previously filed in the prior-filed 
provisional application, the applicant will be notified and given a 
period of time within which to file, in the prior-filed provisional 
application, the translation and the statement. If the notice is mailed 
in a pending nonprovisional application, a timely reply to such a notice 
must include the filing in the nonprovisional application of either a 
confirmation that the translation and statement were filed in the 
provisional application, or an application data sheet (Sec.1.76(b)(5)) 
eliminating the reference under paragraph (a)(3) of this section to the 
prior-filed provisional application, or the nonprovisional application 
will be abandoned. The translation and statement may be filed in the 
provisional application, even if the provisional application has become 
abandoned.
    (6) If a nonprovisional application filed on or after March 16, 
2013, claims the benefit of the filing date of a provisional application 
filed prior to March 16, 2013, and also contains, or contained at any 
time, a claim to a claimed invention that has an effective filing date 
as defined in Sec.1.109 that is on or after March 16, 2013, the 
applicant must provide a statement to that effect within the later of 
four months from the actual filing date of the nonprovisional 
application, four months from the date of entry into the national stage 
as set forth in Sec.1.491 in an international application, sixteen 
months from the filing date of the prior-filed provisional application, 
or the date that a first claim to a claimed invention that has an 
effective filing date on or after March 16, 2013, is presented in the 
nonprovisional application. An applicant is not required to provide such 
a statement if the applicant reasonably believes on the basis of 
information already known to the individuals designated in Sec.1.56(c) 
that the nonprovisional application does not, and did not at any time, 
contain a claim to a claimed invention that has an effective filing date 
on or after March 16, 2013.
    (b) Delayed filing of the subsequent nonprovisional application or 
international application designating the United States. If the 
subsequent nonprovisional application or international application 
designating the United States has a filing date which is after the 
expiration of the twelve-month period set forth in paragraph (a)(1)(i) 
of this section but within two months from the expiration of the period 
set forth in paragraph (a)(1)(i) of this section, the benefit of the 
provisional application may be restored under PCT Rule 26bis.3 for an 
international application, or upon petition pursuant to this paragraph, 
if the delay in filing the subsequent nonprovisional application or 
international application designating the United States within the 
period set forth in paragraph (a)(1)(i) of this section was 
unintentional.
    (1) A petition to restore the benefit of a provisional application 
under this paragraph filed on or after May 13, 2015, must be filed in 
the subsequent application, and any petition to restore the benefit of a 
provisional application under this paragraph must include:
    (i) The reference required by 35 U.S.C. 119(e) to the prior-filed 
provisional application in an application data sheet (Sec.1.76(b)(5)) 
identifying it by

[[Page 82]]

provisional application number (consisting of series code and serial 
number), unless previously submitted;
    (ii) The petition fee as set forth in Sec.1.17(m); and
    (iii) A statement that the delay in filing the subsequent 
nonprovisional application or international application designating the 
United States within the twelve-month period set forth in paragraph 
(a)(1)(i) of this section was unintentional. The Director may require 
additional information where there is a question whether the delay was 
unintentional.
    (2) The restoration of the right of priority under PCT Rule 26bis.3 
to a provisional application does not affect the requirement to include 
the reference required by paragraph (a)(3) of this section to the 
provisional application in a national stage application under 35 U.S.C. 
371 within the time period provided by paragraph (a)(4) of this section 
to avoid the benefit claim being considered waived.
    (c) Delayed claims under 35 U.S.C. 119(e) for the benefit of a 
prior-filed provisional application. If the reference required by 35 
U.S.C. 119(e) and paragraph (a)(3) of this section is presented in an 
application after the time period provided by paragraph (a)(4) of this 
section, the claim under 35 U.S.C. 119(e) for the benefit of a prior-
filed provisional application may be accepted if the reference 
identifying the prior-filed application by provisional application 
number was unintentionally delayed. A petition to accept an 
unintentionally delayed claim under 35 U.S.C. 119(e) for the benefit of 
a prior-filed provisional application must be accompanied by:
    (1) The reference required by 35 U.S.C. 119(e) and paragraph (a)(3) 
of this section to the prior-filed provisional application, unless 
previously submitted;
    (2) The petition fee as set forth in Sec.1.17(m); and
    (3) A statement that the entire delay between the date the benefit 
claim was due under paragraph (a)(4) of this section and the date the 
benefit claim was filed was unintentional. The Director may require 
additional information where there is a question whether the delay was 
unintentional.
    (d) Claims under 35 U.S.C. 120, 121, 365(c), or 386(c) for the 
benefit of a prior-filed nonprovisional application, international 
application, or international design application. An applicant in a 
nonprovisional application (including a nonprovisional application 
resulting from an international application or international design 
application), an international application designating the United 
States, or an international design application designating the United 
States may claim the benefit of one or more prior-filed copending 
nonprovisional applications, international applications designating the 
United States, or international design applications designating the 
United States under the conditions set forth in 35 U.S.C. 120, 121, 
365(c), or 386(c) and this section.
    (1) Each prior-filed application must name the inventor or a joint 
inventor named in the later-filed application as the inventor or a joint 
inventor. In addition, each prior-filed application must either be:
    (i) An international application entitled to a filing date in 
accordance with PCT Article 11 and designating the United States;
    (ii) An international design application entitled to a filing date 
in accordance with Sec.1.1023 and designating the United States; or
    (iii) A nonprovisional application under 35 U.S.C. 111(a) that is 
entitled to a filing date as set forth in Sec.1.53(b) or (d) for which 
the basic filing fee set forth in Sec.1.16 has been paid within the 
pendency of the application.
    (2) Except for a continued prosecution application filed under Sec.
1.53(d), any nonprovisional application, international application 
designating the United States, or international design application 
designating the United States that claims the benefit of one or more 
prior-filed nonprovisional applications, international applications 
designating the United States, or international design applications 
designating the United States must contain or be amended to contain a 
reference to each such prior-filed application, identifying it by 
application number (consisting of the series code and serial number), 
international application number and international filing date,

[[Page 83]]

or international registration number and filing date under Sec.1.1023. 
If the later-filed application is a nonprovisional application, the 
reference required by this paragraph must be included in an application 
data sheet (Sec.1.76(b)(5)). The reference also must identify the 
relationship of the applications, namely, whether the later-filed 
application is a continuation, divisional, or continuation-in-part of 
the prior-filed nonprovisional application, international application, 
or international design application.
    (3)(i) The reference required by 35 U.S.C. 120 and paragraph (d)(2) 
of this section must be submitted during the pendency of the later-filed 
application.
    (ii) If the later-filed application is an application filed under 35 
U.S.C. 111(a), this reference must also be submitted within the later of 
four months from the actual filing date of the later-filed application 
or sixteen months from the filing date of the prior-filed application. 
If the later-filed application is a nonprovisional application entering 
the national stage from an international application under 35 U.S.C. 
371, this reference must also be submitted within the later of four 
months from the date on which the national stage commenced under 35 
U.S.C. 371(b) or (f) (Sec.1.491(a)), four months from the date of the 
initial submission under 35 U.S.C. 371 to enter the national stage, or 
sixteen months from the filing date of the prior-filed application. The 
time periods in this paragraph do not apply if the later-filed 
application is:
    (A) An application for a design patent;
    (B) An application filed under 35 U.S.C. 111(a) before November 29, 
2000; or
    (C) An international application filed under 35 U.S.C. 363 before 
November 29, 2000.
    (iii) Except as provided in paragraph (e) of this section, failure 
to timely submit the reference required by 35 U.S.C. 120 and paragraph 
(d)(2) of this section is considered a waiver of any benefit under 35 
U.S.C. 120, 121, 365(c), or 386(c) to the prior-filed application.
    (4) The request for a continued prosecution application under Sec.
1.53(d) is the specific reference required by 35 U.S.C. 120 to the 
prior-filed application. The identification of an application by 
application number under this section is the identification of every 
application assigned that application number necessary for a specific 
reference required by 35 U.S.C. 120 to every such application assigned 
that application number.
    (5) Cross-references to other related applications may be made when 
appropriate (see Sec.1.14), but cross-references to applications for 
which a benefit is not claimed under title 35, United States Code, must 
not be included in an application data sheet (Sec.1.76(b)(5)).
    (6) If a nonprovisional application filed on or after March 16, 
2013, other than a nonprovisional international design application, 
claims the benefit of the filing date of a nonprovisional application or 
an international application designating the United States filed prior 
to March 16, 2013, and also contains, or contained at any time, a claim 
to a claimed invention that has an effective filing date as defined in 
Sec.1.109 that is on or after March 16, 2013, the applicant must 
provide a statement to that effect within the later of four months from 
the actual filing date of the later-filed application, four months from 
the date of entry into the national stage as set forth in Sec.1.491 in 
an international application, sixteen months from the filing date of the 
prior-filed application, or the date that a first claim to a claimed 
invention that has an effective filing date on or after March 16, 2013, 
is presented in the later-filed application. An applicant is not 
required to provide such a statement if either:
    (i) The application claims the benefit of a nonprovisional 
application in which a statement under Sec.1.55(k), paragraph (a)(6) 
of this section, or this paragraph that the application contains, or 
contained at any time, a claim to a claimed invention that has an 
effective filing date on or after March 16, 2013 has been filed; or
    (ii) The applicant reasonably believes on the basis of information 
already known to the individuals designated in Sec.1.56(c) that the 
later filed application does not, and did not at any time, contain a 
claim to a claimed invention that has an effective filing date on or 
after March 16, 2013.

[[Page 84]]

    (7) Where benefit is claimed under 35 U.S.C. 120, 121, 365(c), or 
386(c) to an international application or an international design 
application which designates but did not originate in the United States, 
the Office may require a certified copy of such application together 
with an English translation thereof if filed in another language.
    (e) Delayed claims under 35 U.S.C. 120, 121, 365(c), or 386(c) for 
the benefit of a prior-filed nonprovisional application, international 
application, or international design application. If the reference 
required by 35 U.S.C. 120 and paragraph (d)(2) of this section is 
presented after the time period provided by paragraph (d)(3) of this 
section, the claim under 35 U.S.C. 120, 121, 365(c), or 386(c) for the 
benefit of a prior-filed copending nonprovisional application, 
international application designating the United States, or 
international design application designating the United States may be 
accepted if the reference required by paragraph (d)(2) of this section 
was unintentionally delayed. A petition to accept an unintentionally 
delayed claim under 35 U.S.C. 120, 121, 365(c), or 386(c) for the 
benefit of a prior-filed application must be accompanied by:
    (1) The reference required by 35 U.S.C. 120 and paragraph (d)(2) of 
this section to the prior-filed application, unless previously 
submitted;
    (2) The petition fee as set forth in Sec.1.17(m); and
    (3) A statement that the entire delay between the date the benefit 
claim was due under paragraph (d)(3) of this section and the date the 
benefit claim was filed was unintentional. The Director may require 
additional information where there is a question whether the delay was 
unintentional.
    (f) Applications containing patentably indistinct claims. Where two 
or more applications filed by the same applicant or assignee contain 
patentably indistinct claims, elimination of such claims from all but 
one application may be required in the absence of good and sufficient 
reason for their retention during pendency in more than one application.
    (g) Applications or patents under reexamination naming different 
inventors and containing patentably indistinct claims. If an application 
or a patent under reexamination and at least one other application 
naming different inventors are owned by the same person and contain 
patentably indistinct claims, and there is no statement of record 
indicating that the claimed inventions were commonly owned or subject to 
an obligation of assignment to the same person on the effective filing 
date (as defined in Sec.1.109), or on the date of the invention, as 
applicable, of the later claimed invention, the Office may require the 
applicant or assignee to state whether the claimed inventions were 
commonly owned or subject to an obligation of assignment to the same 
person on such date, and if not, indicate which named inventor is the 
prior inventor, as applicable. Even if the claimed inventions were 
commonly owned, or subject to an obligation of assignment to the same 
person on the effective filing date (as defined in Sec.1.109), or on 
the date of the invention, as applicable, of the later claimed 
invention, the patentably indistinct claims may be rejected under the 
doctrine of double patenting in view of such commonly owned or assigned 
applications or patents under reexamination.
    (h) Applications filed before September 16, 2012. Notwithstanding 
the requirement in paragraphs (a)(3) and (d)(2) of this section that any 
specific reference to a prior-filed application be presented in an 
application data sheet (Sec.1.76), this requirement in paragraph 
(a)(3) and (d)(2) of this section will be satisfied by the presentation 
of such specific reference in the first sentence(s) of the specification 
following the title in a nonprovisional application filed under 35 
U.S.C. 111(a) before September 16, 2012, or resulting from an 
international application filed under 35 U.S.C. 363 before September 16, 
2012. The provisions of this paragraph do not apply to any specific 
reference submitted for a petition under paragraph (b) of this section 
to restore the benefit of a provisional application.
    (i) Petitions required in international applications. If a petition 
under paragraph (b), (c), or (e) of this section is required in an 
international application that was not filed with the United States 
Receiving Office and is not a nonprovisional application, then such 
petition may be filed in the earliest

[[Page 85]]

nonprovisional application that claims benefit under 35 U.S.C. 120, 121, 
365(c), or 386(c) to the international application and will be treated 
as having been filed in the international application.
    (j) Benefit under 35 U.S.C. 386(c). Benefit under 35 U.S.C. 386(c) 
with respect to an international design application is applicable only 
to nonprovisional applications, international applications, and 
international design applications filed on or after May 13, 2015, and 
patents issuing thereon.
    (k) Time periods in this section. The time periods set forth in this 
section are not extendable, but are subject to 35 U.S.C. 21(b) (and 
Sec.1.7(a)), PCT Rule 80.5, and Hague Agreement Rule 4(4).

[80 FR 17959, Apr. 2, 2015]



Sec.1.79  [Reserved]

                              The Drawings

    Authority: Secs. 1.81 to 1.88 also issued under 35 U.S.C. 113.



Sec.1.81  Drawings required in patent application.

    (a) The applicant for a patent is required to furnish a drawing of 
the invention where necessary for the understanding of the subject 
matter sought to be patented. Since corrections are the responsibility 
of the applicant, the original drawing(s) should be retained by the 
applicant for any necessary future correction.
    (b) Drawings may include illustrations which facilitate an 
understanding of the invention (for example, flow sheets in cases of 
processes, and diagrammatic views).
    (c) Whenever the nature of the subject matter sought to be patented 
admits of illustration by a drawing without its being necessary for the 
understanding of the subject matter and the applicant has not furnished 
such a drawing, the examiner will require its submission within a time 
period of not less than two months from the date of the sending of a 
notice thereof.
    (d) Drawings submitted after the filing date of the application may 
not be used to overcome any insufficiency of the specification due to 
lack of an enabling disclosure or otherwise inadequate disclosure 
therein, or to supplement the original disclosure thereof for the 
purpose of interpretation of the scope of any claim.

[43 FR 4015, Jan. 31, 1978, as amended at 53 FR 47808, Nov. 28, 1988; 77 
FR 48821, Aug. 14, 2012; 78 FR 62404, Oct. 21, 2013]



Sec.1.83  Content of drawing.

    (a) The drawing in a nonprovisional application must show every 
feature of the invention specified in the claims. However, conventional 
features disclosed in the description and claims, where their detailed 
illustration is not essential for a proper understanding of the 
invention, should be illustrated in the drawing in the form of a 
graphical drawing symbol or a labeled representation (e.g., a labeled 
rectangular box). In addition, tables that are included in the 
specification and sequences that are included in sequence listings 
should not be duplicated in the drawings.
    (b) When the invention consists of an improvement on an old machine 
the drawing must when possible exhibit, in one or more views, the 
improved portion itself, disconnected from the old structure, and also 
in another view, so much only of the old structure as will suffice to 
show the connection of the invention therewith.
    (c) Where the drawings in a nonprovisional application do not comply 
with the requirements of paragraphs (a) and (b) of this section, the 
examiner shall require such additional illustration within a time period 
of not less than two months from the date of the sending of a notice 
thereof. Such corrections are subject to the requirements of Sec.
1.81(d).

[31 FR 12923, Oct. 4, 1966, as amended at 43 FR 4015, Jan. 31, 1978; 60 
FR 20226, Apr. 25, 1995; 69 FR 56541, Sept. 21, 2004; 78 FR 62405, Oct. 
21, 2013]



Sec.1.84  Standards for drawings.

    (a) Drawings. There are two acceptable categories for presenting 
drawings in utility and design patent applications.
    (1) Black ink. Black and white drawings are normally required. India 
ink, or its equivalent that secures solid black lines, must be used for 
drawings; or
    (2) Color. Color drawings are permitted in design applications. 
Where a

[[Page 86]]

design application contains color drawings, the application must include 
the number of sets of color drawings required by paragraph (a)(2)(ii) of 
this section and the specification must contain the reference required 
by paragraph (a)(2)(iii) of this section. On rare occasions, color 
drawings may be necessary as the only practical medium by which to 
disclose the subject matter sought to be patented in a utility patent 
application. The color drawings must be of sufficient quality such that 
all details in the drawings are reproducible in black and white in the 
printed patent. Color drawings are not permitted in international 
applications (see PCT Rule 11.13). The Office will accept color drawings 
in utility patent applications only after granting a petition filed 
under this paragraph explaining why the color drawings are necessary. 
Any such petition must include the following:
    (i) The fee set forth in Sec.1.17(h);
    (ii) One (1) set of color drawings if submitted via the Office 
electronic filing system or three (3) sets of color drawings if not 
submitted via the Office electronic filing system; and
    (iii) An amendment to the specification to insert (unless the 
specification contains or has been previously amended to contain) the 
following language as the first paragraph of the brief description of 
the drawings:

The patent or application file contains at least one drawing executed in 
color. Copies of this patent or patent application publication with 
color drawing(s) will be provided by the Office upon request and payment 
of the necessary fee.

    (b) Photographs--(1) Black and white. Photographs, including 
photocopies of photographs, are not ordinarily permitted in utility and 
design patent applications. The Office will accept photographs in 
utility and design patent applications, however, if photographs are the 
only practicable medium for illustrating the claimed invention. For 
example, photographs or photomicrographs of: electrophoresis gels, blots 
(e.g., immunological, western, Southern, and northern), autoradiographs, 
cell cultures (stained and unstained), histological tissue cross 
sections (stained and unstained), animals, plants, in vivo imaging, thin 
layer chromatography plates, crystalline structures, and, in a design 
patent application, ornamental effects, are acceptable. If the subject 
matter of the application admits of illustration by a drawing, the 
examiner may require a drawing in place of the photograph. The 
photographs must be of sufficient quality so that all details in the 
photographs are reproducible in the printed patent.
    (2) Color photographs. Color photographs will be accepted in utility 
and design patent applications if the conditions for accepting color 
drawings and black and white photographs have been satisfied. See 
paragraphs (a)(2) and (b)(1) of this section.
    (c) Identification of drawings. Identifying indicia should be 
provided, and if provided, should include the title of the invention, 
inventor's name, and application number, or docket number (if any) if an 
application number has not been assigned to the application. If this 
information is provided, it must be placed on the front of each sheet 
within the top margin. Each drawing sheet submitted after the filing 
date of an application must be identified as either ``Replacement 
Sheet'' or ``New Sheet'' pursuant to Sec.1.121(d). If a marked-up copy 
of any amended drawing figure including annotations indicating the 
changes made is filed, such marked-up copy must be clearly labeled as 
``Annotated Sheet'' pursuant to Sec.1.121(d)(1).
    (d) Graphic forms in drawings. Chemical or mathematical formulae, 
tables, and waveforms may be submitted as drawings, and are subject to 
the same requirements as drawings. Each chemical or mathematical formula 
must be labeled as a separate figure, using brackets when necessary, to 
show that information is properly integrated. Each group of waveforms 
must be presented as a single figure, using a common vertical axis with 
time extending along the horizontal axis. Each individual waveform 
discussed in the specification must be identified with a separate letter 
designation adjacent to the vertical axis.
    (e) Type of paper. Drawings submitted to the Office must be made on 
paper which is flexible, strong, white, smooth, non-shiny, and durable. 
All sheets must be reasonably free from

[[Page 87]]

cracks, creases, and folds. Only one side of the sheet may be used for 
the drawing. Each sheet must be reasonably free from erasures and must 
be free from alterations, overwritings, and interlineations. Photographs 
must be developed on paper meeting the sheet-size requirements of 
paragraph (f) of this section and the margin requirements of paragraph 
(g) of this section. See paragraph (b) of this section for other 
requirements for photographs.
    (f) Size of paper. All drawing sheets in an application must be the 
same size. One of the shorter sides of the sheet is regarded as its top. 
The size of the sheets on which drawings are made must be:
    (1) 21.0 cm. by 29.7 cm. (DIN size A4), or
    (2) 21.6 cm. by 27.9 cm. (8\1/2\ by 11 inches).
    (g) Margins. The sheets must not contain frames around the sight 
(i.e., the usable surface), but should have scan target points (i.e., 
cross-hairs) printed on two catercorner margin corners. Each sheet must 
include a top margin of at least 2.5 cm. (1 inch), a left side margin of 
at least 2.5 cm. (1 inch), a right side margin of at least 1.5 cm. (\5/
8\ inch), and a bottom margin of at least 1.0 cm. (\3/8\ inch), thereby 
leaving a sight no greater than 17.0 cm. by 26.2 cm. on 21.0 cm. by 29.7 
cm. (DIN size A4) drawing sheets, and a sight no greater than 17.6 cm. 
by 24.4 cm. (6\15/16\ by 9\5/8\ inches) on 21.6 cm. by 27.9 cm. (8\1/2\ 
by 11 inch) drawing sheets.
    (h) Views. The drawing must contain as many views as necessary to 
show the invention. The views may be plan, elevation, section, or 
perspective views. Detail views of portions of elements, on a larger 
scale if necessary, may also be used. All views of the drawing must be 
grouped together and arranged on the sheet(s) without wasting space, 
preferably in an upright position, clearly separated from one another, 
and must not be included in the sheets containing the specifications, 
claims, or abstract. Views must not be connected by projection lines and 
must not contain center lines. Waveforms of electrical signals may be 
connected by dashed lines to show the relative timing of the waveforms.
    (1) Exploded views. Exploded views, with the separated parts 
embraced by a bracket, to show the relationship or order of assembly of 
various parts are permissible. When an exploded view is shown in a 
figure which is on the same sheet as another figure, the exploded view 
should be placed in brackets.
    (2) Partial views. When necessary, a view of a large machine or 
device in its entirety may be broken into partial views on a single 
sheet, or extended over several sheets if there is no loss in facility 
of understanding the view. Partial views drawn on separate sheets must 
always be capable of being linked edge to edge so that no partial view 
contains parts of another partial view. A smaller scale view should be 
included showing the whole formed by the partial views and indicating 
the positions of the parts shown. When a portion of a view is enlarged 
for magnification purposes, the view and the enlarged view must each be 
labeled as separate views.
    (i) Where views on two or more sheets form, in effect, a single 
complete view, the views on the several sheets must be so arranged that 
the complete figure can be assembled without concealing any part of any 
of the views appearing on the various sheets.
    (ii) A very long view may be divided into several parts placed one 
above the other on a single sheet. However, the relationship between the 
different parts must be clear and unambiguous.
    (3) Sectional views. The plane upon which a sectional view is taken 
should be indicated on the view from which the section is cut by a 
broken line. The ends of the broken line should be designated by Arabic 
or Roman numerals corresponding to the view number of the sectional 
view, and should have arrows to indicate the direction of sight. 
Hatching must be used to indicate section portions of an object, and 
must be made by regularly spaced oblique parallel lines spaced 
sufficiently apart to enable the lines to be distinguished without 
difficulty. Hatching should not impede the clear reading of the 
reference characters and lead lines. If it is not possible to place 
reference characters outside the hatched area, the hatching may be 
broken off wherever reference characters are inserted. Hatching must be 
at a substantial

[[Page 88]]

angle to the surrounding axes or principal lines, preferably 45[deg]. A 
cross section must be set out and drawn to show all of the materials as 
they are shown in the view from which the cross section was taken. The 
parts in cross section must show proper material(s) by hatching with 
regularly spaced parallel oblique strokes, the space between strokes 
being chosen on the basis of the total area to be hatched. The various 
parts of a cross section of the same item should be hatched in the same 
manner and should accurately and graphically indicate the nature of the 
material(s) that is illustrated in cross section. The hatching of 
juxtaposed different elements must be angled in a different way. In the 
case of large areas, hatching may be confined to an edging drawn around 
the entire inside of the outline of the area to be hatched. Different 
types of hatching should have different conventional meanings as regards 
the nature of a material seen in cross section.
    (4) Alternate position. A moved position may be shown by a broken 
line superimposed upon a suitable view if this can be done without 
crowding; otherwise, a separate view must be used for this purpose.
    (5) Modified forms. Modified forms of construction must be shown in 
separate views.
    (i) Arrangement of views. One view must not be placed upon another 
or within the outline of another. All views on the same sheet should 
stand in the same direction and, if possible, stand so that they can be 
read with the sheet held in an upright position. If views wider than the 
width of the sheet are necessary for the clearest illustration of the 
invention, the sheet may be turned on its side so that the top of the 
sheet, with the appropriate top margin to be used as the heading space, 
is on the right-hand side. Words must appear in a horizontal, left-to-
right fashion when the page is either upright or turned so that the top 
becomes the right side, except for graphs utilizing standard scientific 
convention to denote the axis of abscissas (of X) and the axis of 
ordinates (of Y).
    (j) Front page view. The drawing must contain as many views as 
necessary to show the invention. One of the views should be suitable for 
inclusion on the front page of the patent application publication and 
patent as the illustration of the invention. Views must not be connected 
by projection lines and must not contain center lines. Applicant may 
suggest a single view (by figure number) for inclusion on the front page 
of the patent application publication and patent.
    (k) Scale. The scale to which a drawing is made must be large enough 
to show the mechanism without crowding when the drawing is reduced in 
size to two-thirds in reproduction. Indications such as ``actual size'' 
or ``scale \1/2\'' on the drawings are not permitted since these lose 
their meaning with reproduction in a different format.
    (l) Character of lines, numbers, and letters. All drawings must be 
made by a process which will give them satisfactory reproduction 
characteristics. Every line, number, and letter must be durable, clean, 
black (except for color drawings), sufficiently dense and dark, and 
uniformly thick and well-defined. The weight of all lines and letters 
must be heavy enough to permit adequate reproduction. This requirement 
applies to all lines however fine, to shading, and to lines representing 
cut surfaces in sectional views. Lines and strokes of different 
thicknesses may be used in the same drawing where different thicknesses 
have a different meaning.
    (m) Shading. The use of shading in views is encouraged if it aids in 
understanding the invention and if it does not reduce legibility. 
Shading is used to indicate the surface or shape of spherical, 
cylindrical, and conical elements of an object. Flat parts may also be 
lightly shaded. Such shading is preferred in the case of parts shown in 
perspective, but not for cross sections. See paragraph (h)(3) of this 
section. Spaced lines for shading are preferred. These lines must be 
thin, as few in number as practicable, and they must contrast with the 
rest of the drawings. As a substitute for shading, heavy lines on the 
shade side of objects can be used except where they superimpose on each 
other or obscure reference characters. Light should come from the upper 
left corner at an angle of 45[deg]. Surface delineations should 
preferably be shown by proper shading. Solid black shading areas are

[[Page 89]]

not permitted, except when used to represent bar graphs or color.
    (n) Symbols. Graphical drawing symbols may be used for conventional 
elements when appropriate. The elements for which such symbols and 
labeled representations are used must be adequately identified in the 
specification. Known devices should be illustrated by symbols which have 
a universally recognized conventional meaning and are generally accepted 
in the art. Other symbols which are not universally recognized may be 
used, subject to approval by the Office, if they are not likely to be 
confused with existing conventional symbols, and if they are readily 
identifiable.
    (o) Legends. Suitable descriptive legends may be used subject to 
approval by the Office, or may be required by the examiner where 
necessary for understanding of the drawing. They should contain as few 
words as possible.
    (p) Numbers, letters, and reference characters. (1) Reference 
characters (numerals are preferred), sheet numbers, and view numbers 
must be plain and legible, and must not be used in association with 
brackets or inverted commas, or enclosed within outlines, e.g., 
encircled. They must be oriented in the same direction as the view so as 
to avoid having to rotate the sheet. Reference characters should be 
arranged to follow the profile of the object depicted.
    (2) The English alphabet must be used for letters, except where 
another alphabet is customarily used, such as the Greek alphabet to 
indicate angles, wavelengths, and mathematical formulas.
    (3) Numbers, letters, and reference characters must measure at least 
.32 cm. (\1/8\ inch) in height. They should not be placed in the drawing 
so as to interfere with its comprehension. Therefore, they should not 
cross or mingle with the lines. They should not be placed upon hatched 
or shaded surfaces. When necessary, such as indicating a surface or 
cross section, a reference character may be underlined and a blank space 
may be left in the hatching or shading where the character occurs so 
that it appears distinct.
    (4) The same part of an invention appearing in more than one view of 
the drawing must always be designated by the same reference character, 
and the same reference character must never be used to designate 
different parts.
    (5) Reference characters not mentioned in the description shall not 
appear in the drawings. Reference characters mentioned in the 
description must appear in the drawings.
    (q) Lead lines. Lead lines are those lines between the reference 
characters and the details referred to. Such lines may be straight or 
curved and should be as short as possible. They must originate in the 
immediate proximity of the reference character and extend to the feature 
indicated. Lead lines must not cross each other. Lead lines are required 
for each reference character except for those which indicate the surface 
or cross section on which they are placed. Such a reference character 
must be underlined to make it clear that a lead line has not been left 
out by mistake. Lead lines must be executed in the same way as lines in 
the drawing. See paragraph (l) of this section.
    (r) Arrows. Arrows may be used at the ends of the lines, provided 
that their meaning is clear, as follows:
    (1) On a lead line, a freestanding arrow to indicate the entire 
section towards which it points;
    (2) On a lead line, an arrow touching a line to indicate the surface 
shown by the line looking along the direction of the arrow; or
    (3) To show the direction of movement.
    (s) Copyright or Mask Work Notice. A copyright or mask work notice 
may appear in the drawing, but must be placed within the sight of the 
drawing immediately below the figure representing the copyright or mask 
work material and be limited to letters having a print size of .32 cm. 
to .64 cm. (\1/8\ to \1/4\ inches) high. The content of the notice must 
be limited to only those elements provided for by law. For example, 
``(copyright) 1983 John Doe'' (17 U.S.C. 401) and ``*M* John 
Doe'' (17 U.S.C. 909) would be properly limited and, under current 
statutes, legally sufficient notices of copyright and mask work, 
respectively. Inclusion of a copyright or mask work

[[Page 90]]

notice will be permitted only if the authorization language set forth in 
Sec.1.71(e) is included at the beginning (preferably as the first 
paragraph) of the specification.
    (t) Numbering of sheets of drawings. The sheets of drawings should 
be numbered in consecutive Arabic numerals, starting with 1, within the 
sight as defined in paragraph (g) of this section. These numbers, if 
present, must be placed in the middle of the top of the sheet, but not 
in the margin. The numbers can be placed on the right-hand side if the 
drawing extends too close to the middle of the top edge of the usable 
surface. The drawing sheet numbering must be clear and larger than the 
numbers used as reference characters to avoid confusion. The number of 
each sheet should be shown by two Arabic numerals placed on either side 
of an oblique line, with the first being the sheet number, and the 
second being the total number of sheets of drawings, with no other 
marking.
    (u) Numbering of views. (1) The different views must be numbered in 
consecutive Arabic numerals, starting with 1, independent of the 
numbering of the sheets and, if possible, in the order in which they 
appear on the drawing sheet(s). Partial views intended to form one 
complete view, on one or several sheets, must be identified by the same 
number followed by a capital letter. View numbers must be preceded by 
the abbreviation ``FIG.'' Where only a single view is used in an 
application to illustrate the claimed invention, it must not be numbered 
and the abbreviation ``FIG.'' must not appear.
    (2) Numbers and letters identifying the views must be simple and 
clear and must not be used in association with brackets, circles, or 
inverted commas. The view numbers must be larger than the numbers used 
for reference characters.
    (v) Security markings. Authorized security markings may be placed on 
the drawings provided they are outside the sight, preferably centered in 
the top margin.
    (w) Corrections. Any corrections on drawings submitted to the Office 
must be durable and permanent.
    (x) Holes. No holes should be made by applicant in the drawing 
sheets.
    (y) Types of drawings. See Sec.1.152 for design drawings, Sec.
1.1026 for international design reproductions, Sec.1.165 for plant 
drawings, and Sec.1.173(a)(2) for reissue drawings.

[58 FR 38723, July 20, 1993; 58 FR 45841, 45842, Aug. 31, 1993, as 
amended at 61 FR 42804, Aug. 19, 1996; 62 FR 53190, Oct. 10, 1997; 65 FR 
54669, Sept. 8, 2000; 65 FR 57055, Sept. 20, 2000; 69 FR 56541, Sept. 
21, 2004; 70 FR 3891, Jan. 27, 2005; 78 FR 11057, Feb. 14, 2013; 80 FR 
17962, Apr. 2, 2015]



Sec.1.85  Corrections to drawings.

    (a) A utility or plant application will not be placed on the files 
for examination until objections to the drawings have been corrected. 
Except as provided in Sec.1.215(c), any patent application publication 
will not include drawings filed after the application has been placed on 
the files for examination. Unless applicant is otherwise notified in an 
Office action, objections to the drawings in a utility or plant 
application will not be held in abeyance, and a request to hold 
objections to the drawings in abeyance will not be considered a bona 
fide attempt to advance the application to final action (Sec.
1.135(c)). If a drawing in a design application meets the requirements 
of Sec.1.84(e), (f), and (g) and is suitable for reproduction, but is 
not otherwise in compliance with Sec.1.84, the drawing may be admitted 
for examination.
    (b) The Office will not release drawings for purposes of correction. 
If corrections are necessary, new corrected drawings must be submitted 
within the time set by the Office.
    (c) If a corrected drawing is required or if a drawing does not 
comply with Sec.1.84 or an amended drawing submitted under Sec.
1.121(d) in a nonprovisional international design application does not 
comply with Sec.1.1026 at the time an application is allowed, the 
Office may notify the applicant in a notice of allowability and set a 
three-month period of time from the mail date of the notice of 
allowability within which the applicant must file a corrected drawing in 
compliance with Sec.1.84 or 1.1026, as applicable, to avoid 
abandonment. This

[[Page 91]]

time period is not extendable under Sec.1.136 (see Sec.1.136(c)).

[65 FR 54670, Sept. 8, 2000, as amended at 65 FR 57055, Sept. 20, 2000; 
69 FR 56541, Sept. 21, 2004; 78 FR 62405, Oct. 21, 2013; 80 FR 17962, 
Apr. 2, 2015]




Sec.1.88  [Reserved]

                       Models, Exhibits, Specimens

    Authority: Secs. 1.91 to 1.95 also issued under 35 U.S.C. 114.



Sec.1.91  Models or exhibits not generally admitted as part of 
application or patent.

    (a) A model or exhibit will not be admitted as part of the record of 
an application unless it:
    (1) Substantially conforms to the requirements of Sec.1.52 or 
Sec.1.84;
    (2) Is specifically required by the Office; or
    (3) Is filed with a petition under this section including:
    (i) The fee set forth in Sec.1.17(h); and
    (ii) An explanation of why entry of the model or exhibit in the file 
record is necessary to demonstrate patentability.
    (b) Notwithstanding the provisions of paragraph (a) of this section, 
a model, working model, or other physical exhibit may be required by the 
Office if deemed necessary for any purpose in examination of the 
application.
    (c) Unless the model or exhibit substantially conforms to the 
requirements of Sec.1.52 or Sec.1.84 under paragraph (a)(1) of this 
section, it must be accompanied by photographs that show multiple views 
of the material features of the model or exhibit and that substantially 
conform to the requirements of Sec.1.84.

[62 FR 53190, Oct. 10, 1997, as amended at 65 FR 54670, Sept. 8, 2000; 
69 FR 56541, Sept. 21, 2004]



Sec.1.92  [Reserved]



Sec.1.93  Specimens.

    When the invention relates to a composition of matter, the applicant 
may be required to furnish specimens of the composition, or of its 
ingredients or intermediates, for the purpose of inspection or 
experiment.



Sec.1.94  Return of models, exhibits or specimens.

    (a) Models, exhibits, or specimens may be returned to the applicant 
if no longer necessary for the conduct of business before the Office. 
When applicant is notified that a model, exhibit, or specimen is no 
longer necessary for the conduct of business before the Office and will 
be returned, applicant must arrange for the return of the model, 
exhibit, or specimen at the applicant's expense. The Office will dispose 
of perishables without notice to applicant unless applicant notifies the 
Office upon submission of the model, exhibit or specimen that a return 
is desired and makes arrangements for its return promptly upon 
notification by the Office that the model, exhibit or specimen is no 
longer necessary for the conduct of business before the Office.
    (b) Applicant is responsible for retaining the actual model, 
exhibit, or specimen for the enforceable life of any patent resulting 
from the application. The provisions of this paragraph do not apply to a 
model or exhibit that substantially conforms to the requirements of 
Sec.1.52 or Sec.1.84, where the model or exhibit has been described 
by photographs that substantially conform to Sec.1.84, or where the 
model, exhibit or specimen is perishable.
    (c) Where applicant is notified, pursuant to paragraph (a) of this 
section, of the need to arrange for return of a model, exhibit or 
specimen, applicant must arrange for the return within the period set in 
such notice, to avoid disposal of the model, exhibit or specimen by the 
Office. Extensions of time are available under Sec.1.136, except in 
the case of perishables. Failure to establish that the return of the 
item has been arranged for within the period set or failure to have the 
item removed from Office storage within a reasonable amount of time 
notwithstanding any arrangement for return, will permit the Office to 
dispose of the model, exhibit or specimen.

[69 FR 56542, Sept. 21, 2004]



Sec.1.95  Copies of exhibits.

    Copies of models or other physical exhibits will not ordinarily be 
furnished by the Office, and any model or

[[Page 92]]

exhibit in an application or patent shall not be taken from the Office 
except in the custody of an employee of the Office specially authorized 
by the Director.



Sec.1.96  Submission of computer program listings.

    (a) General. Descriptions of the operation and general content of 
computer program listings should appear in the description portion of 
the specification. A computer program listing for the purpose of this 
section is defined as a printout that lists in appropriate sequence the 
instructions, routines, and other contents of a program for a computer. 
The program listing may be either in machine or machine-independent 
(object or source) language which will cause a computer to perform a 
desired procedure or task such as solve a problem, regulate the flow of 
work in a computer, or control or monitor events. Computer program 
listings may be submitted in patent applications as set forth in 
paragraphs (b) and (c) of this section.
    (b) Material which will be printed in the patent: If the computer 
program listing is contained in 300 lines or fewer, with each line of 72 
characters or fewer, it may be submitted either as drawings or as part 
of the specification.
    (1) Drawings. If the listing is submitted as drawings, it must be 
submitted in the manner and complying with the requirements for drawings 
as provided in Sec.1.84. At least one figure numeral is required on 
each sheet of drawing.
    (2) Specification. (i) If the listing is submitted as part of the 
specification, it must be submitted in accordance with the provisions of 
Sec.1.52.
    (ii) Any listing having more than 60 lines of code that is submitted 
as part of the specification must be positioned at the end of the 
description but before the claims. Any amendment must be made by way of 
submission of a substitute sheet.
    (c) As an appendix which will not be printed: Any computer program 
listing may, and any computer program listing having over 300 lines (up 
to 72 characters per line) must, be submitted on a compact disc in 
compliance with Sec.1.52(e). A compact disc containing such a computer 
program listing is to be referred to as a ``computer program listing 
appendix.'' The ``computer program listing appendix'' will not be part 
of the printed patent. The specification must include a reference to the 
``computer program listing appendix'' at the location indicated in Sec.
1.77(b)(5).
    (1) Multiple computer program listings for a single application may 
be placed on a single compact disc. Multiple compact discs may be 
submitted for a single application if necessary. A separate compact disc 
is required for each application containing a computer program listing 
that must be submitted on a ``computer program listing appendix.''
    (2) The ``computer program listing appendix'' must be submitted on a 
compact disc that complies with Sec.1.52(e) and the following 
specifications (no other format shall be allowed):
    (i) Computer Compatibility: IBM PC/XT/AT, or compatibles, or Apple 
Macintosh;
    (ii) Operating System Compatibility: MS-DOS, MS-Windows, Unix, or 
Macintosh;
    (iii) Line Terminator: ASCII Carriage Return plus ASCII Line Feed;
    (iv) Control Codes: the data must not be dependent on control 
characters or codes which are not defined in the ASCII character set; 
and
    (v) Compression: uncompressed data.

[61 FR 42804, Aug. 19, 1996, as amended at 65 FR 54670, Sept. 8, 2000; 
70 FR 54266, Sept. 14, 2005]

                    Information Disclosure Statement



Sec.1.97  Filing of information disclosure statement.

    (a) In order for an applicant for a patent or for a reissue of a 
patent to have an information disclosure statement in compliance with 
Sec.1.98 considered by the Office during the pendency of the 
application, the information disclosure statement must satisfy one of 
paragraphs (b), (c), or (d) of this section.
    (b) An information disclosure statement shall be considered by the 
Office if filed by the applicant within any one of the following time 
periods:
    (1) Within three months of the filing date of a national application 
other

[[Page 93]]

than a continued prosecution application under Sec.1.53(d);
    (2) Within three months of the date of entry of the national stage 
as set forth in Sec.1.491 in an international application;
    (3) Before the mailing of a first Office action on the merits;
    (4) Before the mailing of a first Office action after the filing of 
a request for continued examination under Sec.1.114; or
    (5) Within three months of the date of publication of the 
international registration under Hague Agreement Article 10(3) in an 
international design application.
    (c) An information disclosure statement shall be considered by the 
Office if filed after the period specified in paragraph (b) of this 
section, provided that the information disclosure statement is filed 
before the mailing date of any of a final action under Sec.1.113, a 
notice of allowance under Sec.1.311, or an action that otherwise 
closes prosecution in the application, and it is accompanied by one of:
    (1) The statement specified in paragraph (e) of this section; or
    (2) The fee set forth in Sec.1.17(p).
    (d) An information disclosure statement shall be considered by the 
Office if filed by the applicant after the period specified in paragraph 
(c) of this section, provided that the information disclosure statement 
is filed on or before payment of the issue fee and is accompanied by:
    (1) The statement specified in paragraph (e) of this section; and
    (2) The fee set forth in Sec.1.17(p).
    (e) A statement under this section must state either:
    (1) That each item of information contained in the information 
disclosure statement was first cited in any communication from a foreign 
patent office in a counterpart foreign application not more than three 
months prior to the filing of the information disclosure statement; or
    (2) That no item of information contained in the information 
disclosure statement was cited in a communication from a foreign patent 
office in a counterpart foreign application, and, to the knowledge of 
the person signing the certification after making reasonable inquiry, no 
item of information contained in the information disclosure statement 
was known to any individual designated in Sec.1.56(c) more than three 
months prior to the filing of the information disclosure statement.
    (f) No extensions of time for filing an information disclosure 
statement are permitted under Sec.1.136. If a bona fide attempt is 
made to comply with Sec.1.98, but part of the required content is 
inadvertently omitted, additional time may be given to enable full 
compliance.
    (g) An information disclosure statement filed in accordance with 
this section shall not be construed as a representation that a search 
has been made.
    (h) The filing of an information disclosure statement shall not be 
construed to be an admission that the information cited in the statement 
is, or is considered to be, material to patentability as defined in 
Sec.1.56(b).
    (i) If an information disclosure statement does not comply with 
either this section or Sec.1.98, it will be placed in the file but 
will not be considered by the Office.

[57 FR 2034, Jan. 17, 1992, as amended at 59 FR 32658, June 24, 1994; 60 
FR 20226, Apr. 25, 1995; 61 FR 42805, Aug. 19, 1996; 62 FR 53190, Oct. 
10, 1997; 65 FR 14872, Mar. 20, 2000; 65 FR 54670, Sept. 8, 2000; 80 FR 
17963, Apr. 2, 2015]



Sec.1.98  Content of information disclosure statement.

    (a) Any information disclosure statement filed under Sec.1.97 
shall include the items listed in paragraphs (a)(1), (a)(2) and (a)(3) 
of this section.
    (1) A list of all patents, publications, applications, or other 
information submitted for consideration by the Office. U.S. patents and 
U.S. patent application publications must be listed in a section 
separately from citations of other documents. Each page of the list must 
include:
    (i) The application number of the application in which the 
information disclosure statement is being submitted;
    (ii) A column that provides a space, next to each document to be 
considered, for the examiner's initials; and
    (iii) A heading that clearly indicates that the list is an 
information disclosure statement.
    (2) A legible copy of:

[[Page 94]]

    (i) Each foreign patent;
    (ii) Each publication or that portion which caused it to be listed, 
other than U.S. patents and U.S. patent application publications unless 
required by the Office;
    (iii) For each cited pending unpublished U.S. application, the 
application specification including the claims, and any drawing of the 
application, or that portion of the application which caused it to be 
listed including any claims directed to that portion; and
    (iv) All other information or that portion which caused it to be 
listed.
    (3)(i) A concise explanation of the relevance, as it is presently 
understood by the individual designated in Sec.1.56(c) most 
knowledgeable about the content of the information, of each patent, 
publication, or other information listed that is not in the English 
language. The concise explanation may be either separate from 
applicant's specification or incorporated therein.
    (ii) A copy of the translation if a written English-language 
translation of a non-English-language document, or portion thereof, is 
within the possession, custody, or control of, or is readily available 
to any individual designated in Sec.1.56(c).
    (b)(1) Each U.S. patent listed in an information disclosure 
statement must be identified by inventor, patent number, and issue date.
    (2) Each U.S. patent application publication listed in an 
information disclosure statement shall be identified by applicant, 
patent application publication number, and publication date.
    (3) Each U.S. application listed in an information disclosure 
statement must be identified by the inventor, application number, and 
filing date.
    (4) Each foreign patent or published foreign patent application 
listed in an information disclosure statement must be identified by the 
country or patent office which issued the patent or published the 
application, an appropriate document number, and the publication date 
indicated on the patent or published application.
    (5) Each publication listed in an information disclosure statement 
must be identified by publisher, author (if any), title, relevant pages 
of the publication, date, and place of publication.
    (c) When the disclosures of two or more patents or publications 
listed in an information disclosure statement are substantively 
cumulative, a copy of one of the patents or publications as specified in 
paragraph (a) of this section may be submitted without copies of the 
other patents or publications, provided that it is stated that these 
other patents or publications are cumulative.
    (d) A copy of any patent, publication, pending U.S. application or 
other information, as specified in paragraph (a) of this section, listed 
in an information disclosure statement is required to be provided, even 
if the patent, publication, pending U.S. application or other 
information was previously submitted to, or cited by, the Office in an 
earlier application, unless:
    (1) The earlier application is properly identified in the 
information disclosure statement and is relied on for an earlier 
effective filing date under 35 U.S.C. 120; and
    (2) The information disclosure statement submitted in the earlier 
application complies with paragraphs (a) through (c) of this section.

[65 FR 54671, Sept. 8, 2000, as amended at 65 FR 57055, Sept. 20, 2000; 
68 FR 38628, June 30, 2003; 69 FR 56542, Sept. 21, 2004]



Sec.1.99  [Reserved]

                       Examination of Applications

    Authority: Secs. 1.101 to 1.108 also issued under 35 U.S.C. 131, 
132.



Sec.1.101  [Reserved]



Sec.1.102  Advancement of examination.

    (a) Applications will not be advanced out of turn for examination or 
for further action except as provided by this part, or upon order of the 
Director to expedite the business of the Office, or upon filing of a 
request under paragraph (b) or (e) of this section or upon filing a 
petition or request under paragraph (c) or (d) of this section with a 
showing which, in the opinion of the Director, will justify so advancing 
it.
    (b) Applications wherein the inventions are deemed of peculiar 
importance to some branch of the public

[[Page 95]]

service and the head of some department of the Government requests 
immediate action for that reason, may be advanced for examination.
    (c) A petition to make an application special may be filed without a 
fee if the basis for the petition is:
    (1) The applicant's age or health; or
    (2) That the invention will materially:
    (i) Enhance the quality of the environment;
    (ii) Contribute to the development or conservation of energy 
resources; or
    (iii) Contribute to countering terrorism.
    (d) A petition to make an application special on grounds other than 
those referred to in paragraph (c) of this section must be accompanied 
by the fee set forth in Sec.1.17(h).
    (e) A request for prioritized examination under this paragraph (e) 
must comply with the requirements of this paragraph (e) and be 
accompanied by the prioritized examination fee set forth in Sec.
1.17(c), the processing fee set forth in Sec.1.17(i), and if not 
already paid, the publication fee set forth in Sec.1.18(d). An 
application for which prioritized examination has been requested may not 
contain or be amended to contain more than four independent claims, more 
than thirty total claims, or any multiple dependent claim. Prioritized 
examination under this paragraph (e) will not be accorded to 
international applications that have not entered the national stage 
under 35 U.S.C. 371, design applications, reissue applications, 
provisional applications, or reexamination proceedings. A request for 
prioritized examination must also comply with the requirements of 
paragraph (e)(1) or (2) of this section. No more than 12,000 requests 
for such prioritized examination will be accepted in any fiscal year.
    (1) A request for prioritized examination may be filed with an 
original utility or plant nonprovisional application under 35 U.S.C. 
111(a). The application must include a specification as prescribed by 35 
U.S.C. 112 including at least one claim, a drawing when necessary, and 
the inventor's oath or declaration on filing, except that the filing of 
an inventor's oath or declaration may be postponed in accordance with 
Sec.1.53(f)(3) if an application data sheet meeting the conditions 
specified in Sec.1.53(f)(3)(i) is present upon filing. If the 
application is a utility application, it must be filed via the Office's 
electronic filing system and include the filing fee under Sec.1.16(a), 
search fee under Sec.1.16(k), and examination fee under Sec.1.16(o) 
upon filing. If the application is a plant application, it must include 
the filing fee under Sec.1.16(c), search fee under Sec.1.16(m), and 
examination fee under Sec.1.16(q) upon filing. The request for 
prioritized examination in compliance with this paragraph must be 
present upon filing of the application, except that the applicant may 
file an amendment to cancel any independent claims in excess of four, 
any total claims in excess of thirty, and any multiple dependent claim 
not later than one month from a first decision on the request for 
prioritized examination. This one-month time period is not extendable.
    (2) A request for prioritized examination may be filed with or after 
a request for continued examination in compliance with Sec.1.114. If 
the application is a utility application, the request must be filed via 
the Office's electronic filing system. The request must be filed before 
the mailing of the first Office action after the filing of the request 
for continued examination under Sec.1.114. Only a single such request 
for prioritized examination under this paragraph may be granted in an 
application.

(36 U.S.C. 6; 15 U.S.C. 1113, 1123)

[24 FR 10332, Dec. 22, 1959, as amended at 47 FR 41276, Sept. 17, 1982; 
54 FR 6903, Feb. 15, 1989; 60 FR 20226, Apr. 25, 1995; 62 FR 53191, Oct. 
10, 1997; 65 FR 54671, Sept. 8, 2000; 69 FR 56542, Sept. 21, 2004; 76 FR 
59054, Sept. 23, 2011; 76 FR 78569, Dec. 19, 2011; 79 FR 12390, Mar. 5, 
2014; 84 FR 45910, Sept. 3, 2019]



Sec.1.103  Suspension of action by the Office.

    (a) Suspension for cause. On request of the applicant, the Office 
may grant a suspension of action by the Office under this paragraph for 
good and sufficient cause. The Office will not suspend action if a reply 
by applicant to an Office action is outstanding. Any petition for 
suspension of action under this paragraph must specify a period of

[[Page 96]]

suspension not exceeding six months. Any petition for suspension of 
action under this paragraph must also include:
    (1) A showing of good and sufficient cause for suspension of action; 
and
    (2) The fee set forth in Sec.1.17(g), unless such cause is the 
fault of the Office.
    (b) Limited suspension of action in a continued prosecution 
application (CPA) filed under Sec.1.53(d). On request of the 
applicant, the Office may grant a suspension of action by the Office 
under this paragraph in a continued prosecution application filed under 
Sec.1.53(d) for a period not exceeding three months. Any request for 
suspension of action under this paragraph must be filed with the request 
for an application filed under Sec.1.53(d), specify the period of 
suspension, and include the processing fee set forth in Sec.1.17(i).
    (c) Limited suspension of action after a request for continued 
examination (RCE) under Sec.1.114. On request of the applicant, the 
Office may grant a suspension of action by the Office under this 
paragraph after the filing of a request for continued examination in 
compliance with Sec.1.114 for a period not exceeding three months. Any 
request for suspension of action under this paragraph must be filed with 
the request for continued examination under Sec.1.114, specify the 
period of suspension, and include the processing fee set forth in Sec.
1.17(i).
    (d) Deferral of examination. On request of the applicant, the Office 
may grant a deferral of examination under the conditions specified in 
this paragraph for a period not extending beyond three years from the 
earliest filing date for which a benefit is claimed under title 35, 
United States Code. A request for deferral of examination under this 
paragraph must include the publication fee set forth in Sec.1.18(d) 
and the processing fee set forth in Sec.1.17(i). A request for 
deferral of examination under this paragraph will not be granted unless:
    (1) The application is an original utility or plant application 
filed under Sec.1.53(b) or resulting from entry of an international 
application into the national stage after compliance with Sec.1.495;
    (2) The applicant has not filed a nonpublication request under Sec.
1.213(a), or has filed a request under Sec.1.213(b) to rescind a 
previously filed nonpublication request;
    (3) The application is in condition for publication as provided in 
Sec.1.211(c); and
    (4) The Office has not issued either an Office action under 35 
U.S.C. 132 or a notice of allowance under 35 U.S.C. 151.
    (e) Notice of suspension on initiative of the Office. The Office 
will notify applicant if the Office suspends action by the Office on an 
application on its own initiative.
    (f) Suspension of action for public safety or defense. The Office 
may suspend action by the Office by order of the Director if the 
following conditions are met:
    (1) The application is owned by the United States;
    (2) Publication of the invention may be detrimental to the public 
safety or defense; and
    (3) The appropriate department or agency requests such suspension.

[65 FR 50104, Aug. 16, 2000, as amended at 65 FR 57056, Sept. 20, 2000; 
67 FR 523, Jan. 4, 2002; 69 FR 49999, Aug. 12, 2004; 69 FR 56542, Sept. 
21, 2004; 78 FR 11057, Feb. 14, 2013]



Sec.1.104  Nature of examination.

    (a) Examiner's action. (1) On taking up an application for 
examination or a patent in a reexamination proceeding, the examiner 
shall make a thorough study thereof and shall make a thorough 
investigation of the available prior art relating to the subject matter 
of the claimed invention. The examination shall be complete with respect 
both to compliance of the application or patent under reexamination with 
the applicable statutes and rules and to the patentability of the 
invention as claimed, as well as with respect to matters of form, unless 
otherwise indicated.
    (2) The applicant, or in the case of a reexamination proceeding, 
both the patent owner and the requester, will be notified of the 
examiner's action. The reasons for any adverse action or any objection 
or requirement will be stated in an Office action and such information 
or references will be given as may be useful in aiding the applicant, or 
in the case of a reexamination proceeding the patent owner, to judge the 
propriety of continuing the prosecution.

[[Page 97]]

    (3) An international-type search will be made in all national 
applications filed on and after June 1, 1978.
    (4) Any national application may also have an international-type 
search report prepared thereon at the time of the national examination 
on the merits, upon specific written request therefor and payment of the 
international-type search report fee set forth in Sec.1.21(e). The 
Patent and Trademark Office does not require that a formal report of an 
international-type search be prepared in order to obtain a search fee 
refund in a later filed international application.
    (b) Completeness of examiner's action. The examiner's action will be 
complete as to all matters, except that in appropriate circumstances, 
such as misjoinder of invention, fundamental defects in the application, 
and the like, the action of the examiner may be limited to such matters 
before further action is made. However, matters of form need not be 
raised by the examiner until a claim is found allowable.
    (c) Rejection of claims. (1) If the invention is not considered 
patentable, or not considered patentable as claimed, the claims, or 
those considered unpatentable will be rejected.
    (2) In rejecting claims for want of novelty or for obviousness, the 
examiner must cite the best references at his or her command. When a 
reference is complex or shows or describes inventions other than that 
claimed by the applicant, the particular part relied on must be 
designated as nearly as practicable. The pertinence of each reference, 
if not apparent, must be clearly explained and each rejected claim 
specified.
    (3) In rejecting claims the examiner may rely upon admissions by the 
applicant, or the patent owner in a reexamination proceeding, as to any 
matter affecting patentability and, insofar as rejections in 
applications are concerned, may also rely upon facts within his or her 
knowledge pursuant to paragraph (d)(2) of this section.
    (4)(i) Subject matter which would otherwise qualify as prior art 
under 35 U.S.C. 102(a)(2) and a claimed invention will be treated as 
commonly owned for purposes of 35 U.S.C. 102(b)(2)(C) if the applicant 
or patent owner provides a statement to the effect that the subject 
matter and the claimed invention, not later than the effective filing 
date of the claimed invention, were owned by the same person or subject 
to an obligation of assignment to the same person.
    (ii) Subject matter which would otherwise qualify as prior art under 
35 U.S.C. 102(a)(2) and a claimed invention will be treated as commonly 
owned for purposes of 35 U.S.C. 102(b)(2)(C) on the basis of a joint 
research agreement under 35 U.S.C. 102(c) if:
    (A) The applicant or patent owner provides a statement to the effect 
that the subject matter was developed and the claimed invention was made 
by or on behalf of one or more parties to a joint research agreement, 
within the meaning of 35 U.S.C. 100(h) and Sec.1.9(e), that was in 
effect on or before the effective filing date of the claimed invention, 
and the claimed invention was made as a result of activities undertaken 
within the scope of the joint research agreement; and
    (B) The application for patent for the claimed invention discloses 
or is amended to disclose the names of the parties to the joint research 
agreement.
    (5)(i) Subject matter which qualifies as prior art under 35 U.S.C. 
102(e), (f), or (g) in effect prior to March 16, 2013, and a claimed 
invention in an application filed on or after November 29, 1999, or any 
patent issuing thereon, in an application filed before November 29, 
1999, but pending on December 10, 2004, or any patent issuing thereon, 
or in any patent granted on or after December 10, 2004, will be treated 
as commonly owned for purposes of 35 U.S.C. 103(c) in effect prior to 
March 16, 2013, if the applicant or patent owner provides a statement to 
the effect that the subject matter and the claimed invention, at the 
time the claimed invention was made, were owned by the same person or 
subject to an obligation of assignment to the same person.
    (ii) Subject matter which qualifies as prior art under 35 U.S.C. 
102(e), (f), or (g) in effect prior to March 16, 2013, and a claimed 
invention in an application pending on or after December 10, 2004, or in 
any patent granted on or after December 10, 2004, will be treated as

[[Page 98]]

commonly owned for purposes of 35 U.S.C. 103(c) in effect prior to March 
16, 2013, on the basis of a joint research agreement under 35 U.S.C. 
103(c)(2) in effect prior to March 16, 2013, if:
    (A) The applicant or patent owner provides a statement to the effect 
that the subject matter and the claimed invention were made by or on 
behalf of the parties to a joint research agreement, within the meaning 
of 35 U.S.C. 100(h) and Sec.1.9(e), which was in effect on or before 
the date the claimed invention was made, and that the claimed invention 
was made as a result of activities undertaken within the scope of the 
joint research agreement; and
    (B) The application for patent for the claimed invention discloses 
or is amended to disclose the names of the parties to the joint research 
agreement.
    (6) Patents issued prior to December 10, 2004, from applications 
filed prior to November 29, 1999, are subject to 35 U.S.C. 103(c) in 
effect on November 28, 1999.
    (d) Citation of references. (1) If domestic patents are cited by the 
examiner, their numbers and dates, and the names of the patentees will 
be stated. If domestic patent application publications are cited by the 
examiner, their publication number, publication date, and the names of 
the applicants will be stated. If foreign published applications or 
patents are cited, their nationality or country, numbers and dates, and 
the names of the patentees will be stated, and such other data will be 
furnished as may be necessary to enable the applicant, or in the case of 
a reexamination proceeding, the patent owner, to identify the published 
applications or patents cited. In citing foreign published applications 
or patents, in case only a part of the document is involved, the 
particular pages and sheets containing the parts relied upon will be 
identified. If printed publications are cited, the author (if any), 
title, date, pages or plates, and place of publication, or place where a 
copy can be found, will be given.
    (2) When a rejection in an application is based on facts within the 
personal knowledge of an employee of the Office, the data shall be as 
specific as possible, and the reference must be supported, when called 
for by the applicant, by the affidavit of such employee, and such 
affidavit shall be subject to contradiction or explanation by the 
affidavits of the applicant and other persons.
    (e) Reasons for allowance. If the examiner believes that the record 
of the prosecution as a whole does not make clear his or her reasons for 
allowing a claim or claims, the examiner may set forth such reasoning. 
The reasons shall be incorporated into an Office action rejecting other 
claims of the application or patent under reexamination or be the 
subject of a separate communication to the applicant or patent owner. 
The applicant or patent owner may file a statement commenting on the 
reasons for allowance within such time as may be specified by the 
examiner. Failure by the examiner to respond to any statement commenting 
on reasons for allowance does not give rise to any implication.

[62 FR 53191, Oct. 10, 1997, as amended at 65 FR 14872, Mar. 20, 2000; 
65 FR 54671, Sept. 8, 2000; 65 FR 57056, Sept. 20, 2000; 70 FR 1823, 
Jan. 11, 2005; 70 FR 54266, Sept. 14, 2005; 72 FR 46841, Aug. 21, 2007; 
74 FR 52690, Oct. 14, 2009; 78 FR 11057, Feb. 14, 2013]



Sec.1.105  Requirements for information.

    (a)(1) In the course of examining or treating a matter in a pending 
or abandoned application, in a patent, or in a reexamination proceeding, 
including a reexamination proceeding ordered as a result of a 
supplemental examination proceeding, the examiner or other Office 
employee may require the submission, from individuals identified under 
Sec.1.56(c), or any assignee, of such information as may be reasonably 
necessary to properly examine or treat the matter, for example:
    (i) Commercial databases: The existence of any particularly relevant 
commercial database known to any of the inventors that could be searched 
for a particular aspect of the invention.
    (ii) Search: Whether a search of the prior art was made, and if so, 
what was searched.
    (iii) Related information: A copy of any non-patent literature, 
published application, or patent (U.S. or foreign),

[[Page 99]]

by any of the inventors, that relates to the claimed invention.
    (iv) Information used to draft application: A copy of any non-patent 
literature, published application, or patent (U.S. or foreign) that was 
used to draft the application.
    (v) Information used in invention process: A copy of any non-patent 
literature, published application, or patent (U.S. or foreign) that was 
used in the invention process, such as by designing around or providing 
a solution to accomplish an invention result.
    (vi) Improvements: Where the claimed invention is an improvement, 
identification of what is being improved.
    (vii) In use: Identification of any use of the claimed invention 
known to any of the inventors at the time the application was filed 
notwithstanding the date of the use.
    (viii) Technical information known to applicant. Technical 
information known to applicant concerning the related art, the 
disclosure, the claimed subject matter, other factual information 
pertinent to patentability, or concerning the accuracy of the examiner's 
stated interpretation of such items.
    (2) Requirements for factual information known to applicant may be 
presented in any appropriate manner, for example:
    (i) A requirement for factual information;
    (ii) Interrogatories in the form of specific questions seeking 
applicant's factual knowledge; or
    (iii) Stipulations as to facts with which the applicant may agree or 
disagree.
    (3) Any reply to a requirement for information pursuant to this 
section that states either that the information required to be submitted 
is unknown to or is not readily available to the party or parties from 
which it was requested may be accepted as a complete reply.
    (b) The requirement for information of paragraph (a)(1) of this 
section may be included in an Office action, or sent separately.
    (c) A reply, or a failure to reply, to a requirement for information 
under this section will be governed by Sec. Sec.1.135 and 1.136.

[65 FR 54671, Sept. 8, 2000, as amended at 69 FR 56542, Sept. 21, 2004; 
72 FR 46841, Aug. 21, 2007; 74 FR 52690, Oct. 14, 2009; 77 FR 48821, 
Aug. 14, 2012; 80 FR 17963, Apr. 2, 2015]



Sec. Sec.1.106-1.108  [Reserved]



Sec.1.109  Effective filing date of a claimed invention under the 
Leahy-Smith America Invents Act.

    (a) The effective filing date for a claimed invention in a patent or 
application for patent, other than in a reissue application or reissued 
patent, is the earliest of:
    (1) The actual filing date of the patent or the application for the 
patent containing a claim to the invention; or
    (2) The filing date of the earliest application for which the patent 
or application is entitled, as to such invention, to a right of priority 
or the benefit of an earlier filing date under 35 U.S.C. 119, 120, 121, 
365, or 386.
    (b) The effective filing date for a claimed invention in a reissue 
application or a reissued patent is determined by deeming the claim to 
the invention to have been contained in the patent for which reissue was 
sought.

[80 FR 17963, Apr. 2, 2015]



Sec.1.110  Inventorship and ownership of the subject matter of 
individual claims.

    When one or more joint inventors are named in an application or 
patent, the Office may require an applicant or patentee to identify the 
inventorship and ownership or obligation to assign ownership, of each 
claimed invention on its effective filing date (as defined in Sec.
1.109) or on its date of invention, as applicable, when necessary for 
purposes of an Office proceeding. The Office may also require an 
applicant or patentee to identify the invention dates of the subject 
matter of each claim when necessary for purposes of an Office 
proceeding.

[78 FR 11058, Feb. 14, 2013]

              Action by Applicant and Further Consideration

    Authority: Secs. 1.111 to 1.113 also issued under 35 U.S.C. 132.

[[Page 100]]



Sec.1.111  Reply by applicant or patent owner to a non-final Office
action.

    (a)(1) If the Office action after the first examination (Sec.
1.104) is adverse in any respect, the applicant or patent owner, if he 
or she persists in his or her application for a patent or reexamination 
proceeding, must reply and request reconsideration or further 
examination, with or without amendment. See Sec. Sec.1.135 and 1.136 
for time for reply to avoid abandonment.
    (2) Supplemental replies. (i) A reply that is supplemental to a 
reply that is in compliance with Sec.1.111(b) will not be entered as a 
matter of right except as provided in paragraph (a)(2)(ii) of this 
section. The Office may enter a supplemental reply if the supplemental 
reply is clearly limited to:
    (A) Cancellation of a claim(s);
    (B) Adoption of the examiner suggestion(s);
    (C) Placement of the application in condition for allowance;
    (D) Reply to an Office requirement made after the first reply was 
filed;
    (E) Correction of informalities (e.g., typographical errors); or
    (F) Simplification of issues for appeal.
    (ii) A supplemental reply will be entered if the supplemental reply 
is filed within the period during which action by the Office is 
suspended under Sec.1.103(a) or (c).
    (b) In order to be entitled to reconsideration or further 
examination, the applicant or patent owner must reply to the Office 
action. The reply by the applicant or patent owner must be reduced to a 
writing which distinctly and specifically points out the supposed errors 
in the examiner's action and must reply to every ground of objection and 
rejection in the prior Office action. The reply must present arguments 
pointing out the specific distinctions believed to render the claims, 
including any newly presented claims, patentable over any applied 
references. If the reply is with respect to an application, a request 
may be made that objections or requirements as to form not necessary to 
further consideration of the claims be held in abeyance until allowable 
subject matter is indicated. The applicant's or patent owner's reply 
must appear throughout to be a bona fide attempt to advance the 
application or the reexamination proceeding to final action. A general 
allegation that the claims define a patentable invention without 
specifically pointing out how the language of the claims patentably 
distinguishes them from the references does not comply with the 
requirements of this section.
    (c) In amending in reply to a rejection of claims in an application 
or patent under reexamination, the applicant or patent owner must 
clearly point out the patentable novelty which he or she thinks the 
claims present in view of the state of the art disclosed by the 
references cited or the objections made. The applicant or patent owner 
must also show how the amendments avoid such references or objections.

[46 FR 29182, May 29, 1981, as amended at 62 FR 53192, Oct. 10, 1997; 65 
FR 54672, Sept. 8, 2000; 69 FR 56542, Sept. 21, 2004; 70 FR 3891, Jan. 
27, 2005]



Sec.1.112  Reconsideration before final action.

    After reply by applicant or patent owner (Sec.1.111 or Sec.
1.945) to a non-final action and any comments by an inter partes 
reexamination requester (Sec.1.947), the application or the patent 
under reexamination will be reconsidered and again examined. The 
applicant, or in the case of a reexamination proceeding the patent owner 
and any third party requester, will be notified if claims are rejected, 
objections or requirements made, or decisions favorable to patentability 
are made, in the same manner as after the first examination (Sec.
1.104). Applicant or patent owner may reply to such Office action in the 
same manner provided in Sec.1.111 or Sec.1.945, with or without 
amendment, unless such Office action indicates that it is made final 
(Sec.1.113) or an appeal (Sec.41.31 of this title) has been taken 
(Sec.1.116), or in an inter partes reexamination, that it is an action 
closing prosecution (Sec.1.949) or a right of appeal notice (Sec.
1.953).

[69 FR 49999, Aug. 12, 2004]



Sec.1.113  Final rejection or action.

    (a) On the second or any subsequent examination or consideration by 
the examiner the rejection or other action may be made final, whereupon 
applicant's, or for ex parte reexaminations

[[Page 101]]

filed under Sec.1.510, patent owner's reply is limited to appeal in 
the case of rejection of any claim (Sec.41.31 of this title), or to 
amendment as specified in Sec.1.114 or Sec.1.116. Petition may be 
taken to the Director in the case of objections or requirements not 
involved in the rejection of any claim (Sec.1.181). Reply to a final 
rejection or action must comply with Sec.1.114 or paragraph (c) of 
this section. For final actions in an inter partes reexamination filed 
under Sec.1.913, see Sec.1.953.
    (b) In making such final rejection, the examiner shall repeat or 
state all grounds of rejection then considered applicable to the claims 
in the application, clearly stating the reasons in support thereof.
    (c) Reply to a final rejection or action must include cancellation 
of, or appeal from the rejection of, each rejected claim. If any claim 
stands allowed, the reply to a final rejection or action must comply 
with any requirements or objections as to form.

[65 FR 14872, Mar. 20, 2000, as amended at 65 FR 76773, Dec. 7, 2000; 69 
FR 49999, Aug. 12, 2004]



Sec.1.114  Request for continued examination.

    (a) If prosecution in an application is closed, an applicant may 
request continued examination of the application by filing a submission 
and the fee set forth in Sec.1.17(e) prior to the earliest of:
    (1) Payment of the issue fee, unless a petition under Sec.1.313 is 
granted;
    (2) Abandonment of the application; or
    (3) The filing of a notice of appeal to the U.S. Court of Appeals 
for the Federal Circuit under 35 U.S.C. 141, or the commencement of a 
civil action under 35 U.S.C. 145 or 146, unless the appeal or civil 
action is terminated.
    (b) Prosecution in an application is closed as used in this section 
means that the application is under appeal, or that the last Office 
action is a final action (Sec.1.113), a notice of allowance (Sec.
1.311), or an action that otherwise closes prosecution in the 
application.
    (c) A submission as used in this section includes, but is not 
limited to, an information disclosure statement, an amendment to the 
written description, claims, or drawings, new arguments, or new evidence 
in support of patentability. If reply to an Office action under 35 
U.S.C. 132 is outstanding, the submission must meet the reply 
requirements of Sec.1.111.
    (d) If an applicant timely files a submission and fee set forth in 
Sec.1.17(e), the Office will withdraw the finality of any Office 
action and the submission will be entered and considered. If an 
applicant files a request for continued examination under this section 
after appeal, but prior to a decision on the appeal, it will be treated 
as a request to withdraw the appeal and to reopen prosecution of the 
application before the examiner. An appeal brief (Sec.41.37 of this 
title) or a reply brief (Sec.41.41 of this title), or related papers, 
will not be considered a submission under this section.
    (e) The provisions of this section do not apply to:
    (1) A provisional application;
    (2) An application for a utility or plant patent filed under 35 
U.S.C. 111(a) before June 8, 1995;
    (3) An international application filed under 35 U.S.C. 363 before 
June 8, 1995, or an international application that does not comply with 
35 U.S.C. 371;
    (4) An application for a design patent;
    (5) An international design application; or
    (6) A patent under reexamination.

[65 FR 50104, Aug. 16, 2000, as amended at 69 FR 49999, Aug. 12, 2004; 
72 FR 46841, Aug. 21, 2007; 74 FR 52691, Oct. 14, 2009; 80 FR 17963, 
Apr. 2, 2015]

                               Amendments

    Authority: Secs. 1.115 to 1.127 also issued under 35 U.S.C. 132.



Sec.1.115  Preliminary amendments.

    (a) A preliminary amendment is an amendment that is received in the 
Office (Sec.1.6) on or before the mail date of the first Office action 
under Sec.1.104. The patent application publication may include 
preliminary amendments (Sec.1.215(a)).
    (1) A preliminary amendment that is present on the filing date of an 
application is part of the original disclosure of the application.

[[Page 102]]

    (2) A preliminary amendment filed after the filing date of the 
application is not part of the original disclosure of the application.
    (b) A preliminary amendment in compliance with Sec.1.121 will be 
entered unless disapproved by the Director.
    (1) A preliminary amendment seeking cancellation of all the claims 
without presenting any new or substitute claims will be disapproved.
    (2) A preliminary amendment may be disapproved if the preliminary 
amendment unduly interferes with the preparation of a first Office 
action in an application. Factors that will be considered in 
disapproving a preliminary amendment include:
    (i) The state of preparation of a first Office action as of the date 
of receipt (Sec.1.6) of the preliminary amendment by the Office; and
    (ii) The nature of any changes to the specification or claims that 
would result from entry of the preliminary amendment.
    (3) A preliminary amendment will not be disapproved under (b)(2) of 
this section if it is filed no later than:
    (i) Three months from the filing date of an application under Sec.
1.53(b);
    (ii) The filing date of a continued prosecution application under 
Sec.1.53(d); or
    (iii) Three months from the date the national stage is entered as 
set forth in Sec.1.491 in an international application.
    (4) The time periods specified in paragraph (b)(3) of this section 
are not extendable.

[69 FR 56543, Sept. 21, 2004]



Sec.1.116  Amendments and affidavits or other evidence after final 
action and prior to appeal.

    (a) An amendment after final action must comply with Sec.1.114 or 
this section.
    (b) After a final rejection or other final action (Sec.1.113) in 
an application or in an ex parte reexamination filed under Sec.1.510, 
or an action closing prosecution (Sec.1.949) in an inter partes 
reexamination filed under Sec.1.913, but before or on the same date of 
filing an appeal (Sec.41.31 or Sec.41.61 of this title):
    (1) An amendment may be made canceling claims or complying with any 
requirement of form expressly set forth in a previous Office action;
    (2) An amendment presenting rejected claims in better form for 
consideration on appeal may be admitted; or
    (3) An amendment touching the merits of the application or patent 
under reexamination may be admitted upon a showing of good and 
sufficient reasons why the amendment is necessary and was not earlier 
presented.
    (c) The admission of, or refusal to admit, any amendment after a 
final rejection, a final action, an action closing prosecution, or any 
related proceedings will not operate to relieve the application or 
reexamination proceeding from its condition as subject to appeal or to 
save the application from abandonment under Sec.1.135, or the 
reexamination prosecution from termination under Sec.1.550(d) or Sec.
1.957(b) or limitation of further prosecution under Sec.1.957(c).
    (d)(1) Notwithstanding the provisions of paragraph (b) of this 
section, no amendment other than canceling claims, where such 
cancellation does not affect the scope of any other pending claim in the 
proceeding, can be made in an inter partes reexamination proceeding 
after the right of appeal notice under Sec.1.953 except as provided in 
Sec.1.981 or as permitted by Sec.41.77(b)(1) of this title.
    (2) Notwithstanding the provisions of paragraph (b) of this section, 
an amendment made after a final rejection or other final action (Sec.
1.113) in an ex parte reexamination filed under Sec.1.510, or an 
action closing prosecution (Sec.1.949) in an inter partes 
reexamination filed under Sec.1.913 may not cancel claims where such 
cancellation affects the scope of any other pending claim in the 
reexamination proceeding except as provided in Sec.1.981 or as 
permitted by Sec.41.77(b)(1) of this title.
    (e) An affidavit or other evidence submitted after a final rejection 
or other final action (Sec.1.113) in an application or in an ex parte 
reexamination filed under Sec.1.510, or an action closing prosecution 
(Sec.1.949) in an inter partes reexamination filed under Sec.1.913 
but before or on the same date of filing an appeal (Sec.41.31 or Sec.
41.61 of this title), may be admitted upon a showing of

[[Page 103]]

good and sufficient reasons why the affidavit or other evidence is 
necessary and was not earlier presented.
    (f) Notwithstanding the provisions of paragraph (e) of this section, 
no affidavit or other evidence can be made in an inter partes 
reexamination proceeding after the right of appeal notice under Sec.
1.953 except as provided in Sec.1.981 or as permitted by Sec.
41.77(b)(1) of this title.
    (g) After decision on appeal, amendments, affidavits and other 
evidence can only be made as provided in Sec. Sec.1.198 and 1.981, or 
to carry into effect a recommendation under Sec.41.50(c) of this 
title.

[69 FR 49999, Aug. 12, 2004]



Sec. Sec.1.117-1.119  [Reserved]



Sec.1.121  Manner of making amendments in applications.

    (a) Amendments in applications, other than reissue applications. 
Amendments in applications, other than reissue applications, are made by 
filing a paper, in compliance with Sec.1.52, directing that specified 
amendments be made.
    (b) Specification. Amendments to the specification, other than the 
claims, computer listings (Sec.1.96) and sequence listings (Sec.
1.825), must be made by adding, deleting or replacing a paragraph, by 
replacing a section, or by a substitute specification, in the manner 
specified in this section.
    (1) Amendment to delete, replace, or add a paragraph. Amendments to 
the specification, including amendment to a section heading or the title 
of the invention which are considered for amendment purposes to be an 
amendment of a paragraph, must be made by submitting:
    (i) An instruction, which unambiguously identifies the location, to 
delete one or more paragraphs of the specification, replace a paragraph 
with one or more replacement paragraphs, or add one or more paragraphs;
    (ii) The full text of any replacement paragraph with markings to 
show all the changes relative to the previous version of the paragraph. 
The text of any added subject matter must be shown by underlining the 
added text. The text of any deleted matter must be shown by strike-
through except that double brackets placed before and after the deleted 
characters may be used to show deletion of five or fewer consecutive 
characters. The text of any deleted subject matter must be shown by 
being placed within double brackets if strike-through cannot be easily 
perceived;
    (iii) The full text of any added paragraphs without any underlining; 
and
    (iv) The text of a paragraph to be deleted must not be presented 
with strike-through or placed within double brackets. The instruction to 
delete may identify a paragraph by its paragraph number or include a few 
words from the beginning, and end, of the paragraph, if needed for 
paragraph identification purposes.
    (2) Amendment by replacement section. If the sections of the 
specification contain section headings as provided in Sec.1.77(b), 
Sec.1.154(b), or Sec.1.163(c), amendments to the specification, 
other than the claims, may be made by submitting:
    (i) A reference to the section heading along with an instruction, 
which unambiguously identifies the location, to delete that section of 
the specification and to replace such deleted section with a replacement 
section; and
    (ii) A replacement section with markings to show all changes 
relative to the previous version of the section. The text of any added 
subject matter must be shown by underlining the added text. The text of 
any deleted matter must be shown by strike-through except that double 
brackets placed before and after the deleted characters may be used to 
show deletion of five or fewer consecutive characters. The text of any 
deleted subject matter must be shown by being placed within double 
brackets if strike-through cannot be easily perceived.
    (3) Amendment by substitute specification. The specification, other 
than the claims, may also be amended by submitting:
    (i) An instruction to replace the specification; and
    (ii) A substitute specification in compliance with Sec. Sec.
1.125(b) and (c).

[[Page 104]]

    (4) Reinstatement of previously deleted paragraph or section. A 
previously deleted paragraph or section may be reinstated only by a 
subsequent amendment adding the previously deleted paragraph or section.
    (5) Presentation in subsequent amendment document. Once a paragraph 
or section is amended in a first amendment document, the paragraph or 
section shall not be re-presented in a subsequent amendment document 
unless it is amended again or a substitute specification is provided.
    (c) Claims. Amendments to a claim must be made by rewriting the 
entire claim with all changes (e.g., additions and deletions) as 
indicated in this subsection, except when the claim is being canceled. 
Each amendment document that includes a change to an existing claim, 
cancellation of an existing claim or addition of a new claim, must 
include a complete listing of all claims ever presented, including the 
text of all pending and withdrawn claims, in the application. The claim 
listing, including the text of the claims, in the amendment document 
will serve to replace all prior versions of the claims, in the 
application. In the claim listing, the status of every claim must be 
indicated after its claim number by using one of the following 
identifiers in a parenthetical expression: (Original), (Currently 
amended), (Canceled), (Withdrawn), (Previously presented), (New), and 
(Not entered).
    (1) Claim listing. All of the claims presented in a claim listing 
shall be presented in ascending numerical order. Consecutive claims 
having the same status of ``canceled'' or ``not entered'' may be 
aggregated into one statement (e.g., Claims 1-5 (canceled)). The claim 
listing shall commence on a separate sheet of the amendment document and 
the sheet(s) that contain the text of any part of the claims shall not 
contain any other part of the amendment.
    (2) When claim text with markings is required. All claims being 
currently amended in an amendment paper shall be presented in the claim 
listing, indicate a status of ``currently amended,'' and be submitted 
with markings to indicate the changes that have been made relative to 
the immediate prior version of the claims. The text of any added subject 
matter must be shown by underlining the added text. The text of any 
deleted matter must be shown by strike-through except that double 
brackets placed before and after the deleted characters may be used to 
show deletion of five or fewer consecutive characters. The text of any 
deleted subject matter must be shown by being placed within double 
brackets if strike-through cannot be easily perceived. Only claims 
having the status of ``currently amended,'' or ``withdrawn'' if also 
being amended, shall include markings. If a withdrawn claim is currently 
amended, its status in the claim listing may be identified as 
``withdrawn--currently amended.''
    (3) When claim text in clean version is required. The text of all 
pending claims not being currently amended shall be presented in the 
claim listing in clean version, i.e., without any markings in the 
presentation of text. The presentation of a clean version of any claim 
having the status of ``original,'' ``withdrawn'' or ``previously 
presented'' will constitute an assertion that it has not been changed 
relative to the immediate prior version, except to omit markings that 
may have been present in the immediate prior version of the claims of 
the status of ``withdrawn'' or ``previously presented.'' Any claim added 
by amendment must be indicated with the status of ``new'' and presented 
in clean version, i.e., without any underlining.
    (4) When claim text shall not be presented; canceling a claim. (i) 
No claim text shall be presented for any claim in the claim listing with 
the status of ``canceled'' or ``not entered.''
    (ii) Cancellation of a claim shall be effected by an instruction to 
cancel a particular claim number. Identifying the status of a claim in 
the claim listing as ``canceled'' will constitute an instruction to 
cancel the claim.
    (5) Reinstatement of previously canceled claim. A claim which was 
previously canceled may be reinstated only by adding the claim as a 
``new'' claim with a new claim number.
    (d) Drawings. One or more application drawings shall be amended in 
the following manner: Any changes to an application drawing must be in 
compliance with Sec.1.84 or, for a nonprovisional

[[Page 105]]

international design application, in compliance with Sec. Sec.1.84(c) 
and 1.1026 and must be submitted on a replacement sheet of drawings 
which shall be an attachment to the amendment document and, in the top 
margin, labeled ``Replacement Sheet.'' Any replacement sheet of drawings 
shall include all of the figures appearing on the immediate prior 
version of the sheet, even if only one figure is amended. Any new sheet 
of drawings containing an additional figure must be labeled in the top 
margin as ``New Sheet.'' All changes to the drawings shall be explained, 
in detail, in either the drawing amendment or remarks section of the 
amendment paper.
    (1) A marked-up copy of any amended drawing figure, including 
annotations indicating the changes made, may be included. The marked-up 
copy must be clearly labeled as ``Annotated Sheet'' and must be 
presented in the amendment or remarks section that explains the change 
to the drawings.
    (2) A marked-up copy of any amended drawing figure, including 
annotations indicating the changes made, must be provided when required 
by the examiner.
    (e) Disclosure consistency. The disclosure must be amended, when 
required by the Office, to correct inaccuracies of description and 
definition, and to secure substantial correspondence between the claims, 
the remainder of the specification, and the drawings.
    (f) No new matter. No amendment may introduce new matter into the 
disclosure of an application.
    (g) Exception for examiner's amendments. Changes to the 
specification, including the claims, of an application made by the 
Office in an examiner's amendment may be made by specific instructions 
to insert or delete subject matter set forth in the examiner's amendment 
by identifying the precise point in the specification or the claim(s) 
where the insertion or deletion is to be made. Compliance with 
paragraphs (b)(1), (b)(2), or (c) of this section is not required.
    (h) Amendment sections. Each section of an amendment document (e.g., 
amendment to the claims, amendment to the specification, replacement 
drawings, and remarks) must begin on a separate sheet.
    (i) Amendments in reissue applications. Any amendment to the 
description and claims in reissue applications must be made in 
accordance with Sec.1.173.
    (j) Amendments in reexamination proceedings. Any proposed amendment 
to the description and claims in patents involved in reexamination 
proceedings must be made in accordance with Sec.1.530.
    (k) Amendments in provisional applications. Amendments in 
provisional applications are not usually made. If an amendment is made 
to a provisional application, however, it must comply with the 
provisions of this section. Any amendments to a provisional application 
shall be placed in the provisional application file but may not be 
entered.

[68 FR 38628, June 30, 2003, as amended at 69 FR 56543, Sept. 21, 2004; 
80 FR 17963, Apr. 2, 2015]



Sec. Sec.1.122-1.224  [Reserved]



Sec.1.125  Substitute specification.

    (a) If the number or nature of the amendments or the legibility of 
the application papers renders it difficult to consider the application, 
or to arrange the papers for printing or copying, the Office may require 
the entire specification, including the claims, or any part thereof, be 
rewritten.
    (b) Subject to Sec.1.312, a substitute specification, excluding 
the claims, may be filed at any point up to payment of the issue fee if 
it is accompanied by a statement that the substitute specification 
includes no new matter.
    (c) A substitute specification submitted under this section must be 
submitted with markings showing all the changes relative to the 
immediate prior version of the specification of record. The text of any 
added subject matter must be shown by underlining the added text. The 
text of any deleted matter must be shown by strike-through except that 
double brackets placed before and after the deleted characters may be 
used to show deletion of five or fewer consecutive characters. The text 
of any deleted subject matter must be shown by being placed within 
double brackets if strike-through cannot be easily perceived. An

[[Page 106]]

accompanying clean version (without markings) must also be supplied. 
Numbering the paragraphs of the specification of record is not 
considered a change that must be shown pursuant to this paragraph.
    (d) A substitute specification under this section is not permitted 
in a reissue application or in a reexamination proceeding.

[62 FR 53193, Oct. 10, 1997, as amended at 65 FR 54673, Sept. 8, 2000; 
68 FR 38630, June 30, 2003]



Sec.1.126  Numbering of claims.

    The original numbering of the claims must be preserved throughout 
the prosecution. When claims are canceled the remaining claims must not 
be renumbered. When claims are added, they must be numbered by the 
applicant consecutively beginning with the number next following the 
highest numbered claim previously presented (whether entered or not). 
When the application is ready for allowance, the examiner, if necessary, 
will renumber the claims consecutively in the order in which they appear 
or in such order as may have been requested by applicant.

[62 FR 53194, Oct. 10, 1997]



Sec.1.127  [Reserved]

                         Transitional Provisions



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

    (a) An applicant in an application, other than for reissue or a 
design patent, that has been pending for at least two years as of June 
8, 1995, taking into account any reference made in such application to 
any earlier filed application under 35 U.S.C. 120, 121 and 365(c), is 
entitled to have a first submission entered and considered on the merits 
after final rejection under the following circumstances: The Office will 
consider such a submission, if the first submission and the fee set 
forth in Sec.1.17(r) are filed prior to the filing of an appeal brief 
and prior to abandonment of the application. The finality of the final 
rejection is automatically withdrawn upon the timely filing of the 
submission and payment of the fee set forth in Sec.1.17(r). If a 
subsequent final rejection is made in the application, applicant is 
entitled to have a second submission entered and considered on the 
merits after the subsequent final rejection under the following 
circumstances: The Office will consider such a submission, if the second 
submission and a second fee set forth in Sec.1.17(r) are filed prior 
to the filing of an appeal brief and prior to abandonment of the 
application. The finality of the subsequent final rejection is 
automatically withdrawn upon the timely filing of the submission and 
payment of the second fee set forth in Sec.1.17(r). Any submission 
filed after a final rejection made in an application subsequent to the 
fee set forth in Sec.1.17(r) having been twice paid will be treated as 
set forth in Sec.1.116. A submission as used in this paragraph 
includes, but is not limited to, an information disclosure statement, an 
amendment to the written description, claims or drawings and a new 
substantive argument or new evidence in support of patentability.
    (b)(1) In an application, other than for reissue or a design patent, 
that has been pending for at least three years as of June 8, 1995; 
taking into account any reference made in the application to any earlier 
filed application under 35 U.S.C. 120, 121, and 365(c), no requirement 
for restriction or for the filing of divisional applications shall be 
made or maintained in the application after June 8, 1995, except where:
    (i) The requirement was first made in the application or any earlier 
filed application under 35 U.S.C. 120, 121 and 365(c) prior to April 8, 
1995;
    (ii) The examiner has not made a requirement for restriction in the 
present or parent application prior to April 8, 1995, due to actions by 
the applicant; or
    (iii) The required fee for examination of each additional invention 
was not paid.
    (2) If the application contains more than one independent and 
distinct invention and a requirement for restriction or for the filing 
of divisional applications cannot be made or maintained pursuant to this 
paragraph, applicant will be so notified and given a time period to:

[[Page 107]]

    (i) Elect the invention or inventions to be searched and examined, 
if no election has been made prior to the notice, and pay the fee set 
forth in Sec.1.17(s) for each independent and distinct invention 
claimed in the application in excess of one which applicant elects;
    (ii) Confirm an election made prior to the notice and pay the fee 
set forth in Sec.1.17(s) for each independent and distinct invention 
claimed in the application in addition to the one invention which 
applicant previously elected; or
    (iii) File a petition under this section traversing the requirement. 
If the required petition is filed in a timely manner, the original time 
period for electing and paying the fee set forth in Sec.1.17(s) will 
be deferred and any decision on the petition affirming or modifying the 
requirement will set a new time period to elect the invention or 
inventions to be searched and examined and to pay the fee set forth in 
Sec.1.17(s) for each independent and distinct invention claimed in the 
application in excess of one which applicant elects.
    (3) The additional inventions for which the required fee has not 
been paid will be withdrawn from consideration under Sec.1.142(b). An 
applicant who desires examination of an invention so withdrawn from 
consideration can file a divisional application under 35 U.S.C. 121.
    (c) The provisions of this section shall not be applicable to any 
application filed after June 8, 1995.

[60 FR 20226, Apr. 25, 1995]

                    Affidavits Overcoming Rejections



Sec.1.130  Affidavit or declaration of attribution or prior public 
disclosure under the Leahy-Smith America Invents Act.

    (a) Affidavit or declaration of attribution. When any claim of an 
application or a patent under reexamination is rejected, the applicant 
or patent owner may submit an appropriate affidavit or declaration to 
disqualify a disclosure as prior art by establishing that the disclosure 
was made by the inventor or a joint inventor, or the subject matter 
disclosed was obtained directly or indirectly from the inventor or a 
joint inventor.
    (b) Affidavit or declaration of prior public disclosure. When any 
claim of an application or a patent under reexamination is rejected, the 
applicant or patent owner may submit an appropriate affidavit or 
declaration to disqualify a disclosure as prior art by establishing that 
the subject matter disclosed had, before such disclosure was made or 
before such subject matter was effectively filed, been publicly 
disclosed by the inventor or a joint inventor or another who obtained 
the subject matter disclosed directly or indirectly from the inventor or 
a joint inventor. An affidavit or declaration under this paragraph must 
identify the subject matter publicly disclosed and provide the date such 
subject matter was publicly disclosed by the inventor or a joint 
inventor or another who obtained the subject matter disclosed directly 
or indirectly from the inventor or a joint inventor.
    (1) If the subject matter publicly disclosed on that date was in a 
printed publication, the affidavit or declaration must be accompanied by 
a copy of the printed publication.
    (2) If the subject matter publicly disclosed on that date was not in 
a printed publication, the affidavit or declaration must describe the 
subject matter with sufficient detail and particularity to determine 
what subject matter had been publicly disclosed on that date by the 
inventor or a joint inventor or another who obtained the subject matter 
disclosed directly or indirectly from the inventor or a joint inventor.
    (c) When this section is not available. The provisions of this 
section are not available if the rejection is based upon a disclosure 
made more than one year before the effective filing date of the claimed 
invention. The provisions of this section may not be available if the 
rejection is based upon a U.S. patent or U.S. patent application 
publication of a patented or pending application naming another 
inventor, the patent or pending application claims an invention that is 
the same or substantially the same as the applicant's or patent owner's 
claimed invention, and the affidavit or declaration contends that an 
inventor named in the U.S. patent or

[[Page 108]]

U.S. patent application publication derived the claimed invention from 
the inventor or a joint inventor named in the application or patent, in 
which case an applicant or a patent owner may file a petition for a 
derivation proceeding pursuant to Sec.42.401 et seq. of this title.
    (d) Applications and patents to which this section is applicable. 
The provisions of this section apply to any application for patent, and 
to any patent issuing thereon, that contains, or contained at any time:
    (1) A claim to a claimed invention that has an effective filing date 
as defined in Sec.1.109 that is on or after March 16, 2013; or
    (2) A specific reference under 35 U.S.C. 120, 121, 365(c), or 386(c) 
to any patent or application that contains, or contained at any time, a 
claim to a claimed invention that has an effective filing date as 
defined in Sec.1.109 that is on or after March 16, 2013.

[78 FR 11058, Feb. 14, 2013, as amended at 80 FR 17963, Apr. 2, 2015]



Sec.1.131  Affidavit or declaration of prior invention or to disqualify
commonly owned patent or published application as prior art.

    (a) When any claim of an application or a patent under reexamination 
is rejected, the applicant or patent owner may submit an appropriate 
oath or declaration to establish invention of the subject matter of the 
rejected claim prior to the effective date of the reference or activity 
on which the rejection is based. The effective date of a U.S. patent, 
U.S. patent application publication, or international application 
publication under PCT Article 21(2) is the earlier of its publication 
date or the date that it is effective as a reference under 35 U.S.C. 
102(e) as in effect on March 15, 2013. Prior invention may not be 
established under this section in any country other than the United 
States, a NAFTA country, or a WTO member country. Prior invention may 
not be established under this section before December 8, 1993, in a 
NAFTA country other than the United States, or before January 1, 1996, 
in a WTO member country other than a NAFTA country. Prior invention may 
not be established under this section if either:
    (1) The rejection is based upon a U.S. patent or U.S. patent 
application publication of a pending or patented application naming 
another inventor which claims interfering subject matter as defined in 
Sec.41.203(a) of this chapter, in which case an applicant may suggest 
an interference pursuant to Sec.41.202(a) of this chapter; or
    (2) The rejection is based upon a statutory bar.
    (b) The showing of facts for an oath or declaration under paragraph 
(a) of this section shall be such, in character and weight, as to 
establish reduction to practice prior to the effective date of the 
reference, or conception of the invention prior to the effective date of 
the reference coupled with due diligence from prior to said date to a 
subsequent reduction to practice or to the filing of the application. 
Original exhibits of drawings or records, or photocopies thereof, must 
accompany and form part of the affidavit or declaration or their absence 
must be satisfactorily explained.
    (c) When any claim of an application or a patent under reexamination 
is rejected under 35 U.S.C. 103 as in effect on March 15, 2013, on a 
U.S. patent or U.S. patent application publication which is not prior 
art under 35 U.S.C. 102(b) as in effect on March 15, 2013, and the 
inventions defined by the claims in the application or patent under 
reexamination and by the claims in the patent or published application 
are not identical but are not patentably distinct, and the inventions 
are owned by the same party, the applicant or owner of the patent under 
reexamination may disqualify the patent or patent application 
publication as prior art. The patent or patent application publication 
can be disqualified as prior art by submission of:
    (1) A terminal disclaimer in accordance with Sec.1.321(c); and
    (2) An oath or declaration stating that the application or patent 
under reexamination and patent or published application are currently 
owned by the same party, and that the inventor named in the application 
or patent

[[Page 109]]

under reexamination is the prior inventor under 35 U.S.C. 104 as in 
effect on March 15, 2013.
    (d) The provisions of this section apply to any application for 
patent and to any patent issuing thereon, that contains, or contained at 
any time:
    (1) A claim to an invention that has an effective filing date as 
defined in Sec.1.109 that is before March 16, 2013; or
    (2) A specific reference under 35 U.S.C. 120, 121, 365(c), or 386(c) 
to any patent or application that contains, or contained at any time, a 
claim to an invention that has an effective filing date as defined in 
Sec.1.109 that is before March 16, 2013.
    (e) In an application for patent to which the provisions of Sec.
1.130 apply, and to any patent issuing thereon, the provisions of this 
section are applicable only with respect to a rejection under 35 U.S.C. 
102(g) as in effect on March 15, 2013.

[78 FR 11058, Feb. 14, 2013, as amended at 78 FR 62405, Oct. 21, 2013; 
80 FR 17963, Apr. 2, 2015]



Sec.1.132  Affidavits or declarations traversing rejections or
objections.

    When any claim of an application or a patent under reexamination is 
rejected or objected to, any evidence submitted to traverse the 
rejection or objection on a basis not otherwise provided for must be by 
way of an oath or declaration under this section.

[65 FR 57057, Sept. 20, 2000]

                               Interviews



Sec.1.133  Interviews.

    (a)(1) Interviews with examiners concerning applications and other 
matters pending before the Office must be conducted on Office premises 
and within Office hours, as the respective examiners may designate. 
Interviews will not be permitted at any other time or place without the 
authority of the Director.
    (2) An interview for the discussion of the patentability of a 
pending application will not occur before the first Office action, 
unless the application is a continuing or substitute application or the 
examiner determines that such an interview would advance prosecution of 
the application.
    (3) The examiner may require that an interview be scheduled in 
advance.
    (b) In every instance where reconsideration is requested in view of 
an interview with an examiner, a complete written statement of the 
reasons presented at the interview as warranting favorable action must 
be filed by the applicant. An interview does not remove the necessity 
for reply to Office actions as specified in Sec. Sec.1.111 and 1.135.

(35 U.S.C. 132)

[24 FR 10332, Dec. 22, 1959, as amended at 62 FR 53194, Oct. 10, 1997; 
65 FR 54674, Sept. 8, 2000; 70 FR 56128, Sept. 26, 2005]

         Time for Reply by Applicant; Abandonment of Application

    Authority: Secs. 1.135 to 1.138 also issued under 35 U.S.C. 133.



Sec.1.134  Time period for reply to an Office action.

    An Office action will notify the applicant of any non-statutory or 
shortened statutory time period set for reply to an Office action. 
Unless the applicant is notified in writing that a reply is required in 
less than six months, a maximum period of six months is allowed.

[62 FR 53194, Oct. 10, 1997]



Sec.1.135  Abandonment for failure to reply within time period.

    (a) If an applicant of a patent application fails to reply within 
the time period provided under Sec.1.134 and Sec.1.136, the 
application will become abandoned unless an Office action indicates 
otherwise.
    (b) Prosecution of an application to save it from abandonment 
pursuant to paragraph (a) of this section must include such complete and 
proper reply as the condition of the application may require. The 
admission of, or refusal to admit, any amendment after final rejection 
or any amendment not responsive to the last action, or any related 
proceedings, will not operate to save the application from abandonment.
    (c) When reply by the applicant is a bona fide attempt to advance 
the application to final action, and is substantially a complete reply 
to the non-final Office action, but consideration of some matter or 
compliance with some requirement has been inadvertently

[[Page 110]]

omitted, applicant may be given a new time period for reply under Sec.
1.134 to supply the omission.

[62 FR 53194, Oct. 10, 1997]



Sec.1.136  Extensions of time.

    (a)(1) If an applicant is required to reply within a nonstatutory or 
shortened statutory time period, applicant may extend the time period 
for reply up to the earlier of the expiration of any maximum period set 
by statute or five months after the time period set for reply, if a 
petition for an extension of time and the fee set in Sec.1.17(a) are 
filed, unless:
    (i) Applicant is notified otherwise in an Office action;
    (ii) The reply is a reply brief submitted pursuant to Sec.41.41 of 
this title;
    (iii) The reply is a request for an oral hearing submitted pursuant 
to Sec.41.47(a) of this title;
    (iv) The reply is to a decision by the Patent Trial and Appeal Board 
pursuant to Sec.41.50 or Sec.41.52 of this chapter or to Sec.90.3 
of this chapter; or
    (v) The application is involved in a contested case (Sec.41.101(a) 
of this title) or a derivation proceeding (Sec.42.4(b) of this title).
    (2) The date on which the petition and the fee have been filed is 
the date for purposes of determining the period of extension and the 
corresponding amount of the fee. The expiration of the time period is 
determined by the amount of the fee paid. A reply must be filed prior to 
the expiration of the period of extension to avoid abandonment of the 
application (Sec.1.135), but in no situation may an applicant reply 
later than the maximum time period set by statute, or be granted an 
extension of time under paragraph (b) of this section when the 
provisions of paragraph (a) of this section are available.
    (3) A written request may be submitted in an application that is an 
authorization to treat any concurrent or future reply, requiring a 
petition for an extension of time under this paragraph for its timely 
submission, as incorporating a petition for extension of time for the 
appropriate length of time. An authorization to charge all required 
fees, fees under Sec.1.17, or all required extension of time fees will 
be treated as a constructive petition for an extension of time in any 
concurrent or future reply requiring a petition for an extension of time 
under this paragraph for its timely submission. Submission of the fee 
set forth in Sec.1.17(a) will also be treated as a constructive 
petition for an extension of time in any concurrent reply requiring a 
petition for an extension of time under this paragraph for its timely 
submission.
    (b) When a reply cannot be filed within the time period set for such 
reply and the provisions of paragraph (a) of this section are not 
available, the period for reply will be extended only for sufficient 
cause and for a reasonable time specified. Any request for an extension 
of time under this paragraph must be filed on or before the day on which 
such reply is due, but the mere filing of such a request will not effect 
any extension under this paragraph. In no situation can any extension 
carry the date on which reply is due beyond the maximum time period set 
by statute. Any request under this paragraph must be accompanied by the 
petition fee set forth in Sec.1.17(g).
    (c) If an applicant is notified in a ``Notice of Allowability'' that 
an application is otherwise in condition for allowance, the following 
time periods are not extendable if set in the ``Notice of Allowability'' 
or in an Office action having a mail date on or after the mail date of 
the ``Notice of Allowability'':
    (1) The period for submitting the inventor's oath or declaration;
    (2) The period for submitting formal drawings set under Sec.
1.85(c); and
    (3) The period for making a deposit set under Sec.1.809(c).
    (d) See Sec.1.550(c) for extensions of time in ex parte 
reexamination proceedings, Sec.1.956 for extensions of time in inter 
partes reexamination proceedings; Sec. Sec.41.4(a) and 41.121(a)(3) of 
this chapter for extensions of time in contested cases before the Patent 
Trial and Appeal Board; Sec.42.5(c) of this chapter for extensions of 
time in trials before the Patent Trial and Appeal Board; and Sec.90.3 
of this chapter for extensions of time to appeal to the U.S.

[[Page 111]]

Court of Appeals for the Federal Circuit or to commence a civil action.

[62 FR 53194, Oct. 10, 1997, as amended at 65 FR 54674, Sept. 8, 2000; 
65 FR 76773, Dec. 7, 2000; 66 FR 21092, Apr. 27, 2001; 69 FR 50000, Aug. 
12, 2004; 69 FR 56543, Sept. 21, 2004; 70 FR 3891, Jan. 27, 2005; 72 FR 
46842, Aug. 21, 2007; 74 FR 52691, Oct. 14, 2009; 77 FR 46625, Aug. 6, 
2012; 77 FR 48821, Aug. 14, 2012; 78 FR 62405, Oct. 21, 2013]



Sec.1.137  Revival of abandoned application, or terminated or limited
reexamination prosecution.

    (a) Revival on the basis of unintentional delay. If the delay in 
reply by applicant or patent owner was unintentional, a petition may be 
filed pursuant to this section to revive an abandoned application or a 
reexamination prosecution terminated under Sec.1.550(d) or Sec.
1.957(b) or limited under Sec.1.957(c).
    (b) Petition requirements. A grantable petition pursuant to this 
section must be accompanied by:
    (1) The reply required to the outstanding Office action or notice, 
unless previously filed;
    (2) The petition fee as set forth in Sec.1.17(m);
    (3) Any terminal disclaimer (and fee as set forth in Sec.1.20(d)) 
required pursuant to paragraph (d) of this section; and
    (4) A statement that the entire delay in filing the required reply 
from the due date for the reply until the filing of a grantable petition 
pursuant to this section was unintentional. The Director may require 
additional information where there is a question whether the delay was 
unintentional.
    (c) Reply. In an application abandoned under Sec.1.57(a), the 
reply must include a copy of the specification and any drawings of the 
previously filed application. In an application or patent abandoned for 
failure to pay the issue fee or any portion thereof, the required reply 
must include payment of the issue fee or any outstanding balance. In an 
application abandoned for failure to pay the publication fee, the 
required reply must include payment of the publication fee. In a 
nonprovisional application abandoned for failure to prosecute, the 
required reply may be met by the filing of a continuing application. In 
a nonprovisional utility or plant application filed on or after June 8, 
1995, abandoned after the close of prosecution as defined in Sec.
1.114(b), the required reply may also be met by the filing of a request 
for continued examination in compliance with Sec.1.114.
    (d) Terminal disclaimer. (1) Any petition to revive pursuant to this 
section in a design application must be accompanied by a terminal 
disclaimer and fee as set forth in Sec.1.321 dedicating to the public 
a terminal part of the term of any patent granted thereon equivalent to 
the period of abandonment of the application. Any petition to revive 
pursuant to this section in either a utility or plant application filed 
before June 8, 1995, must be accompanied by a terminal disclaimer and 
fee as set forth in Sec.1.321 dedicating to the public a terminal part 
of the term of any patent granted thereon equivalent to the lesser of:
    (i) The period of abandonment of the application; or
    (ii) The period extending beyond twenty years from the date on which 
the application for the patent was filed in the United States or, if the 
application contains a specific reference to an earlier filed 
application(s) under 35 U.S.C. 120, 121, 365(c), or 386(c) from the date 
on which the earliest such application was filed.
    (2) Any terminal disclaimer pursuant to paragraph (d)(1) of this 
section must also apply to any patent granted on a continuing utility or 
plant application filed before June 8, 1995, or a continuing design 
application, that contains a specific reference under 35 U.S.C. 120, 
121, 365(c), or 386(c) to the application for which revival is sought.
    (3) The provisions of paragraph (d)(1) of this section do not apply 
to applications for which revival is sought solely for purposes of 
copendency with a utility or plant application filed on or after June 8, 
1995, to reissue applications, or to reexamination proceedings.
    (e) Request for reconsideration. Any request for reconsideration or 
review of a decision refusing to revive an abandoned application, or a 
terminated or limited reexamination prosecution, upon petition filed 
pursuant to this section, to be considered timely, must be filed within 
two months of the decision refusing to revive or within such

[[Page 112]]

time as set in the decision. Unless a decision indicates otherwise, this 
time period may be extended under:
    (1) The provisions of Sec.1.136 for an abandoned application;
    (2) The provisions of Sec.1.550(c) for a terminated ex parte 
reexamination prosecution, where the ex parte reexamination was filed 
under Sec.1.510; or
    (3) The provisions of Sec.1.956 for a terminated inter partes 
reexamination prosecution or an inter partes reexamination limited as to 
further prosecution, where the inter partes reexamination was filed 
under Sec.1.913.
    (f) Abandonment for failure to notify the Office of a foreign 
filing. A nonprovisional application abandoned pursuant to 35 U.S.C. 
122(b)(2)(B)(iii) for failure to timely notify the Office of the filing 
of an application in a foreign country or under a multinational treaty 
that requires publication of applications eighteen months after filing, 
may be revived pursuant to this section. The reply requirement of 
paragraph (c) of this section is met by the notification of such filing 
in a foreign country or under a multinational treaty, but the filing of 
a petition under this section will not operate to stay any period for 
reply that may be running against the application.
    (g) Provisional applications. A provisional application, abandoned 
for failure to timely respond to an Office requirement, may be revived 
pursuant to this section. Subject to the provisions of 35 U.S.C. 
119(e)(3) and Sec.1.7(b), a provisional application will not be 
regarded as pending after twelve months from its filing date under any 
circumstances.

[78 FR 62405, Oct. 21, 2013, as amended at 80 FR 17963, Apr. 2, 2015]



Sec.1.138  Express abandonment.

    (a) An application may be expressly abandoned by filing a written 
declaration of abandonment identifying the application in the United 
States Patent and Trademark Office. Express abandonment of the 
application may not be recognized by the Office before the date of issue 
or publication unless it is actually received by appropriate officials 
in time to act.
    (b) A written declaration of abandonment must be signed by a party 
authorized under Sec.1.33(b)(1) or (b)(3) to sign a paper in the 
application, except as otherwise provided in this paragraph. A 
registered attorney or agent, not of record, who acts in a 
representative capacity under the provisions of Sec.1.34 when filing a 
continuing application, may expressly abandon the prior application as 
of the filing date granted to the continuing application.
    (c) An applicant seeking to abandon an application to avoid 
publication of the application (see Sec.1.211(a)(1)) must submit a 
declaration of express abandonment by way of a petition under this 
paragraph including the fee set forth in Sec.1.17(h) in sufficient 
time to permit the appropriate officials to recognize the abandonment 
and remove the application from the publication process. Applicants 
should expect that the petition will not be granted and the application 
will be published in regular course unless such declaration of express 
abandonment and petition are received by the appropriate officials more 
than four weeks prior to the projected date of publication.
    (d) An applicant seeking to abandon an application filed under 35 
U.S.C. 111(a) and Sec.1.53(b) on or after December 8, 2004, to obtain 
a refund of the search fee and excess claims fee paid in the 
application, must submit a declaration of express abandonment by way of 
a petition under this paragraph before an examination has been made of 
the application. The date indicated on any certificate of mailing or 
transmission under Sec.1.8 will not be taken into account in 
determining whether a petition under Sec.1.138(d) was filed before an 
examination has been made of the application. If a request for refund of 
the search fee and excess claims fee paid in the application is not 
filed with the declaration of express abandonment under this paragraph 
or within two months from the date on which the declaration of express 
abandonment under this paragraph was filed, the Office may retain the 
entire search fee and excess claims fee paid in the application. This 
two-month period is not extendable. If a petition and declaration of 
express abandonment under this paragraph are not filed before an 
examination has been made of the application, the Office will not refund 
any

[[Page 113]]

part of the search fee and excess claims fee paid in the application 
except as provided in Sec.1.26.

[65 FR 54674, Sept. 8, 2000, as amended at 65 FR 57058, Sept. 20, 2000; 
71 FR 12284, Mar. 10, 2006; 78 FR 62406, Oct. 21, 2013]



Sec.1.139  [Reserved]

          Joinder of Inventions in One Application; Restriction

    Authority: Secs. 1.141 to 1.147 also issued under 35 U.S.C. 121.



Sec.1.141  Different inventions in one national application.

    (a) Two or more independent and distinct inventions may not be 
claimed in one national application, except that more than one species 
of an invention, not to exceed a reasonable number, may be specifically 
claimed in different claims in one national application, provided the 
application also includes an allowable claim generic to all the claimed 
species and all the claims to species in excess of one are written in 
dependent form (Sec.1.75) or otherwise include all the limitations of 
the generic claim.
    (b) Where claims to all three categories, product, process of 
making, and process of use, are included in a national application, a 
three way requirement for restriction can only be made where the process 
of making is distinct from the product. If the process of making and the 
product are not distinct, the process of using may be joined with the 
claims directed to the product and the process of making the product 
even though a showing of distinctness between the product and process of 
using the product can be made.

[52 FR 20046, May 28, 1987]



Sec.1.142  Requirement for restriction.

    (a) If two or more independent and distinct inventions are claimed 
in a single application, the examiner in an Office action will require 
the applicant in the reply to that action to elect an invention to which 
the claims will be restricted, this official action being called a 
requirement for restriction (also known as a requirement for division). 
Such requirement will normally be made before any action on the merits; 
however, it may be made at any time before final action.
    (b) Claims to the invention or inventions not elected, if not 
canceled, are nevertheless withdrawn from further consideration by the 
examiner by the election, subject however to reinstatement in the event 
the requirement for restriction is withdrawn or overruled.

[24 FR 10332, Dec. 22, 1959, as amended at 62 FR 53195, Oct. 10, 1997; 
72 FR 46842, Aug. 21, 2007; 74 FR 52691, Oct. 14, 2009]



Sec.1.143  Reconsideration of requirement.

    If the applicant disagrees with the requirement for restriction, he 
may request reconsideration and withdrawal or modification of the 
requirement, giving the reasons therefor. (See Sec.1.111.) In 
requesting reconsideration the applicant must indicate a provisional 
election of one invention for prosecution, which invention shall be the 
one elected in the event the requirement becomes final The requirement 
for restriction will be reconsidered on such a request. If the 
requirement is repeated and made final the examiner will at the same 
time act on the claims to the invention elected.



Sec.1.144  Petition from requirement for restriction.

    After a final requirement for restriction, the applicant, in 
addition to making any reply due on the remainder of the action, may 
petition the Director to review the requirement. Petition may be 
deferred until after final action on or allowance of claims to the 
invention elected, but must be filed not later than appeal. A petition 
will not be considered if reconsideration of the requirement was not 
requested (see Sec.1.181).

[62 FR 53195, Oct. 10, 1997]



Sec.1.145  Subsequent presentation of claims for different invention.

    If, after an Office action on an application, the applicant presents 
claims directed to an invention distinct from and independent of the 
invention previously claimed, the applicant will be required to restrict 
the claims to the invention previously claimed if the

[[Page 114]]

amendment is entered, subject to reconsideration and review as provided 
in Sec. Sec.1.143 and 1.144.

[74 FR 52691, Oct. 14, 2009]



Sec.1.146  Election of species.

    In the first action on an application containing a generic claim to 
a generic invention (genus) and claims to more than one patentably 
distinct species embraced thereby, the examiner may require the 
applicant in the reply to that action to elect a species of his or her 
invention to which his or her claim will be restricted if no claim to 
the genus is found to be allowable. However, if such application 
contains claims directed to more than a reasonable number of species, 
the examiner may require restriction of the claims to not more than a 
reasonable number of species before taking further action in the 
application.

[62 FR 53195, Oct. 10, 1997]

                             Design Patents



Sec.1.151  Rules applicable.

    The rules relating to applications for patents for other inventions 
or discoveries are also applicable to applications for patents for 
designs except as otherwise provided.

(35 U.S.C. 171)



Sec.1.152  Design drawings.

    The design must be represented by a drawing that complies with the 
requirements of Sec.1.84 and must contain a sufficient number of views 
to constitute a complete disclosure of the appearance of the design. 
Appropriate and adequate surface shading should be used to show the 
character or contour of the surfaces represented. Solid black surface 
shading is not permitted except when used to represent the color black 
as well as color contrast. Broken lines may be used to show visible 
environmental structure, but may not be used to show hidden planes and 
surfaces that cannot be seen through opaque materials. Alternate 
positions of a design component, illustrated by full and broken lines in 
the same view are not permitted in a design drawing. Photographs and ink 
drawings are not permitted to be combined as formal drawings in one 
application. Photographs submitted in lieu of ink drawings in design 
patent applications must not disclose environmental structure but must 
be limited to the design claimed for the article.

[65 FR 54674, Sept. 8, 2000]



Sec.1.153  Title, description and claim, oath or declaration.

    (a) The title of the design must designate the particular article. 
No description, other than a reference to the drawing, is ordinarily 
required. The claim shall be in formal terms to the ornamental design 
for the article (specifying name) as shown, or as shown and described. 
More than one claim is neither required nor permitted.
    (b) The inventor's oath or declaration must comply with the 
requirements of Sec.1.63, or comply with the requirements of Sec.
1.64 for a substitute statement.

(35 U.S.C. 6, Pub. L. 97-247)

[24 FR 10332, Dec. 22, 1959, as amended at 29 FR 18503, Dec. 29, 1964; 
48 FR 2712, Jan. 20, 1983; 77 FR 48821, Aug. 14, 2012]



Sec.1.154  Arrangement of application elements in a design application.

    (a) The elements of the design application, if applicable, should 
appear in the following order:
    (1) Design application transmittal form.
    (2) Fee transmittal form.
    (3) Application data sheet (see Sec.1.76).
    (4) Specification.
    (5) Drawings or photographs.
    (6) The inventor's oath or declaration (see Sec.1.153(b)).
    (b) The specification should include the following sections in 
order:
    (1) Preamble, stating the name of the applicant, title of the 
design, and a brief description of the nature and intended use of the 
article in which the design is embodied.
    (2) Cross-reference to related applications (unless included in the 
application data sheet).
    (3) Statement regarding federally sponsored research or development.
    (4) Description of the figure or figures of the drawing.
    (5) Feature description.
    (6) A single claim.

[[Page 115]]

    (c) The text of the specification sections defined in paragraph (b) 
of this section, if applicable, should be preceded by a section heading 
in uppercase letters without underlining or bold type.

[65 FR 54674, Sept. 8, 2000, as amended at 77 FR 48821, Aug. 14, 2012]



Sec.1.155  Expedited examination of design applications.

    (a) The applicant may request that the Office expedite the 
examination of a design application. To qualify for expedited 
examination:
    (1) The application must include drawings in compliance with Sec.
1.84, or for an international design application that designates the 
United States, must have been published pursuant to Hague Agreement 
Article 10(3);
    (2) The applicant must have conducted a preexamination search; and
    (3) The applicant must file a request for expedited examination 
including:
    (i) The fee set forth in Sec.1.17(k); and
    (ii) A statement that a preexamination search was conducted. The 
statement must also indicate the field of search and include an 
information disclosure statement in compliance with Sec.1.98.
    (b) The Office will not examine an application that is not in 
condition for examination (e.g., missing basic filing fee) even if the 
applicant files a request for expedited examination under this section.

[65 FR 54674, Sept. 8, 2000, as amended at 80 FR 17963, Apr. 2, 2015]

                              Plant Patents



Sec.1.161  Rules applicable.

    The rules relating to applications for patent for other inventions 
or discoveries are also applicable to applications for patents for 
plants except as otherwise provided.



Sec.1.162  Applicant, oath or declaration.

    The inventor named for a plant patent application must be the person 
who has invented or discovered and asexually reproduced the new and 
distinct variety of plant for which a patent is sought. The inventor's 
oath or declaration, in addition to the averments required by Sec.1.63 
or Sec.1.64, must state that the inventor has asexually reproduced the 
plant. Where the plant is a newly found plant, the inventor's oath or 
declaration must also state that it was found in a cultivated area.

[77 FR 48821, Aug. 14, 2012]



Sec.1.163  Specification and arrangement of application elements in a plant application.

    (a) The specification must contain as full and complete a disclosure 
as possible of the plant and the characteristics thereof that 
distinguish the same over related known varieties, and its antecedents, 
and must particularly point out where and in what manner the variety of 
plant has been asexually reproduced. For a newly found plant, the 
specification must particularly point out the location and character of 
the area where the plant was discovered.
    (b) The elements of the plant application, if applicable, should 
appear in the following order:
    (1) Plant application transmittal form.
    (2) Fee transmittal form.
    (3) Application data sheet (see Sec.1.76).
    (4) Specification.
    (5) Drawings (in duplicate).
    (6) The inventor's oath or declaration (Sec.1.162).
    (c) The specification should include the following sections in 
order:
    (1) Title of the invention, which may include an introductory 
portion stating the name, citizenship, and residence of the applicant.
    (2) Cross-reference to related applications (unless included in the 
application data sheet).
    (3) Statement regarding federally sponsored research or development.
    (4) Latin name of the genus and species of the plant claimed.
    (5) Variety denomination.
    (6) Background of the invention.
    (7) Brief summary of the invention.
    (8) Brief description of the drawing.
    (9) Detailed botanical description.
    (10) A single claim.
    (11) Abstract of the disclosure.
    (d) The text of the specification or sections defined in paragraph 
(c) of this

[[Page 116]]

section, if applicable, should be preceded by a section heading in upper 
case, without underlining or bold type.

[65 FR 54675, Sept. 8, 2000, as amended at 77 FR 48821, Aug. 14, 2012]



Sec.1.164  Claim.

    The claim shall be in formal terms to the new and distinct variety 
of the specified plant as described and illustrated, and may also recite 
the principal distinguishing characteristics. More than one claim is not 
permitted.

(35 U.S.C. 162)



Sec.1.165  Plant drawings.

    (a) Plant patent drawings should be artistically and competently 
executed and must comply with the requirements of Sec.1.84. View 
numbers and reference characters need not be employed unless required by 
the examiner. The drawing must disclose all the distinctive 
characteristics of the plant capable of visual representation.
    (b) The drawings may be in color. The drawing must be in color if 
color is a distinguishing characteristic of the new variety. Two copies 
of color drawings or photographs must be submitted.

[58 FR 38726, July 20, 1993, as amended at 65 FR 57058, Sept. 20, 2000; 
69 FR 56543, Sept. 21, 2004]



Sec.1.166  Specimens.

    The applicant may be required to furnish specimens of the plant, or 
its flower or fruit, in a quantity and at a time in its stage of growth 
as may be designated, for study and inspection. Such specimens, properly 
packed, must be forwarded in conformity with instructions furnished to 
the applicant. When it is not possible to forward such specimens, plants 
must be made available for official inspection where grown.

(35 U.S.C. 114, 161)



Sec.1.167  Examination.

    Applications may be submitted by the Patent and Trademark Office to 
the Department of Agriculture for study and report.

[62 FR 53196, Oct. 10, 1997]

                                Reissues

    Authority: Secs. 1.171 to 1.179 also issued under 35 U.S.C. 251.



Sec.1.171  Application for reissue.

    An application for reissue must contain the same parts required for 
an application for an original patent, complying with all the rules 
relating thereto except as otherwise provided, and in addition, must 
comply with the requirements of the rules relating to reissue 
applications.

[62 FR 53196, Oct. 10, 1997]



Sec.1.172  Reissue applicant.

    (a) The reissue applicant is the original patentee, or the current 
patent owner if there has been an assignment. A reissue application must 
be accompanied by the written consent of all assignees, if any, 
currently owning an undivided interest in the patent. All assignees 
consenting to the reissue must establish their ownership in the patent 
by filing in the reissue application a submission in accordance with the 
provisions of Sec.3.73(c) of this chapter.
    (b) A reissue will be granted to the original patentee, his legal 
representatives or assigns as the interest may appear.

[77 FR 48821, Aug. 14, 2012]



Sec.1.173  Reissue specification, drawings, and amendments.

    (a) Contents of a reissue application. An application for reissue 
must contain the entire specification, including the claims, and the 
drawings of the patent. No new matter shall be introduced into the 
application. No reissue patent shall be granted enlarging the scope of 
the claims of the original patent unless applied for within two years 
from the grant of the original patent, pursuant to 35 U.S.C. 251.
    (1) Specification, including claims. The entire specification, 
including the claims, of the patent for which reissue is requested must 
be furnished in the form of a copy of the printed patent, in double 
column format, each page on only one side of a single sheet of paper. If 
an amendment of the reissue application is to be included, it must be 
made

[[Page 117]]

pursuant to paragraph (b) of this section. The formal requirements for 
papers making up the reissue application other than those set forth in 
this section are set out in Sec.1.52. Additionally, a copy of any 
disclaimer (Sec.1.321), certificate of correction (Sec. Sec.1.322 
through 1.324), or reexamination certificate (Sec.1.570) issued in the 
patent must be included. (See also Sec.1.178).
    (2) Drawings. Applicant must submit a clean copy of each drawing 
sheet of the printed patent at the time the reissue application is 
filed. If such copy complies with Sec.1.84, no further drawings will 
be required. Where a drawing of the reissue application is to include 
any changes relative to the patent being reissued, the changes to the 
drawing must be made in accordance with paragraph (b)(3) of this 
section. The Office will not transfer the drawings from the patent file 
to the reissue application.
    (b) Making amendments in a reissue application. An amendment in a 
reissue application is made either by physically incorporating the 
changes into the specification when the application is filed, or by a 
separate amendment paper. If amendment is made by incorporation, 
markings pursuant to paragraph (d) of this section must be used. If 
amendment is made by an amendment paper, the paper must direct that 
specified changes be made, as follows:
    (1) Specification other than the claims. Changes to the 
specification, other than to the claims, must be made by submission of 
the entire text of an added or rewritten paragraph, including markings 
pursuant to paragraph (d) of this section, except that an entire 
paragraph may be deleted by a statement deleting the paragraph without 
presentation of the text of the paragraph. The precise point in the 
specification must be identified where any added or rewritten paragraph 
is located. This paragraph applies whether the amendment is submitted on 
paper or compact disc (see Sec. Sec.1.52(e)(1) and 1.821(c), but not 
for discs submitted under Sec.1.821(e)).
    (2) Claims. An amendment paper must include the entire text of each 
claim being changed by such amendment paper and of each claim being 
added by such amendment paper. For any claim changed by the amendment 
paper, a parenthetical expression ``amended,'' ``twice amended,'' etc., 
should follow the claim number. Each changed patent claim and each added 
claim must include markings pursuant to paragraph (d) of this section, 
except that a patent claim or added claim should be canceled by a 
statement canceling the claim without presentation of the text of the 
claim.
    (3) Drawings. One or more patent drawings shall be amended in the 
following manner: Any changes to a patent drawing must be submitted as a 
replacement sheet of drawings which shall be an attachment to the 
amendment document. Any replacement sheet of drawings must be in 
compliance with Sec.1.84 and shall include all of the figures 
appearing on the original version of the sheet, even if only one figure 
is amended. Amended figures must be identified as ``Amended,'' and any 
added figure must be identified as ``New.'' In the event that a figure 
is canceled, the figure must be surrounded by brackets and identified as 
``Canceled.'' All changes to the drawing(s) shall be explained, in 
detail, beginning on a separate sheet accompanying the papers including 
the amendment to the drawings.
    (i) A marked-up copy of any amended drawing figure, including 
annotations indicating the changes made, may be included. The marked-up 
copy must be clearly labeled as ``Annotated Marked-up Drawings'' and 
must be presented in the amendment or remarks section that explains the 
change to the drawings.
    (ii) A marked-up copy of any amended drawing figure, including 
annotations indicating the changes made, must be provided when required 
by the examiner.
    (c) Status of claims and support for claim changes. Whenever there 
is an amendment to the claims pursuant to paragraph (b) of this section, 
there must also be supplied, on pages separate from the pages containing 
the changes, the status (i.e., pending or canceled), as of the date of 
the amendment, of all patent claims and of all added claims, and an 
explanation of the support in the disclosure of the patent for the 
changes made to the claims.

[[Page 118]]

    (d) Changes shown by markings. Any changes relative to the patent 
being reissued which are made to the specification, including the 
claims, upon filing, or by an amendment paper in the reissue 
application, must include the following markings:
    (1) The matter to be omitted by reissue must be enclosed in 
brackets; and
    (2) The matter to be added by reissue must be underlined, except for 
amendments submitted on compact discs (Sec. Sec.1.96 and 1.821(c)). 
Matter added by reissue on compact discs must be preceded with 
``'' and end with ``'' to properly identify 
the material being added.
    (e) Numbering of patent claims preserved. Patent claims may not be 
renumbered. The numbering of any claim added in the reissue application 
must follow the number of the highest numbered patent claim.
    (f) Amendment of disclosure may be required. The disclosure must be 
amended, when required by the Office, to correct inaccuracies of 
description and definition, and to secure substantial correspondence 
between the claims, the remainder of the specification, and the 
drawings.
    (g) Amendments made relative to the patent. All amendments must be 
made relative to the patent specification, including the claims, and 
drawings, which are in effect as of the date of filing of the reissue 
application.

[65 FR 54675, Sept. 8, 2000, as amended at 68 FR 38630, June 30, 2003; 
69 FR 56543, Sept. 21, 2004]



Sec.1.174  [Reserved]



Sec.1.175  Inventor's oath or declaration for a reissue application.

    (a) The inventor's oath or declaration for a reissue application, in 
addition to complying with the requirements of Sec.1.63, Sec.1.64, 
or Sec.1.67, must also specifically identify at least one error 
pursuant to 35 U.S.C. 251 being relied upon as the basis for reissue and 
state that the applicant believes the original patent to be wholly or 
partly inoperative or invalid by reason of a defective specification or 
drawing, or by reason of the patentee claiming more or less than the 
patentee had the right to claim in the patent.
    (b) If the reissue application seeks to enlarge the scope of the 
claims of the patent (a basis for the reissue is the patentee claiming 
less than the patentee had the right to claim in the patent), the 
inventor's oath or declaration for a reissue application must identify a 
claim that the application seeks to broaden. A claim is a broadened 
claim if the claim is broadened in any respect.
    (c) The inventor, or each individual who is a joint inventor of a 
claimed invention, in a reissue application must execute an oath or 
declaration for the reissue application, except as provided for in Sec.
1.64, and except that the inventor's oath or declaration for a reissue 
application may be signed by the assignee of the entire interest if:
    (1) The application does not seek to enlarge the scope of the claims 
of the original patent; or
    (2) The application for the original patent was filed under Sec.
1.46 by the assignee of the entire interest.
    (d) If errors previously identified in the inventor's oath or 
declaration for a reissue application pursuant to paragraph (a) of this 
section are no longer being relied upon as the basis for reissue, the 
applicant must identify an error being relied upon as the basis for 
reissue.
    (e) The inventor's oath or declaration for a reissue application 
required by paragraph (a) of this section may be submitted under the 
provisions of Sec.1.53(f), except that the provisions of Sec.
1.53(f)(3) do not apply to a reissue application.
    (f)(1) The requirement for the inventor's oath or declaration for a 
continuing reissue application that claims the benefit under 35 U.S.C. 
120, 121, 365(c), or 386(c) in compliance with Sec.1.78 of an earlier-
filed reissue application may be satisfied by a copy of the inventor's 
oath or declaration from the earlier-filed reissue application, provided 
that:
    (i) The inventor, or each individual who is a joint inventor of a 
claimed invention, in the reissue application executed an inventor's 
oath or declaration for the earlier-filed reissue application, except as 
provided for in Sec.1.64;

[[Page 119]]

    (ii) The continuing reissue application does not seek to enlarge the 
scope of the claims of the original patent; or
    (iii) The application for the original patent was filed under Sec.
1.46 by the assignee of the entire interest.
    (2) If all errors identified in the inventor's oath or declaration 
from the earlier-filed reissue application are no longer being relied 
upon as the basis for reissue, the applicant must identify an error 
being relied upon as the basis for reissue.
    (g) An oath or declaration filed at any time pursuant to 35 U.S.C. 
115(h)(1), will be placed in the file record of the reissue application, 
but may not necessarily be reviewed by the Office.

[77 FR 48821, Aug. 14, 2012, as amended at 80 FR 17964, Apr. 2, 2015]



Sec.1.176  Examination of reissue.

    (a) A reissue application will be examined in the same manner as a 
non-reissue, non-provisional application, and will be subject to all the 
requirements of the rules related to non-reissue applications. 
Applications for reissue will be acted on by the examiner in advance of 
other applications.
    (b) Restriction between subject matter of the original patent claims 
and previously unclaimed subject matter may be required (restriction 
involving only subject matter of the original patent claims will not be 
required). If restriction is required, the subject matter of the 
original patent claims will be held to be constructively elected unless 
a disclaimer of all the patent claims is filed in the reissue 
application, which disclaimer cannot be withdrawn by applicant.

[65 FR 54676, Sept. 8, 2000]



Sec.1.177  Issuance of multiple reissue patents.

    (a) The Office may reissue a patent as multiple reissue patents. If 
applicant files more than one application for the reissue of a single 
patent, each such application must contain or be amended to contain in 
the first sentence of the specification a notice stating that more than 
one reissue application has been filed and identifying each of the 
reissue applications by relationship, application number and filing 
date. The Office may correct by certificate of correction under Sec.
1.322 any reissue patent resulting from an application to which this 
paragraph applies that does not contain the required notice.
    (b) If applicant files more than one application for the reissue of 
a single patent, each claim of the patent being reissued must be 
presented in each of the reissue applications as an amended, unamended, 
or canceled (shown in brackets) claim, with each such claim bearing the 
same number as in the patent being reissued. The same claim of the 
patent being reissued may not be presented in its original unamended 
form for examination in more than one of such multiple reissue 
applications. The numbering of any added claims in any of the multiple 
reissue applications must follow the number of the highest numbered 
original patent claim.
    (c) If any one of the several reissue applications by itself fails 
to correct an error in the original patent as required by 35 U.S.C. 251 
but is otherwise in condition for allowance, the Office may suspend 
action in the allowable application until all issues are resolved as to 
at least one of the remaining reissue applications. The Office may also 
merge two or more of the multiple reissue applications into a single 
reissue application. No reissue application containing only unamended 
patent claims and not correcting an error in the original patent will be 
passed to issue by itself.

[65 FR 54676, Sept. 8, 2000]



Sec.1.178  Original patent; continuing duty of applicant.

    (a) The application for reissue of a patent shall constitute an 
offer to surrender that patent, and the surrender shall take effect upon 
reissue of the patent. Until a reissue application is granted, the 
original patent shall remain in effect.
    (b) In any reissue application before the Office, the applicant must 
call to the attention of the Office any prior or concurrent proceedings 
in which the patent (for which reissue is requested) is or was involved, 
such as interferences or trials before the Patent

[[Page 120]]

Trial and Appeal Board, reissues, reexaminations, or litigations and the 
results of such proceedings (see also Sec.1.173(a)(1)).

[65 FR 54676, Sept. 8, 2000, as amended at 69 FR 56544, Sept. 21, 2004; 
77 FR 46625, Aug. 6, 2012]



Sec.1.179  [Reserved]

                  Petitions and Action by the Director

    Authority: 35 U.S.C. 6; 15 U.S.C. 1113, 1123.



Sec.1.181  Petition to the Director.

    (a) Petition may be taken to the Director:
    (1) From any action or requirement of any examiner in the ex parte 
prosecution of an application, or in ex parte or inter partes 
prosecution of a reexamination proceeding which is not subject to appeal 
to the Patent Trial and Appeal Board or to the court;
    (2) In cases in which a statute or the rules specify that the matter 
is to be determined directly by or reviewed by the Director; and
    (3) To invoke the supervisory authority of the Director in 
appropriate circumstances. For petitions involving action of the Patent 
Trial and Appeal Board, see Sec.41.3 of this title.
    (b) Any such petition must contain a statement of the facts involved 
and the point or points to be reviewed and the action requested. Briefs 
or memoranda, if any, in support thereof should accompany or be embodied 
in the petition; and where facts are to be proven, the proof in the form 
of affidavits or declarations (and exhibits, if any) must accompany the 
petition.
    (c) When a petition is taken from an action or requirement of an 
examiner in the ex parte prosecution of an application, or in the ex 
parte or inter partes prosecution of a reexamination proceeding, it may 
be required that there have been a proper request for reconsideration 
(Sec.1.111) and a repeated action by the examiner. The examiner may be 
directed by the Director to furnish a written statement, within a 
specified time, setting forth the reasons for his or her decision upon 
the matters averred in the petition, supplying a copy to the petitioner.
    (d) Where a fee is required for a petition to the Director the 
appropriate section of this part will so indicate. If any required fee 
does not accompany the petition, the petition will be dismissed.
    (e) Oral hearing will not be granted except when considered 
necessary by the Director.
    (f) The mere filing of a petition will not stay any period for reply 
that may be running against the application, nor act as a stay of other 
proceedings. Any petition under this part not filed within two months of 
the mailing date of the action or notice from which relief is requested 
may be dismissed as untimely, except as otherwise provided. This two-
month period is not extendable.
    (g) The Director may delegate to appropriate Patent and Trademark 
Office officials the determination of petitions.

[24 FR 10332, Dec. 22, 1959, as amended at 34 FR 18857, Nov. 26, 1969; 
47 FR 41278, Sept. 17, 1982; 49 FR 48452, Dec. 12, 1984; 65 FR 54676, 
Sept. 8, 2000; 65 FR 76774, Dec. 7, 2000; 69 FR 50000, Aug. 12, 2004; 77 
FR 46625, Aug. 6, 2012]



Sec.1.182  Questions not specifically provided for.

    All situations not specifically provided for in the regulations of 
this part will be decided in accordance with the merits of each 
situation by or under the authority of the Director, subject to such 
other requirements as may be imposed, and such decision will be 
communicated to the interested parties in writing. Any petition seeking 
a decision under this section must be accompanied by the petition fee 
set forth in Sec.1.17(f).

[69 FR 56544, Sept. 21, 2004]



Sec.1.183  Suspension of rules.

    In an extraordinary situation, when justice requires, any 
requirement of the regulations in this part which is not a requirement 
of the statutes may be suspended or waived by the Director or the 
Director's designee, sua sponte, or on petition of the interested party, 
subject to such other requirements as may be imposed. Any petition under

[[Page 121]]

this section must be accompanied by the petition fee set forth in Sec.
1.17(f).

[69 FR 56544, Sept. 21, 2004]



Sec.1.184  [Reserved]

               Appeal to the Patent Trial and Appeal Board

    Authority: Secs. 1.191 to 1.198 also issued under 35 U.S.C. 134.



Sec.1.191  Appeal to Patent Trial and Appeal Board.

    Appeals to the Patent Trial and Appeal Board under 35 U.S.C. 134(a) 
and (b) are conducted according to part 41 of this title.

[77 FR 46625, Aug. 6, 2012]



Sec. Sec.1.192-1.196  [Reserved]



Sec.1.197  Termination of proceedings.

    (a) Proceedings on an application are considered terminated by the 
dismissal of an appeal or the failure to timely file an appeal to the 
court or a civil action except:
    (1) Where claims stand allowed in an application; or
    (2) Where the nature of the decision requires further action by the 
examiner.
    (b) The date of termination of proceedings on an application is the 
date on which the appeal is dismissed or the date on which the time for 
appeal to the U.S. Court of Appeals for the Federal Circuit or review by 
civil action (Sec.90.3 of this chapter) expires in the absence of 
further appeal or review. If an appeal to the U.S. Court of Appeals for 
the Federal Circuit or a civil action has been filed, proceedings on an 
application are considered terminated when the appeal or civil action is 
terminated. A civil action is terminated when the time to appeal the 
judgment expires. An appeal to the U.S. Court of Appeals for the Federal 
Circuit, whether from a decision of the Board or a judgment in a civil 
action, is terminated when the mandate is issued by the Court.

[78 FR 75252, Dec. 11, 2013]



Sec.1.198  Reopening after a final decision of the Patent Trial 
and Appeal Board.

    When a decision by the Patent Trial and Appeal Board on appeal has 
become final for judicial review, prosecution of the proceeding before 
the primary examiner will not be reopened or reconsidered by the primary 
examiner except under the provisions of Sec.1.114 or Sec.41.50 of 
this title without the written authority of the Director, and then only 
for the consideration of matters not already adjudicated, sufficient 
cause being shown.

[77 FR 46625, Aug. 6, 2012]

                       Publication of Applications

    Source: 65 FR 57058, Sept. 20, 2000, unless otherwise noted.



Sec.1.211  Publication of applications.

    (a) Each U.S. national application for patent filed in the Office 
under 35 U.S.C. 111(a) and each international application in compliance 
with 35 U.S.C. 371 will be published promptly after the expiration of a 
period of eighteen months from the earliest filing date for which a 
benefit is sought under title 35, United States Code, unless:
    (1) The application is recognized by the Office as no longer 
pending;
    (2) The application is national security classified (see Sec.
5.2(c)), subject to a secrecy order under 35 U.S.C. 181, or under 
national security review;
    (3) The application has issued as a patent in sufficient time to be 
removed from the publication process; or
    (4) The application was filed with a nonpublication request in 
compliance with Sec.1.213(a).
    (b) Provisional applications under 35 U.S.C. 111(b) shall not be 
published, and design applications under 35 U.S.C. chapter 16, 
international design applications under 35 U.S.C. chapter 38, and 
reissue applications under 35 U.S.C. chapter 25 shall not be published 
under this section.
    (c) An application filed under 35 U.S.C. 111(a) will not be 
published until it includes the basic filing fee (Sec.1.16(a) or Sec.
1.16(c)) and any English translation required by Sec.1.52(d). The 
Office may delay publishing any application until

[[Page 122]]

it includes any application size fee required by the Office under Sec.
1.16(s) or Sec.1.492(j), a specification having papers in compliance 
with Sec.1.52 and an abstract (Sec.1.72(b)), drawings in compliance 
with Sec.1.84, a sequence listing in compliance with Sec. Sec.1.821 
through 1.825 (if applicable), and the inventor's oath or declaration or 
application data sheet containing the information specified in Sec.
1.63(b).
    (d) The Office may refuse to publish an application, or to include a 
portion of an application in the patent application publication (Sec.
1.215), if publication of the application or portion thereof would 
violate Federal or state law, or if the application or portion thereof 
contains offensive or disparaging material.
    (e) The publication fee set forth in Sec.1.18(d) must be paid in 
each application published under this section before the patent will be 
granted. If an application is subject to publication under this section, 
the sum specified in the notice of allowance under Sec.1.311 will also 
include the publication fee which must be paid within three months from 
the date of mailing of the notice of allowance to avoid abandonment of 
the application. This three-month period is not extendable. If the 
application is not published under this section, the publication fee (if 
paid) will be refunded.

[65 FR 57058, Sept. 20, 2000, as amended at 70 FR 3891, Jan. 27, 2005; 
77 FR 48822, Aug. 14, 2012, as amended at 80 FR 17964, Apr. 2, 2015]



Sec.1.213  Nonpublication request.

    (a) If the invention disclosed in an application has not been and 
will not be the subject of an application filed in another country, or 
under a multilateral international agreement, that requires publication 
of applications eighteen months after filing, the application will not 
be published under 35 U.S.C. 122(b) and Sec.1.211 provided:
    (1) A request (nonpublication request) is submitted with the 
application upon filing;
    (2) The request states in a conspicuous manner that the application 
is not to be published under 35 U.S.C. 122(b);
    (3) The request contains a certification that the invention 
disclosed in the application has not been and will not be the subject of 
an application filed in another country, or under a multilateral 
international agreement, that requires publication at eighteen months 
after filing; and
    (4) The request is signed in compliance with Sec.1.33(b).
    (b) The applicant may rescind a nonpublication request at any time. 
A request to rescind a nonpublication request under paragraph (a) of 
this section must:
    (1) Identify the application to which it is directed;
    (2) State in a conspicuous manner that the request that the 
application is not to be published under 35 U.S.C. 122(b) is rescinded; 
and
    (3) Be signed in compliance with Sec.1.33(b).
    (c) If an applicant who has submitted a nonpublication request under 
paragraph (a) of this section subsequently files an application directed 
to the invention disclosed in the application in which the 
nonpublication request was submitted in another country, or under a 
multilateral international agreement, that requires publication of 
applications eighteen months after filing, the applicant must notify the 
Office of such filing within forty-five days after the date of the 
filing of such foreign or international application. The failure to 
timely notify the Office of the filing of such foreign or international 
application shall result in abandonment of the application in which the 
nonpublication request was submitted (35 U.S.C. 122(b)(2)(B)(iii)).



Sec.1.215  Patent application publication.

    (a) The publication of an application under 35 U.S.C. 122(b) shall 
include a patent application publication. The date of publication shall 
be indicated on the patent application publication. The patent 
application publication will be based upon the specification and 
drawings deposited on the filing date of the application, as well as the 
application data sheet and/or the inventor's oath or declaration. The 
patent application publication may also be based upon amendments to the 
specification (other than the abstract or the claims) that are reflected 
in a substitute specification under Sec.1.125(b), amendments to

[[Page 123]]

the abstract under Sec.1.121(b), amendments to the claims that are 
reflected in a complete claim listing under Sec.1.121(c), and 
amendments to the drawings under Sec.1.121(d), provided that such 
substitute specification or amendment is submitted in sufficient time to 
be entered into the Office file wrapper of the application before 
technical preparations for publication of the application have begun. 
Technical preparations for publication of an application generally begin 
four months prior to the projected date of publication. The patent 
application publication of an application that has entered the national 
stage under 35 U.S.C. 371 may also include amendments made during the 
international stage. See paragraph (c) of this section for publication 
of an application based upon a copy of the application submitted via the 
Office electronic filing system.
    (b) The patent application publication will include the name of the 
assignee, person to whom the inventor is under an obligation to assign 
the invention, or person who otherwise shows sufficient proprietary 
interest in the matter if that information is provided in the 
application data sheet in an application filed under Sec.1.46. 
Assignee information may be included on the patent application 
publication in other applications if the assignee information is 
provided in an application data sheet submitted in sufficient time to be 
entered into the Office file wrapper of the application before technical 
preparations for publication of the application have begun. Providing 
assignee information in the application data sheet does not substitute 
for compliance with any requirement of part 3 of this chapter to have an 
assignment recorded by the Office.
    (c) At applicant's option, the patent application publication will 
be based upon the copy of the application (specification, drawings, and 
the application data sheet and/or the inventor's oath or declaration) as 
amended, provided that applicant supplies such a copy in compliance with 
the Office electronic filing system requirements within one month of the 
mailing date of the first Office communication that includes a 
confirmation number for the application, or fourteen months of the 
earliest filing date for which a benefit is sought under title 35, 
United States Code, whichever is later.
    (d) If the copy of the application submitted pursuant to paragraph 
(c) of this section does not comply with the Office electronic filing 
system requirements, the Office will publish the application as provided 
in paragraph (a) of this section. If, however, the Office has not 
started the publication process, the Office may use an untimely filed 
copy of the application supplied by the applicant under paragraph (c) of 
this section in creating the patent application publication.

[65 FR 57058, Sept. 20, 2000, as amended at 69 FR 56544, Sept. 21, 2004; 
77 FR 48822, Aug. 14, 2012]



Sec.1.217  Publication of a redacted copy of an application.

    (a) If an applicant has filed applications in one or more foreign 
countries, directly or through a multilateral international agreement, 
and such foreign-filed applications or the description of the invention 
in such foreign-filed applications is less extensive than the 
application or description of the invention in the application filed in 
the Office, the applicant may submit a redacted copy of the application 
filed in the Office for publication, eliminating any part or description 
of the invention that is not also contained in any of the corresponding 
applications filed in a foreign country. The Office will publish the 
application as provided in Sec.1.215(a) unless the applicant files a 
redacted copy of the application in compliance with this section within 
sixteen months after the earliest filing date for which a benefit is 
sought under title 35, United States Code.
    (b) The redacted copy of the application must be submitted in 
compliance with the Office electronic filing system requirements. The 
title of the invention in the redacted copy of the application must 
correspond to the title of the application at the time the redacted copy 
of the application is submitted to the Office. If the redacted copy of 
the application does not comply with the Office electronic filing system 
requirements, the Office will publish the application as provided in 
Sec.1.215(a).

[[Page 124]]

    (c) The applicant must also concurrently submit in paper (Sec.
1.52(a)) to be filed in the application:
    (1) A certified copy of each foreign-filed application that 
corresponds to the application for which a redacted copy is submitted;
    (2) A translation of each such foreign-filed application that is in 
a language other than English, and a statement that the translation is 
accurate;
    (3) A marked-up copy of the application showing the redactions in 
brackets; and
    (4) A certification that the redacted copy of the application 
eliminates only the part or description of the invention that is not 
contained in any application filed in a foreign country, directly or 
through a multilateral international agreement, that corresponds to the 
application filed in the Office.
    (d) The Office will provide a copy of the complete file wrapper and 
contents of an application for which a redacted copy was submitted under 
this section to any person upon written request pursuant to Sec.
1.14(c)(2), unless applicant complies with the requirements of 
paragraphs (d)(1), (d)(2), and (d)(3) of this section.
    (1) Applicant must accompany the submission required by paragraph 
(c) of this section with the following:
    (i) A copy of any Office correspondence previously received by 
applicant including any desired redactions, and a second copy of all 
Office correspondence previously received by applicant showing the 
redacted material in brackets; and
    (ii) A copy of each submission previously filed by the applicant 
including any desired redactions, and a second copy of each submission 
previously filed by the applicant showing the redacted material in 
brackets.
    (2) In addition to providing the submission required by paragraphs 
(c) and (d)(1) of this section, applicant must:
    (i) Within one month of the date of mailing of any correspondence 
from the Office, file a copy of such Office correspondence including any 
desired redactions, and a second copy of such Office correspondence 
showing the redacted material in brackets; and
    (ii) With each submission by the applicant, include a copy of such 
submission including any desired redactions, and a second copy of such 
submission showing the redacted material in brackets.
    (3) Each submission under paragraph (d)(1) or (d)(2) of this 
paragraph must also be accompanied by the processing fee set forth in 
Sec.1.17(i) and a certification that the redactions are limited to the 
elimination of material that is relevant only to the part or description 
of the invention that was not contained in the redacted copy of the 
application submitted for publication.
    (e) The provisions of Sec.1.8 do not apply to the time periods set 
forth in this section.



Sec.1.219  Early publication.

    Applications that will be published under Sec.1.211 may be 
published earlier than as set forth in Sec.1.211(a) at the request of 
the applicant. Any request for early publication must be accompanied by 
the publication fee set forth in Sec.1.18(d). If the applicant does 
not submit a copy of the application in compliance with the Office 
electronic filing system requirements pursuant to Sec.1.215(c), the 
Office will publish the application as provided in Sec.1.215(a). No 
consideration will be given to requests for publication on a certain 
date, and such requests will be treated as a request for publication as 
soon as possible.



Sec.1.221  Voluntary publication or republication of patent 
application publication.

    (a) Any request for publication of an application filed before, but 
pending on, November 29, 2000, and any request for republication of an 
application previously published under Sec.1.211, must include a copy 
of the application in compliance with the Office electronic filing 
system requirements and be accompanied by the publication fee set forth 
in Sec.1.18(d) and the processing fee set forth in Sec.1.17(i). If 
the request does not comply with the requirements of this paragraph or 
the copy of the application does not comply with the Office electronic 
filing system requirements, the Office will not publish the application 
and will refund the publication fee.

[[Page 125]]

    (b) The Office will grant a request for a corrected or revised 
patent application publication other than as provided in paragraph (a) 
of this section only when the Office makes a material mistake which is 
apparent from Office records. Any request for a corrected or revised 
patent application publication other than as provided in paragraph (a) 
of this section must be filed within two months from the date of the 
patent application publication. This period is not extendable.

                        Miscellaneous Provisions



Sec.1.248  Service of papers; manner of service; proof of service 
in cases other than interferences and trials.

    (a) Service of papers must be on the attorney or agent of the party 
if there be such or on the party if there is no attorney or agent, and 
may be made in any of the following ways:
    (1) By delivering a copy of the paper to the person served;
    (2) By leaving a copy at the usual place of business of the person 
served with someone in his employment;
    (3) When the person served has no usual place of business, by 
leaving a copy at the person's residence, with some person of suitable 
age and discretion who resides there;
    (4) Transmission by first class mail. When service is by mail the 
date of mailing will be regarded as the date of service;
    (5) Whenever it shall be satisfactorily shown to the Director that 
none of the above modes of obtaining or serving the paper is 
practicable, service may be by notice published in the Official Gazette.
    (b) Papers filed in the Patent and Trademark Office which are 
required to be served shall contain proof of service. Proof of service 
may appear on or be affixed to papers filed. Proof of service shall 
include the date and manner of service. In the case of personal service, 
proof of service shall also include the name of any person served, 
certified by the person who made service. Proof of service may be made 
by:
    (1) An acknowledgement of service by or on behalf of the person 
served or
    (2) A statement signed by the attorney or agent containing the 
information required by this section.
    (c) See Sec.41.106(e) or Sec.42.6(e) of this title for service 
of papers in contested cases or trials before the Patent Trial and 
Appeal Board.

[46 FR 29184, May 29, 1981, as amended at 49 FR 48454, Dec. 12, 1984; 69 
FR 50000, Aug. 12, 2004; 69 FR 58260, Sept. 30, 2004; 77 FR 46626, Aug. 
6, 2012]



Sec.1.251  Unlocatable file.

    (a) In the event that the Office cannot locate the file of an 
application, patent, or other patent-related proceeding after a 
reasonable search, the Office will notify the applicant or patentee and 
set a time period within which the applicant or patentee must comply 
with the notice in accordance with one of paragraphs (a)(1), (a)(2), or 
(a)(3) of this section.
    (1) Applicant or patentee may comply with a notice under this 
section by providing:
    (i) A copy of the applicant's or patentee's record (if any) of all 
of the correspondence between the Office and the applicant or patentee 
for such application, patent, or other proceeding (except for U.S. 
patent documents);
    (ii) A list of such correspondence; and
    (iii) A statement that the copy is a complete and accurate copy of 
the applicant's or patentee's record of all of the correspondence 
between the Office and the applicant or patentee for such application, 
patent, or other proceeding (except for U.S. patent documents), and 
whether applicant or patentee is aware of any correspondence between the 
Office and the applicant or patentee for such application, patent, or 
other proceeding that is not among applicant's or patentee's records.
    (2) Applicant or patentee may comply with a notice under this 
section by:
    (i) Producing the applicant's or patentee's record (if any) of all 
of the correspondence between the Office and the applicant or patentee 
for such application, patent, or other proceeding for the Office to copy 
(except for U.S. patent documents); and
    (ii) Providing a statement that the papers produced by applicant or 
patentee are applicant's or patentee's complete record of all of the 
correspondence between the Office and the

[[Page 126]]

applicant or patentee for such application, patent, or other proceeding 
(except for U.S. patent documents), and whether applicant or patentee is 
aware of any correspondence between the Office and the applicant or 
patentee for such application, patent, or other proceeding that is not 
among applicant's or patentee's records.
    (3) If applicant or patentee does not possess any record of the 
correspondence between the Office and the applicant or patentee for such 
application, patent, or other proceeding, applicant or patentee must 
comply with a notice under this section by providing a statement that 
applicant or patentee does not possess any record of the correspondence 
between the Office and the applicant or patentee for such application, 
patent, or other proceeding.
    (b) With regard to a pending application, failure to comply with one 
of paragraphs (a)(1), (a)(2), or (a)(3) of this section within the time 
period set in the notice will result in abandonment of the application.

[65 FR 69451, Nov. 17, 2000]

          Preissuance Submissions and Protests by Third Parties



Sec.1.290  Submissions by third parties in applications.

    (a) A third party may submit, for consideration and entry in the 
record of a patent application, any patents, published patent 
applications, or other printed publications of potential relevance to 
the examination of the application if the submission is made in 
accordance with 35 U.S.C. 122(e) and this section. A third-party 
submission may not be entered or considered by the Office if any part of 
the submission is not in compliance with 35 U.S.C. 122(e) and this 
section.
    (b) Any third-party submission under this section must be filed 
prior to the earlier of:
    (1) The date a notice of allowance under Sec.1.311 is given or 
mailed in the application; or
    (2) The later of:
    (i) Six months after the date on which the application is first 
published by the Office under 35 U.S.C. 122(b) and Sec.1.211, or
    (ii) The date the first rejection under Sec.1.104 of any claim by 
the examiner is given or mailed during the examination of the 
application.
    (c) Any third-party submission under this section must be made in 
writing.
    (d) Any third-party submission under this section must include:
    (1) A document list identifying the documents, or portions of 
documents, being submitted in accordance with paragraph (e) of this 
section;
    (2) A concise description of the asserted relevance of each item 
identified in the document list;
    (3) A legible copy of each item identified in the document list, 
other than U.S. patents and U.S. patent application publications;
    (4) An English language translation of any non-English language item 
identified in the document list; and
    (5) A statement by the party making the submission that:
    (i) The party is not an individual who has a duty to disclose 
information with respect to the application under Sec.1.56; and
    (ii) The submission complies with the requirements of 35 U.S.C. 
122(e) and this section.
    (e) The document list required by paragraph (d)(1) of this section 
must include a heading that identifies the list as a third-party 
submission under Sec.1.290, identify on each page of the list the 
application number of the application in which the submission is being 
filed, list U.S. patents and U.S. patent application publications in a 
separate section from other items, and identify each:
    (1) U.S. patent by patent number, first named inventor, and issue 
date;
    (2) U.S. patent application publication by patent application 
publication number, first named inventor, and publication date;
    (3) Foreign patent or published foreign patent application by the 
country or patent office that issued the patent or published the 
application; the applicant, patentee, or first named inventor; an 
appropriate document number; and the publication date indicated on the 
patent or published application; and
    (4) Non-patent publication by author (if any), title, pages being 
submitted, publication date, and, where available,

[[Page 127]]

publisher and place of publication. If no publication date is known, the 
third party must provide evidence of publication.
    (f) Any third-party submission under this section must be 
accompanied by the fee set forth in Sec.1.17(o) for every ten items or 
fraction thereof identified in the document list.
    (g) The fee otherwise required by paragraph (f) of this section is 
not required for a submission listing three or fewer total items that is 
accompanied by a statement by the party making the submission that, to 
the knowledge of the person signing the statement after making 
reasonable inquiry, the submission is the first and only submission 
under 35 U.S.C. 122(e) filed in the application by the party or a party 
in privity with the party.
    (h) In the absence of a request by the Office, an applicant need not 
reply to a submission under this section.
    (i) The provisions of Sec.1.8 do not apply to the time periods set 
forth in this section.

[77 FR 42173, July 17, 2012, as amended at 78 FR 62406, Oct. 21, 2013]



Sec.1.291  Protests by the public against pending applications.

    (a) A protest may be filed by a member of the public against a 
pending application, and it will be matched with the application file if 
it adequately identifies the patent application. A protest submitted 
within the time frame of paragraph (b) of this section, which is not 
matched, or not matched in a timely manner to permit review by the 
examiner during prosecution, due to inadequate identification, may not 
be entered and may be returned to the protestor where practical, or, if 
return is not practical, discarded.
    (b) The protest will be entered into the record of the application 
if, in addition to complying with paragraph (c) of this section, the 
protest has been served upon the applicant in accordance with Sec.
1.248, or filed with the Office in duplicate in the event service is not 
possible; and, except for paragraph (b)(1) of this section, the protest 
was filed prior to the date the application was published under Sec.
1.211, or the date a notice of allowance under Sec.1.311 was given or 
mailed, whichever occurs first:
    (1) If a protest is accompanied by the written consent of the 
applicant, the protest will be considered if the protest is filed prior 
to the date a notice of allowance under Sec.1.311 is given or mailed 
in the application.
    (2) A statement must accompany a protest that it is the first 
protest submitted in the application by the real party in interest who 
is submitting the protest; or the protest must comply with paragraph 
(c)(5) of this section. This section does not apply to the first protest 
filed in an application.
    (c) In addition to compliance with paragraphs (a) and (b) of this 
section, a protest must include:
    (1) An information list of the documents, portions of documents, or 
other information being submitted, where each:
    (i) U.S. patent is identified by patent number, first named 
inventor, and issue date;
    (ii) U.S. patent application publication is identified by patent 
application publication number, first named inventor, and publication 
date;
    (iii) Foreign patent or published foreign patent application is 
identified by the country or patent office that issued the patent or 
published the application; an appropriate document number; the 
applicant, patentee, or first named inventor; and the publication date 
indicated on the patent or published application;
    (iv) Non-patent publication is identified by author (if any), title, 
pages being submitted, publication date, and, where available, publisher 
and place of publication; and
    (v) Item of other information is identified by date, if known.
    (2) A concise explanation of the relevance of each item identified 
in the information list pursuant to paragraph (c)(1) of this section;
    (3) A legible copy of each item identified in the information list, 
other than U.S. patents and U.S. patent application publications;
    (4) An English language translation of any non-English language item 
identified in the information list; and
    (5) If it is a second or subsequent protest by the same real party 
in interest, an explanation as to why the issue(s)

[[Page 128]]

raised in the second or subsequent protest are significantly different 
than those raised earlier and why the significantly different issue(s) 
were not presented earlier, and a processing fee under Sec.1.17(i) 
must be submitted.
    (d) A member of the public filing a protest in an application under 
this section will not receive any communication from the Office relating 
to the protest, other than the return of a self-addressed postcard which 
the member of the public may include with the protest in order to 
receive an acknowledgment by the Office that the protest has been 
received. The limited involvement of the member of the public filing a 
protest pursuant to this section ends with the filing of the protest, 
and no further submission on behalf of the protestor will be considered, 
unless the submission is made pursuant to paragraph (c)(5) of this 
section.
    (e) Where a protest raising inequitable conduct issues satisfies the 
provisions of this section for entry, it will be entered into the 
application file, generally without comment on the inequitable conduct 
issues raised in it.
    (f) In the absence of a request by the Office, an applicant need not 
reply to a protest.
    (g) Protests that fail to comply with paragraphs (b) or (c) of this 
section may not be entered, and if not entered, will be returned to the 
protestor, or discarded, at the option of the Office.

[69 FR 56544, Sept. 21, 2004, as amended at 77 FR 42173, July 17, 2012]



Sec. Sec.1.292-1.297  [Reserved]

        Review of Patent and Trademark Office Decisions by Court



Sec. Sec.1.301-1.304  [Reserved]

                      Allowance and Issue of Patent



Sec.1.311  Notice of allowance.

    (a) If, on examination, it appears that the applicant is entitled to 
a patent under the law, a notice of allowance will be sent to the 
applicant at the correspondence address indicated in Sec.1.33. The 
notice of allowance shall specify a sum constituting the issue fee and 
any required publication fee (Sec.1.211(e)), which issue fee and any 
required publication fee must both be paid within three months from the 
date of mailing of the notice of allowance to avoid abandonment of the 
application. This three-month period is not extendable.
    (b) An authorization to charge the issue fee or other post-allowance 
fees set forth in Sec.1.18 to a deposit account may be filed in an 
individual application only after mailing of the notice of allowance. 
The submission of either of the following after the mailing of a notice 
of allowance will operate as a request to charge the correct issue fee 
or any publication fee due to any deposit account identified in a 
previously filed authorization to charge such fees:
    (1) An incorrect issue fee or publication fee; or
    (2) A fee transmittal form (or letter) for payment of issue fee or 
publication fee.

[65 FR 57060, Sept. 20, 2000, as amended at 66 FR 67096, Dec. 28, 2001; 
69 FR 56545, Sept. 21, 2004; 78 FR 62406, Oct. 21, 2013]



Sec.1.312  Amendments after allowance.

    No amendment may be made as a matter of right in an application 
after the mailing of the notice of allowance. Any amendment filed 
pursuant to this section must be filed before or with the payment of the 
issue fee, and may be entered on the recommendation of the primary 
examiner, approved by the Director, without withdrawing the application 
from issue.

[65 FR 14873, Mar. 20, 2000]



Sec.1.313  Withdrawal from issue.

    (a) Applications may be withdrawn from issue for further action at 
the initiative of the Office or upon petition by the applicant. To 
request that the Office withdraw an application from issue, applicant 
must file a petition under this section including the fee set forth in 
Sec.1.17(h) and a showing of good and sufficient reasons why 
withdrawal of the application from issue is necessary. A petition under 
this section is not required if a request for continued examination 
under Sec.1.114 is filed prior to payment of the issue fee. If the 
Office withdraws the application from issue, the Office will issue a new 
notice of allowance if the Office again allows the application.

[[Page 129]]

    (b) Once the issue fee has been paid, the Office will not withdraw 
the application from issue at its own initiative for any reason except:
    (1) A mistake on the part of the Office;
    (2) A violation of Sec.1.56 or illegality in the application;
    (3) Unpatentability of one or more claims; or
    (4) For an interference or derivation proceeding.
    (c) Once the issue fee has been paid, the application will not be 
withdrawn from issue upon petition by the applicant for any reason 
except:
    (1) Unpatentability of one of more claims, which petition must be 
accompanied by an unequivocal statement that one or more claims are 
unpatentable, an amendment to such claim or claims, and an explanation 
as to how the amendment causes such claim or claims to be patentable;
    (2) Consideration of a request for continued examination in 
compliance with Sec.1.114; or
    (3) Express abandonment of the application. Such express abandonment 
may be in favor of a continuing application.
    (d) A petition under this section will not be effective to withdraw 
the application from issue unless it is actually received and granted by 
the appropriate officials before the date of issue. Withdrawal of an 
application from issue after payment of the issue fee may not be 
effective to avoid publication of application information.

[65 FR 14873, Mar. 20, 2000, as amended at 65 FR 50105, Aug. 16, 2000; 
77 FR 46626, Aug. 6, 2012]



Sec.1.314  Issuance of patent.

    If applicant timely pays the issue fee, the Office will issue the 
patent in regular course unless the application is withdrawn from issue 
(Sec.1.313) or the Office defers issuance of the patent. To request 
that the Office defer issuance of a patent, applicant must file a 
petition under this section including the fee set forth in Sec.1.17(h) 
and a showing of good and sufficient reasons why it is necessary to 
defer issuance of the patent.

[65 FR 54677, Sept. 8, 2000]



Sec.1.315  Delivery of patent.

    The patent will be delivered or mailed upon issuance to the 
correspondence address of record. See Sec.1.33(a).

[61 FR 42807, Aug. 19, 1996]



Sec.1.316  Application abandoned for failure to pay issue fee.

    If the issue fee is not paid within three months from the date of 
the notice of allowance, the application will be regarded as abandoned. 
Such an abandoned application will not be considered as pending before 
the Patent and Trademark Office.

[62 FR 53198, Oct. 10, 1997]



Sec. Sec.1.317-1.318  [Reserved]

                               Disclaimer



Sec.1.321  Statutory disclaimers, including terminal disclaimers.

    (a) A patentee owning the whole or any sectional interest in a 
patent may disclaim any complete claim or claims in a patent. In like 
manner any patentee may disclaim or dedicate to the public the entire 
term, or any terminal part of the term, of the patent granted. Such 
disclaimer is binding upon the grantee and its successors or assigns. A 
notice of the disclaimer is published in the Official Gazette and 
attached to the printed copies of the specification. The disclaimer, to 
be recorded in the Patent and Trademark Office, must:
    (1) Be signed by the patentee, or an attorney or agent of record;
    (2) Identify the patent and complete claim or claims, or term being 
disclaimed. A disclaimer which is not a disclaimer of a complete claim 
or claims, or term will be refused recordation;
    (3) State the present extent of patentee's ownership interest in the 
patent; and
    (4) Be accompanied by the fee set forth in Sec.1.20(d).
    (b) An applicant may disclaim or dedicate to the public the entire 
term, or any terminal part of the term, of a patent to be granted. Such 
terminal disclaimer is binding upon the grantee

[[Page 130]]

and its successors or assigns. The terminal disclaimer, to be recorded 
in the Patent and Trademark Office, must:
    (1) Be signed by the applicant or an attorney or agent of record;
    (2) Specify the portion of the term of the patent being disclaimed;
    (3) State the present extent of applicant's ownership interest in 
the patent to be granted; and
    (4) Be accompanied by the fee set forth in Sec.1.20(d).
    (c) A terminal disclaimer, when filed to obviate judicially created 
double patenting in a patent application or in a reexamination 
proceeding except as provided for in paragraph (d) of this section, 
must:
    (1) Comply with the provisions of paragraphs (b)(2) through (b)(4) 
of this section;
    (2) Be signed in accordance with paragraph (b)(1) of this section if 
filed in a patent application or in accordance with paragraph (a)(1) of 
this section if filed in a reexamination proceeding; and
    (3) Include a provision that any patent granted on that application 
or any patent subject to the reexamination proceeding shall be 
enforceable only for and during such period that said patent is commonly 
owned with the application or patent which formed the basis for the 
judicially created double patenting.
    (d) A terminal disclaimer, when filed in a patent application or in 
a reexamination proceeding to obviate double patenting based upon a 
patent or application that is not commonly owned but was disqualified as 
prior art as set forth in either Sec.1.104(c)(4)(ii) or (c)(5)(ii) as 
the result of activities undertaken within the scope of a joint research 
agreement, must:
    (1) Comply with the provisions of paragraphs (b)(2) through (b)(4) 
of this section;
    (2) Be signed in accordance with paragraph (b)(1) of this section if 
filed in a patent application or be signed in accordance with paragraph 
(a)(1) of this section if filed in a reexamination proceeding; and
    (3) Include a provision waiving the right to separately enforce any 
patent granted on that application or any patent subject to the 
reexamination proceeding and the patent or any patent granted on the 
application which formed the basis for the double patenting, and that 
any patent granted on that application or any patent subject to the 
reexamination proceeding shall be enforceable only for and during such 
period that said patent and the patent, or any patent granted on the 
application, which formed the basis for the double patenting are not 
separately enforced.

[58 FR 54510, Oct. 22, 1993, as amended at 61 FR 42807, Aug. 19, 1996; 
70 FR 1824, Jan. 11, 2005; 70 FR 54266, Sept. 14, 2005; 77 FR 48822, 
Aug. 14, 2012; 78 FR 11059, Feb. 14, 2013]

                     Correction of Errors in Patent



Sec.1.322  Certificate of correction of Office mistake.

    (a)(1) The Director may issue a certificate of correction pursuant 
to 35 U.S.C. 254 to correct a mistake in a patent, incurred through the 
fault of the Office, which mistake is clearly disclosed in the records 
of the Office:
    (i) At the request of the patentee or the patentee's assignee;
    (ii) Acting sua sponte for mistakes that the Office discovers; or
    (iii) Acting on information about a mistake supplied by a third 
party.
    (2)(i) There is no obligation on the Office to act on or respond to 
a submission of information or request to issue a certificate of 
correction by a third party under paragraph (a)(1)(iii) of this section.
    (ii) Papers submitted by a third party under this section will not 
be made of record in the file that they relate to nor be retained by the 
Office.
    (3) If the request relates to a patent involved in an interference 
or trial before the Patent Trial and Appeal Board, the request must 
comply with the requirements of this section and be accompanied by a 
motion under Sec.41.121(a)(2), Sec.41.121(a)(3), or Sec.42.20 of 
this title.
    (4) The Office will not issue a certificate of correction under this 
section without first notifying the patentee (including any assignee of 
record) at the correspondence address of record as specified in Sec.
1.33(a) and affording the patentee or an assignee an opportunity to be 
heard.

[[Page 131]]

    (b) If the nature of the mistake on the part of the Office is such 
that a certificate of correction is deemed inappropriate in form, the 
Director may issue a corrected patent in lieu thereof as a more 
appropriate form for certificate of correction, without expense to the 
patentee.

(35 U.S.C. 254)

[24 FR 10332, Dec. 22, 1959, as amended at 49 FR 48454, Dec. 12, 1984; 
65 FR 54677, Sept. 8, 2000; 69 FR 50001, Aug. 12, 2004; 77 FR 46626, 
Aug. 6, 2012]



Sec.1.323  Certificate of correction of applicant's mistake.

    The Office may issue a certificate of correction under the 
conditions specified in 35 U.S.C. 255 at the request of the patentee or 
the patentee's assignee, upon payment of the fee set forth in Sec.
1.20(a). If the request relates to a patent involved in an interference 
or trial before the Patent Trial and Appeal Board, the request must 
comply with the requirements of this section and be accompanied by a 
motion under Sec.41.121(a)(2), Sec.41.121(a)(3) or Sec.42.20 of 
this title.

[77 FR 46626, Aug. 6, 2012]



Sec.1.324  Correction of inventorship in patent, pursuant
to 35 U.S.C. 256.

    (a) Whenever through error a person is named in an issued patent as 
the inventor, or an inventor is not named in an issued patent, the 
Director, pursuant to 35 U.S.C. 256, may, on application of all the 
parties and assignees, or on order of a court before which such matter 
is called in question, issue a certificate naming only the actual 
inventor or inventors.
    (b) Any request to correct inventorship of a patent pursuant to 
paragraph (a) of this section must be accompanied by:
    (1) A statement from each person who is being added as an inventor 
and each person who is currently named as an inventor either agreeing to 
the change of inventorship or stating that he or she has no disagreement 
in regard to the requested change;
    (2) A statement from all assignees of the parties submitting a 
statement under paragraph (b)(1) of this section agreeing to the change 
of inventorship in the patent, which statement must comply with the 
requirements of Sec.3.73(c) of this chapter; and
    (3) The fee set forth in Sec.1.20(b).
    (c) For correction of inventorship in an application, see Sec.
1.48.
    (d) In an interference under part 41, subpart D, of this title, a 
request for correction of inventorship in a patent must be in the form 
of a motion under Sec.41.121(a)(2) of this title. In a contested case 
under part 42, subpart D, of this title, a request for correction of 
inventorship in a patent must be in the form of a motion under Sec.
42.22 of this title. The motion under Sec.41.121(a)(2) or Sec.42.22 
of this title must comply with the requirements of this section.

[77 FR 48822, Aug. 14, 2012]



Sec.1.325  Other mistakes not corrected.

    Mistakes other than those provided for in Sec. Sec.1.322, 1.323, 
1.324, and not affording legal grounds for reissue or for reexamination, 
will not be corrected after the date of the patent.

(35 U.S.C. 6, Pub. L. 97-247)

[48 FR 2714, Jan. 20, 1983]

                           Arbitration Awards



Sec. Sec.1.331-1.334  [Reserved]



Sec.1.335  Filing of notice of arbitration awards.

    (a) Written notice of any award by an arbitrator pursuant to 35 
U.S.C. 294 must be filed in the Patent and Trademark Office by the 
patentee, or the patentee's assignee or licensee. If the award involves 
more than one patent a separate notice must be filed for placement in 
the file of each patent. The notice must set forth the patent number, 
the names of the inventor and patent owner, and the names and addresses 
of the parties to the arbitration. The notice must also include a copy 
of the award.
    (b) If an award by an arbitrator pursuant to 35 U.S.C. 294 is 
modified by a court, the party requesting the modification must file in 
the Patent and Trademark Office, a notice of the modification for 
placement in the file of each patent to which the modification applies. 
The notice must set forth the patent number, the names of the

[[Page 132]]

inventor and patent owner, and the names and addresses of the parties to 
the arbitration. The notice must also include a copy of the court's 
order modifying the award.
    (c) Any award by an arbitrator pursuant to 35 U.S.C. 294 shall be 
unenforceable until any notices required by paragraph (a) or (b) of this 
section are filed in the Patent and Trademark Office. If any required 
notice is not filed by the party designated in paragraph (a) or (b) of 
this section, any party to the arbitration proceeding may file such a 
notice.

(35 U.S.C. 6, Pub. L. 97-247)

[48 FR 2714, Jan. 20, 1983]



Sec. Sec.1.351-1.352  [Reserved]

                            Maintenance Fees



Sec.1.362  Time for payment of maintenance fees.

    (a) Maintenance fees as set forth in Sec. Sec.1.20 (e) through (g) 
are required to be paid in all patents based on applications filed on or 
after December 12, 1980, except as noted in paragraph (b) of this 
section, to maintain a patent in force beyond 4, 8 and 12 years after 
the date of grant.
    (b) Maintenance fees are not required for any plant patents or for 
any design patents.
    (c) The application filing dates for purposes of payment of 
maintenance fees are as follows:
    (1) For an application not claiming benefit of an earlier 
application, the actual United States filing date of the application.
    (2) For an application claiming benefit of an earlier foreign 
application under 35 U.S.C. 119, the United States filing date of the 
application.
    (3) For a continuing (continuation, division, continuation-in-part) 
application claiming the benefit of a prior patent application under 35 
U.S.C. 120, the actual United States filing date of the continuing 
application.
    (4) For a reissue application, including a continuing reissue 
application claiming the benefit of a reissue application under 35 
U.S.C. 120, United States filing date of the original non-reissue 
application on which the patent reissued is based.
    (5) For an international application which has entered the United 
States as a Designated Office under 35 U.S.C. 371, the international 
filing date granted under Article 11(1) of the Patent Cooperation Treaty 
which is considered to be the United States filing date under 35 U.S.C. 
363.
    (d) Maintenance fees may be paid in patents without surcharge during 
the periods extending respectively from:
    (1) 3 years through 3 years and 6 months after grant for the first 
maintenance fee,
    (2) 7 years through 7 years and 6 months after grant for the second 
maintenance fee, and
    (3) 11 years through 11 years and 6 months after grant for the third 
maintenance fee.
    (e) Maintenance fees may be paid with the surcharge set forth in 
Sec.1.20(h) during the respective grace periods after:
    (1) 3 years and 6 months and through the day of the 4th anniversary 
of the grant for the first maintenance fee.
    (2) 7 years and 6 months and through the day of the 8th anniversary 
of the grant for the second maintenance fee, and
    (3) 11 years and 6 months and through the day of the 12th 
anniversary of the grant for the third maintenance fee.
    (f) If the last day for paying a maintenance fee without surcharge 
set forth in paragraph (d) of this section, or the last day for paying a 
maintenance fee with surcharge set forth in paragraph (e) of this 
section, falls on a Saturday, Sunday, or a federal holiday within the 
District of Columbia, the maintenance fee and any necessary surcharge 
may be paid under paragraph (d) or paragraph (e) respectively on the 
next succeeding day which is not a Saturday, Sunday, or federal holiday.
    (g) Unless the maintenance fee and any applicable surcharge is paid 
within the time periods set forth in paragraphs (d), (e) or (f) of this 
section, the patent will expire as of the end of the grace period set 
forth in paragraph (e) of this section. A patent which expires for the 
failure to pay the maintenance fee will expire at the end of the same 
date (anniversary date) the patent was granted in the 4th, 8th, or 12th 
year after grant.

[[Page 133]]

    (h) The periods specified in Sec. Sec.1.362 (d) and (e) with 
respect to a reissue application, including a continuing reissue 
application thereof, are counted from the date of grant of the original 
non-reissue application on which the reissued patent is based.

[49 FR 34724, Aug. 31, 1984, as amended at 56 FR 65154, Dec. 13, 1991; 
58 FR 54511, Oct. 22, 1993; 82 FR 52816, Nov. 14, 2017]



Sec.1.363  Fee address for maintenance fee purposes.

    (a) All notices, receipts, refunds, and other communications 
relating to payment or refund of maintenance fees will be directed to 
the correspondence address used during prosecution of the application as 
indicated in Sec.1.33(a) unless:
    (1) A fee address for purposes of payment of maintenance fees is set 
forth when submitting the issue fee, or
    (2) A change in the correspondence address for all purposes is filed 
after payment of the issue fee, or
    (3) A fee address or a change in the ``fee address'' is filed for 
purposes of receiving notices, receipts and other correspondence 
relating to the payment of maintenance fees after the payment of the 
issue fee, in which instance, the latest such address will be used.
    (b) An assignment of a patent application or patent does not result 
in a change of the ``correspondence address'' or ``fee address'' for 
maintenance fee purposes.
    (c) A fee address must be an address associated with a Customer 
Number.

[49 FR 34725, Aug. 31, 1984, as amended at 69 FR 29878, May 26, 2004]



Sec.1.366  Submission of maintenance fees.

    (a) The patentee may pay maintenance fees and any necessary 
surcharges, or any person or organization may pay maintenance fees and 
any necessary surcharges on behalf of a patentee. A maintenance fee 
transmittal letter may be signed by a juristic applicant or patent 
owner. A patentee need not file authorization to enable any person or 
organization to pay maintenance fees and any necessary surcharges on 
behalf of the patentee.
    (b) A maintenance fee and any necessary surcharge submitted for a 
patent must be submitted in the amount due on the date the maintenance 
fee and any necessary surcharge are paid. A maintenance fee or surcharge 
may be paid in the manner set forth in Sec.1.23 or by an authorization 
to charge a deposit account established pursuant to Sec.1.25. Payment 
of a maintenance fee and any necessary surcharge or the authorization to 
charge a deposit account must be submitted within the periods set forth 
in Sec.1.362 (d), (e), or (f). Any payment or authorization of 
maintenance fees and surcharges filed at any other time will not be 
accepted and will not serve as a payment of the maintenance fee except 
insofar as a delayed payment of the maintenance fee is accepted by the 
Director in an expired patent pursuant to a petition filed under Sec.
1.378. Any authorization to charge a deposit account must authorize the 
immediate charging of the maintenance fee and any necessary surcharge to 
the deposit account. Payment of less than the required amount, payment 
in a manner other than that set forth in Sec.1.23, or in the filing of 
an authorization to charge a deposit account having insufficient funds 
will not constitute payment of a maintenance fee or surcharge on a 
patent. The procedures set forth in Sec.1.8 or Sec.1.10 may be 
utilized in paying maintenance fees and any necessary surcharges.
    (c) In submitting maintenance fees and any necessary surcharges, 
identification of the patents for which maintenance fees are being paid 
must include the patent number, and the application number of the United 
States application for the patent on which the maintenance fee is being 
paid. If the payment includes identification of only the patent number 
(i.e., does not identify the application number of the United States 
application for the patent on which the maintenance fee is being paid), 
the Office may apply the payment to the patent identified by patent 
number in the payment or may return the payment.
    (d) Payment of maintenance fees and any surcharges should identify 
the fee being paid for each patent as to whether it is the 3\1/2\-, 7\1/
2\-, or 11\1/2\-year fee, whether small entity status is being changed 
or claimed, the amount of the maintenance fee and any surcharge

[[Page 134]]

being paid, and any assigned customer number. If the maintenance fee and 
any necessary surcharge is being paid on a reissue patent, the payment 
must identify the reissue patent by reissue patent number and reissue 
application number as required by paragraph (c) of this section and 
should also include the original patent number.
    (e) Maintenance fee payments and surcharge payments relating thereto 
must be submitted separate from any other payments for fees or charges, 
whether submitted in the manner set forth in Sec.1.23 or by an 
authorization to charge a deposit account. If maintenance fee and 
surcharge payments for more than one patent are submitted together, they 
should be submitted on as few sheets as possible with the patent numbers 
listed in increasing patent number order. If the payment submitted is 
insufficient to cover the maintenance fees and surcharges for all the 
listed patents, the payment will be applied in the order the patents are 
listed, beginning at the top of the listing.
    (f) Notification of any change in status resulting in loss of 
entitlement to small entity status must be filed in a patent prior to 
paying, or at the time of paying, the earliest maintenance fee due after 
the date on which status as a small entity is no longer appropriate. See 
Sec.1.27(g).
    (g) Maintenance fees and surcharges relating thereto will not be 
refunded except in accordance with Sec. Sec.1.26 and 1.28(a).

[49 FR 34725, Aug. 31, 1984, as amended at 58 FR 54503, Oct. 22, 1993; 
62 FR 53199, Oct. 10, 1997; 65 FR 54677, Sept. 8, 2000; 65 FR 78960, 
Dec. 18, 2000; 78 FR 62406, Oct. 21, 2013]



Sec.1.377  Review of decision refusing to accept and record payment
of a maintenance fee filed prior to expiration of patent.

    (a) Any patentee who is dissatisfied with the refusal of the Patent 
and Trademark Office to accept and record a maintenance fee which was 
filed prior to the expiration of the patent may petition the Director to 
accept and record the maintenance fee.
    (b) Any petition under this section must be filed within two months 
of the action complained of, or within such other time as may be set in 
the action complained of, and must be accompanied by the fee set forth 
in Sec.1.17(g). The petition may include a request that the petition 
fee be refunded if the refusal to accept and record the maintenance fee 
is determined to result from an error by the Patent and Trademark 
Office.
    (c) Any petition filed under this section must comply with the 
requirements of Sec.1.181(b) and must be signed by an attorney or 
agent registered to practice before the Patent and Trademark Office, or 
by the patentee, the assignee, or other party in interest.

[49 FR 34725, Aug. 31, 1984, as amended at 62 FR 53199, Oct. 10, 1997; 
69 FR 56545, Sept. 21, 2004]



Sec.1.378  Acceptance of delayed payment of maintenance fee in expired
patent to reinstate patent.

    (a) The Director may accept the payment of any maintenance fee due 
on a patent after expiration of the patent if, upon petition, the delay 
in payment of the maintenance fee is shown to the satisfaction of the 
Director to have been unintentional. If the Director accepts payment of 
the maintenance fee upon petition, the patent shall be considered as not 
having expired, but will be subject to the conditions set forth in 35 
U.S.C. 41(c)(2).
    (b) Any petition to accept an unintentionally delayed payment of a 
maintenance fee must include:
    (1) The required maintenance fee set forth in Sec.1.20(e) through 
(g);
    (2) The petition fee as set forth in Sec.1.17(m); and
    (3) A statement that the delay in payment of the maintenance fee was 
unintentional. The Director may require additional information where 
there is a question whether the delay was unintentional.
    (c) Any petition under this section must be signed in compliance 
with Sec.1.33(b).
    (d) Reconsideration of a decision refusing to accept a delayed 
maintenance fee may be obtained by filing a petition for reconsideration 
within two months of the decision, or such other time as set in the 
decision refusing to accept the delayed payment of the maintenance fee.

[[Page 135]]

    (e) If the delayed payment of the maintenance fee is not accepted, 
the maintenance fee will be refunded following the decision on the 
petition for reconsideration, or after the expiration of the time for 
filing such a petition for reconsideration, if none is filed.

[78 FR 62407, Oct. 21, 2013]



              Subpart C_International Processing Provisions

    Authority: Secs. 1.401 to 1.499 also issued under 35 U.S.C. 41 and 
351 through 376.

    Source: 43 FR 20466, May 11, 1978, unless otherwise noted.

                           General Information



Sec.1.401  Definitions of terms under the Patent Cooperation Treaty.

    (a) The abbreviation PCT and the term Treaty mean the Patent 
Cooperation Treaty.
    (b) International Bureau means the World Intellectual Property 
Organization located in Geneva, Switzerland.
    (c) Administrative Instructions means that body of instructions for 
operating under the Patent Cooperation Treaty referred to in PCT Rule 
89.
    (d) Request, when capitalized, means that element of the 
international application described in PCT Rules 3 and 4.
    (e) International application, as used in this subchapter is defined 
in Sec.1.9(b).
    (f) Priority date for the purpose of computing time limits under the 
Patent Cooperation Treaty is defined in PCT Art. 2 (xi). Note also Sec.
1.465.
    (g) Demand, when capitalized, means that document filed with the 
International Preliminary Examining Authority which requests an 
international preliminary examination.
    (h) Annexes means amendments made to the claims, description or the 
drawings before the International Preliminary Examining Authority.
    (i) Other terms and expressions in this subpart C not defined in 
this section are to be taken in the sense indicated in PCT Art. 2 and 35 
U.S.C. 351.

[43 FR 20466, May 11, 1978, as amended at 52 FR 20047, May 28, 1987]



Sec.1.412  The United States Receiving Office.

    (a) The United States Patent and Trademark Office is a Receiving 
Office only for applicants who are residents or nationals of the United 
States of America.
    (b) The Patent and Trademark Office, when acting as a Receiving 
Office, will be identified by the full title ``United States Receiving 
Office'' or by the abbreviation ``RO/US.''
    (c) The major functions of the Receiving Office include:
    (1) According of international filing dates to international 
applications meeting the requirements of PCT Art. 11(1), and PCT Rule 
20;
    (2) Assuring that international applications meet the standards for 
format and content of PCT Art. 14(1), PCT Rule 9, 26, 29.1, 37, 38, 91, 
and portions of PCT Rules 3 through 11;
    (3) Collecting and, when required, transmitting fees due for 
processing international applications (PCT Rule 14, 15, 16);
    (4) Transmitting the record and search copies to the International 
Bureau and International Searching Authority, respectively (PCT Rules 22 
and 23); and
    (5) Determining compliance with applicable requirements of part 5 of 
this chapter.
    (6) Reviewing and, unless prescriptions concerning national security 
prevent the application from being so transmitted (PCT Rule 19.4), 
transmitting the international application to the International Bureau 
for processing in its capacity as a Receiving Office:
    (i) Where the United States Receiving Office is not the competent 
Receiving Office under PCT Rule 19.1 or 19.2 and Sec.1.421(a); or
    (ii) Where the international application is not in English but is in 
a language accepted under PCT Rule 12.1(a) by the International Bureau 
as a Receiving Office; or
    (iii) Where there is agreement and authorization in accordance with 
PCT Rule 19.4(a)(iii).

[43 FR 20466, May 11, 1978, as amended at 60 FR 21439, May 2, 1995; 63 
FR 29617, June 1, 1998]

[[Page 136]]



Sec.1.413  The United States International Searching Authority.

    (a) Pursuant to appointment by the Assembly, the United States 
Patent and Trademark Office will act as an International Searching 
Authority for international applications filed in the United States 
Receiving Office and in other Receiving Offices as may be agreed upon by 
the Director, in accordance with the agreement between the Patent and 
Trademark Office and the International Bureau (PCT Art. 16(3)(b)).
    (b) The Patent and Trademark Office, when acting as an International 
Searching Authority, will be identified by the full title ``United 
States International Searching Authority'' or by the abbreviation ``ISA/
US.''
    (c) The major functions of the International Searching Authority 
include:
    (1) Approving or establishing the title and abstract;
    (2) Considering the matter of unity of invention;
    (3) Conducting international and international-type searches and 
preparing international and international-type search reports (PCT Art. 
15, 17 and 18, and PCT Rules 25, 33 to 45 and 47), and issuing 
declarations that no international search report will be established 
(PCT Article 17(2)(a));
    (4) Preparing written opinions of the International Searching 
Authority in accordance with PCT Rule 43bis (when necessary); and
    (5) Transmitting the international search report and the written 
opinion of the International Searching Authority to the applicant and 
the International Bureau.

[43 FR 20466, May 11, 1978, as amended at 68 FR 59886, Oct. 20, 2003]



Sec.1.414  The United States Patent and Trademark Office as a
Designated Office or Elected Office.

    (a) The United States Patent and Trademark Office will act as a 
Designated Office or Elected Office for international applications in 
which the United States of America has been designated or elected as a 
State in which patent protection is desired.
    (b) The United States Patent and Trademark Office, when acting as a 
Designated Office or Elected Office during international processing will 
be identified by the full title ``United States Designated Office'' or 
by the abbreviation ``DO/US'' or by the full title ``United States 
Elected Office'' or by the abbreviation ``EO/US''.
    (c) The major functions of the United States Designated Office or 
Elected Office in respect to international applications in which the 
United States of America has been designated or elected, include:
    (1) Receiving various notifications throughout the international 
stage and
    (2) National stage processing for international applications 
entering the national stage under 35 U.S.C. 371.

[52 FR 20047, May 28, 1987, as amended at 77 FR 48823, Aug. 14, 2012]



Sec.1.415  The International Bureau.

    (a) The International Bureau is the World Intellectual Property 
Organization located at Geneva, Switzerland. It is the international 
intergovernmental organization which acts as the coordinating body under 
the Treaty and the Regulations (PCT Art. 2 (xix) and 35 U.S.C. 351 (h)).
    (b) The major functions of the International Bureau include:
    (1) Publishing of international applications and the International 
Gazette;
    (2) Transmitting copies of international applications to Designated 
Offices;
    (3) Storing and maintaining record copies; and
    (4) Transmitting information to authorities pertinent to the 
processing of specific international applications.



Sec.1.416  The United States International Preliminary Examining Authority.

    (a) Pursuant to appointment by the Assembly, the United States 
Patent and Trademark Office will act as an International Preliminary 
Examining Authority for international applications filed in the United 
States Receiving Office and in other Receiving Offices as may be agreed 
upon by the Director, in accordance with agreement between the Patent 
and Trademark Office and the International Bureau.
    (b) The United States Patent and Trademark Office, when acting as an 
International Preliminary Examining Authority, will be identified by the 
full

[[Page 137]]

title ``United States International Preliminary Examining Authority'' or 
by the abbreviation ``IPEA/US.''
    (c) The major functions of the International Preliminary Examining 
Authority include:
    (1) Receiving and checking for defects in the Demand;
    (2) Forwarding Demands in accordance with PCT Rule 59.3;
    (3) Collecting the handling fee for the International Bureau and the 
preliminary examination fee for the United States International 
Preliminary Examining Authority;
    (4) Informing applicant of receipt of the Demand;
    (5) Considering the matter of unity of invention;
    (6) Providing an international preliminary examination report which 
is a non-binding opinion on the questions of whether the claimed 
invention appears: to be novel, to involve an inventive step (to be 
nonobvious), and to be industrially applicable; and
    (7) Transmitting the international preliminary examination report to 
applicant and the International Bureau.

[52 FR 20047, May 28, 1987, as amended at 63 FR 29617, June 1, 1998]



Sec.1.417  Submission of translation of international publication.

    The submission of an English language translation of the publication 
of an international application pursuant to 35 U.S.C. 154(d)(4) must 
clearly identify the international application to which it pertains 
(Sec.1.5(a)) and be clearly identified as a submission pursuant to 35 
U.S.C. 154(d)(4). Otherwise, the submission will be treated as a filing 
under 35 U.S.C. 111(a). Such submissions should be marked ``Mail Stop 
PCT.''

[68 FR 71007, Dec. 22, 2003]



Sec.1.419  Display of currently valid control number under the 
Paperwork Reduction Act.

    (a) Pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 
et seq.), the collection of information in this subpart has been 
reviewed and approved by the Office of Management and Budget under 
control number 0651-0021.
    (b) Notwithstanding any other provision of law, no person is 
required to respond to nor shall a person be subject to a penalty for 
failure to comply with a collection of information subject to the 
requirements of the Paperwork Reduction Act unless that collection of 
information displays a currently valid Office of Management and Budget 
control number. This section constitutes the display required by 44 
U.S.C. 3512(a) and 5 CFR 1320.5(b)(2)(i) for the collection of 
information under Office of Management and Budget control number 0651-
0021 (see 5 CFR 1320.5(b)(2)(ii)(D)).

[63 FR 29617, June 1, 1998]

                Who May File an International Application



Sec.1.421  Applicant for international application.

    (a) Only residents or nationals of the United States of America may 
file international applications in the United States Receiving Office. 
If an international application does not include an applicant who is 
indicated as being a resident or national of the United States of 
America, and at least one applicant:
    (1) Has indicated a residence or nationality in a PCT Contracting 
State, or
    (2) Has no residence or nationality indicated, applicant will be so 
notified and, if the international application includes a fee amount 
equivalent to that required by Sec.1.445(a)(4), the international 
application will be forwarded for processing to the International Bureau 
acting as a Receiving Office (see also Sec.1.412(c)(6)).
    (b) Although the United States Receiving Office will accept 
international applications filed by any applicant who is a resident or 
national of the United States of America for international processing, 
for the purposes of the designation of the United States, an 
international application will be accepted by the Patent and Trademark 
Office for the national stage only if the applicant is the inventor or 
other person as provided in Sec.1.422 or Sec.1.424. Joint inventors 
must jointly apply for an international application.

[[Page 138]]

    (c) A registered attorney or agent of the applicant may sign the 
international application Request and file the international application 
for the applicant. A separate power of attorney from each applicant may 
be required.
    (d) Any indication of different applicants for the purpose of 
different Designated Offices must be shown on the Request portion of the 
international application.
    (e) Requests for changes in the indications concerning the 
applicant, agent, or common representative of an international 
application shall be made in accordance with PCT Rule 92bis and may be 
required to be signed by all applicants.
    (f) Requests for withdrawals of the international application, 
designations, priority claims, the Demand, or elections shall be made in 
accordance with PCT Rule 90bis and must be signed by all applicants. A 
separate power of attorney from the applicants will be required for the 
purposes of any request for a withdrawal in accordance with PCT Rule 
90bis which is not signed by all applicants.

[77 FR 48823, Aug. 14, 2012]



Sec.1.422  Legal representative as applicant in an international
application.

    If an inventor is deceased or under legal incapacity, the legal 
representative of the inventor may be an applicant in an international 
application which designates the United States of America.

[77 FR 48823, Aug. 14, 2012]



Sec.1.423  [Reserved]



Sec.1.424  Assignee, obligated assignee, or person having sufficient
proprietary interest as applicant in an international application.

    (a) A person to whom the inventor has assigned or is under an 
obligation to assign the invention may be an applicant in an 
international application which designates the United States of America. 
A person who otherwise shows sufficient proprietary interest in the 
matter may be an applicant in an international application which 
designates the United States of America on proof of the pertinent facts 
and a showing that such action is appropriate to preserve the rights of 
the parties.
    (b) Neither any showing required under paragraph (a) of this section 
nor documentary evidence of ownership or proprietary interest will be 
required or considered by the Office in the international stage, but 
will be required in the national stage in accordance with the conditions 
and requirements of Sec.1.46.

[77 FR 48823, Aug. 14, 2012]

                      The International Application



Sec.1.431  International application requirements.

    (a) An international application shall contain, as specified in the 
Treaty and the Regulations, a Request, a description, one or more 
claims, an abstract, and one or more drawings (where required). (PCT 
Art. 3(2) and section 207 of the Administrative Instructions.)
    (b) An international filing date will be accorded by the United 
States Receiving Office, at the time to receipt of the international 
application, provided that:
    (1) At least one applicant (Sec.1.421) is a United States resident 
or national and the papers filed at the time of receipt of the 
international application so indicate (35 U.S.C. 361(a), PCT Art. 
11(1)(i)).
    (2) The international application is in the English language (35 
U.S.C. 361(c), PCT Art. 11(1)(ii)).
    (3) The international application contains at least the following 
elements (PCT Art. 11(1)(iii)):
    (i) An indication that it is intended as an international 
application (PCT Rule 4.2);
    (ii) The designation of at least one Contracting State of the 
International Patent Cooperation Union (Sec.1.432);
    (iii) The name of the applicant, as prescribed (note Sec. Sec.
1.421, 1.422, and 1.424);
    (iv) A part which on the face of it appears to be a description; and
    (v) A part which on the face of it appears to be a claim.
    (c) Payment of the international filing fee (PCT Rule 15.2) and the 
transmittal and search fees (Sec.1.445) may be

[[Page 139]]

made in full at the time the international application papers required 
by paragraph (b) of this section are deposited or within one month 
thereafter. The international filing, transmittal, and search fee 
payable is the international filing, transmittal, and search fee in 
effect on the receipt date of the international application. If the 
international filing, transmittal, and search fees are not paid within 
one month from the date of receipt of the international application and 
prior to the sending of a notice of deficiency, which imposes a late 
payment fee (Sec.1.445(a)(6)), the applicant will be notified and 
given a one-month non-extendable time limit within which to pay the 
deficient fees plus the late payment fee.
    (d) If the payment needed to cover the transmittal fee, the 
international filing fee, the search fee, and the late payment fee 
pursuant to paragraph (c) of this section is not timely made in 
accordance with PCT Rule 16bis.1(e), the Receiving Office will declare 
the international application withdrawn under PCT Article 14(3)(a).

[43 FR 20466, May 11, 1978, as amended at 50 FR 9383, Mar. 7, 1985; 52 
FR 20047, May 28, 1987; 58 FR 4344, Jan. 14, 1993; 63 FR 29618, June 1, 
1998; 68 FR 59887, Oct. 20, 2003; 68 FR 67805, Dec. 4, 2003; 77 FR 
48823, Aug. 14, 2012; 85 FR 46990, Aug. 3, 2020]



Sec.1.432  Designation of States by filing an international application.

    The filing of an international application request shall constitute:
    (a) The designation of all Contracting States that are bound by the 
Treaty on the international filing date;
    (b) An indication that the international application is, in respect 
of each designated State to which PCT Article 43 or 44 applies, for the 
grant of every kind of protection which is available by way of the 
designation of that State; and
    (c) An indication that the international application is, in respect 
of each designated State to which PCT Article 45(1) applies, for the 
grant of a regional patent and also, unless PCT Article 45(2) applies, a 
national patent.

[68 FR 59887, Oct. 20, 2003]



Sec.1.433  Physical requirements of international application.

    (a) The international application and each of the documents that may 
be referred to in the check list of the Request (PCT Rule 3.3(a)(ii)) 
shall be filed in one copy only.
    (b) All sheets of the international application must be on A4 size 
paper (21.0 x 29.7 cm.).
    (c) Other physical requirements for international applications are 
set forth in PCT Rule 11 and sections 201-207 of the Administrative 
Instructions.



Sec.1.434  The request.

    (a) The request shall be made on a standardized form (PCT Rules 3 
and 4). Copies of printed Request forms are available from the United 
States Patent and Trademark Office. Letters requesting printed forms 
should be marked ``Mail Stop PCT.''
    (b) The Check List portion of the Request form should indicate each 
document accompanying the international application on filing.
    (c) All information, for example, addresses, names of States and 
dates, shall be indicated in the Request as required by PCT Rule 4 and 
Administrative Instructions 110 and 201.
    (d) For the purposes of the designation of the United States of 
America, an international application shall include:
    (1) The name of the inventor; and
    (2) A reference to any prior-filed national application or 
international application designating the United States of America, if 
the benefit of the filing date for the prior-filed application is to be 
claimed.
    (e) An international application may also include in the Request a 
declaration of the inventors as provided for in PCT Rule 4.17(iv).

[43 FR 20466, May 11, 1978, as amended at 58 FR 4345, Jan. 14, 1993; 66 
FR 16006, Mar. 22, 2001; 66 FR 67096, Dec. 28, 2001; 68 FR 14337, Mar. 
25, 2003; 68 FR 59887, Oct. 20, 2003]



Sec.1.435  The description.

    (a) The application must meet the requirements as to the content and 
form of the description set forth in PCT Rules 5, 9, 10, and 11 and 
sections 204 and 208 of the Administrative Instructions.

[[Page 140]]

    (b) In international applications designating the United States the 
description must contain upon filing an indication of the best mode 
contemplated by the inventor for carrying out the claimed invention.

[43 FR 20466, May 11, 1978, as amended at 63 FR 29618, June 1, 1998]



Sec.1.436  The claims.

    The requirements as to the content and format of claims are set 
forth in PCT Art. 6 and PCT Rules 6, 9, 10 and 11 and shall be adhered 
to. The number of the claims shall be reasonable, considering the nature 
of the invention claimed.



Sec.1.437  The drawings.

    (a) Drawings are required when they are necessary for the 
understanding of the invention (PCT Art. 7).
    (b) The physical requirements for drawings are set forth in PCT Rule 
11 and shall be adhered to.

[72 FR 51563, Sept. 10, 2007]



Sec.1.438  The abstract.

    (a) Requirements as to the content and form of the abstract are set 
forth in PCT Rule 8, and shall be adhered to.
    (b) Lack of an abstract upon filing of an international application 
will not affect the granting of a filing date. However, failure to 
furnish an abstract within one month from the date of the notification 
by the Receiving Office will result in the international appplication 
being declared withdrawn.

                                  Fees



Sec.1.445  International application filing, processing and search fees.

    (a) The following fees and charges for international applications 
are established by law or by the director under the authority of 35 
U.S.C. 376:
    (1) A transmittal fee (see 35 U.S.C. 361(d) and PCT Rule 14) 
consisting of:
    (i) A basic portion:
    (A) For an international application having a receipt date that is 
on or after October 2, 2020:

                    Table 1 to Paragraph (a)(1)(i)(A)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $65.00
By a small entity (Sec. 1.27(a)).........................       130.00
By other than a small or micro entity......................       260.00
------------------------------------------------------------------------

    (B) For an international application having a receipt date that is 
on or after January 1, 2014, and before October 2, 2020:

                    Table 2 to Paragraph (a)(1)(i)(B)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $60.00
By a small entity (Sec. 1.27(a)).........................       120.00
By other than a small or micro entity......................       240.00
------------------------------------------------------------------------

    (C) For an international application having a receipt date that is 
before January 1, 2014: $240.00.
    (ii) A non-electronic filing fee portion for any international 
application designating the United States of America that is filed on or 
after November 15, 2011, other than by the Office electronic filing 
system, except for a plant application:

                     Table 3 to Paragraph (a)(1)(ii)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a small entity (Sec. 1.27(a)).........................      $200.00
By other than a small entity...............................       400.00
------------------------------------------------------------------------

    (2) A search fee (see 35 U.S.C. 361(d) and PCT Rule 16):
    (i) For an international application having a receipt date that is 
on or after October 2, 2020:

                     Table 4 to Paragraph (a)(2)(i)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $545.00
By a small entity (Sec. 1.27(a)).........................     1,090.00
By other than a small or micro entity......................     2,180.00
------------------------------------------------------------------------

    (ii) For an international application having a receipt date that is 
on or after January 1, 2014, and before October 2, 2020:

                     Table 5 to Paragraph (a)(2)(ii)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $520.00
By a small entity (Sec. 1.27(a)).........................     1,040.00
By other than a small or micro entity......................     2,080.00
------------------------------------------------------------------------

    (iii) For an international application having a receipt date that is 
before January 1, 2014: $2,080.00.
    (3) A supplemental search fee when required, per additional 
invention:

[[Page 141]]

    (i) For an international application having a receipt date that is 
on or after October 2, 2020:

                     Table 6 to Paragraph (a)(3)(i)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $545.00
By a small entity (Sec. 1.27(a)).........................     1,090.00
By other than a small or micro entity......................     2,180.00
------------------------------------------------------------------------

    (ii) For an international application having a receipt date that is 
on or after January 1, 2014, and before October 2, 2020:

                     Table 7 to Paragraph (a)(3)(ii)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $520.00
By a small entity (Sec. 1.27(a)).........................     1,040.00
By other than a small or micro entity......................     2,080.00
------------------------------------------------------------------------

    (iii) For an international application having a receipt date that is 
before January 1, 2014: $2,080.00.
    (4) A fee equivalent to the transmittal fee in paragraph (a)(1) of 
this section that would apply if the USPTO was the Receiving Office for 
transmittal of an international application to the International Bureau 
for processing in its capacity as a Receiving Office (PCT Rule 19.4).
    (5) Late furnishing fee for providing a sequence listing in response 
to an invitation under PCT Rule 13ter:

                       Table 8 to Paragraph (a)(5)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $80.00
By a small entity (Sec. 1.27(a)).........................       160.00
By other than a small or micro entity......................       320.00
------------------------------------------------------------------------

    (6) Late payment fee pursuant to PCT Rule 16bis.2.
    (b) The international filing fee shall be as prescribed in PCT Rule 
15.

[78 FR 17107, Mar. 20, 2013, as amended at 82 FR 52816, Nov. 14, 2017; 
85 FR 46990, Aug. 3, 2020; 85 FR 58283, Sept. 18, 2020]



Sec.1.446  Refund of international application filing and processing
fees.

    (a) Money paid for international application fees, where paid by 
actual mistake or in excess, such as a payment not required by law or 
treaty and its regulations, may be refunded. A mere change of purpose 
after the payment of a fee will not entitle a party to a refund of such 
fee. The Office will not refund amounts of twenty-five dollars or less 
unless a refund is specifically requested and will not notify the payor 
of such amounts. If the payor or party requesting a refund does not 
provide the banking information necessary for making refunds by 
electronic funds transfer, the Office may use the banking information 
provided on the payment instrument to make any refund by electronic 
funds transfer.
    (b) Any request for refund under paragraph (a) of this section must 
be filed within two years from the date the fee was paid. If the Office 
charges a deposit account by an amount other than an amount specifically 
indicated in an authorization under Sec.1.25(b), any request for 
refund based upon such charge must be filed within two years from the 
date of the deposit account statement indicating such charge and include 
a copy of that deposit account statement. The time periods set forth in 
this paragraph are not extendable.
    (c) Refund of the supplemental search fees will be made if such 
refund is determined to be warranted by the Director or the Director's 
designee acting under PCT Rule 40.2(c).
    (d) The international and search fees will be refunded if no 
international filing date is accorded or if the application is withdrawn 
before transmittal of the record copy to the International Bureau (PCT 
Rules 15.6 and 16.2). The search fee will be refunded if the application 
is withdrawn before transmittal of the search copy to the International 
Searching Authority. The transmittal fee will not be refunded.
    (e) The handling fee (Sec.1.482(b)) will be refunded (PCT Rule 
57.6) only if:
    (1) The Demand is withdrawn before the Demand has been sent by the 
International Preliminary Examining Authority to the International 
Bureau, or
    (2) The Demand is considered not to have been submitted (PCT Rule 
54.4(a)).

(35 U.S.C. 6; 15 U.S.C. 1113, 1123)

[43 FR 20466, May 11, 1978, as amended at 50 FR 9384, Mar. 7, 1985; 50 
FR 31826, Aug. 6, 1985; 58 FR 4345, Jan. 14, 1993; 65 FR 54677, Sept. 8, 
2000]

[[Page 142]]

                                Priority



Sec.1.451  The priority claim and priority document in an international
application.

    (a) The claim for priority must, subject to paragraph (d) of this 
section, be made on the Request (PCT Rule 4.10) in a manner complying 
with sections 110 and 115 of the Administrative Instructions.
    (b) Whenever the priority of an earlier United States national 
application or international application filed with the United States 
Receiving Office is claimed in an international application, the 
applicant may request in the Request or in a letter of transmittal 
accompanying the international application upon filing with the United 
States Receiving Office or in a separate letter filed in the United 
States Receiving Office not later than 16 months after the priority 
date, that the United States Patent and Trademark Office prepare a 
certified copy of the prior application for transmittal to the 
International Bureau (PCT Article 8 and PCT Rule 17). The fee for 
preparing a certified copy is set forth in Sec.1.19(b)(1).
    (c) If a certified copy of the priority document is not submitted 
together with the international application on filing, or, if the 
priority application was filed in the United States and a request and 
appropriate payment for preparation of such a certified copy do not 
accompany the international application on filing or are not filed 
within 16 months of the priority date, the certified copy of the 
priority document must be furnished by the applicant to the 
International Bureau or to the United States Receiving Office within the 
time limit specified in PCT Rule 17.1(a).
    (d) The applicant may correct or add a priority claim in accordance 
with PCT Rule 26bis.1.

(35 U.S.C. 6; 15 U.S.C. 1113, 1123)

[43 FR 20466, May 11, 1978, as amended at 50 FR 9384, Mar. 7, 1985; 50 
FR 11366, Mar. 21, 1985; 54 FR 6903, Feb. 15, 1989; 58 FR 4345, Jan. 14, 
1993; 63 FR 29619, June 1, 1998; 66 FR 16006, Mar. 22, 2001]



Sec.1.452  Restoration of right of priority.

    (a) If the international application has an international filing 
date which is later than the expiration of the priority period as 
defined by PCT Rule 2.4 but within two months from the expiration of the 
priority period, the right of priority in the international application 
may be restored upon request if the delay in filing the international 
application within the priority period was unintentional.
    (b) A request to restore the right of priority in an international 
application under paragraph (a) of this section must be filed not later 
than two months from the expiration of the priority period and must 
include:
    (1) A notice under PCT Rule 26bis.1(a) adding the priority claim, if 
the priority claim in respect of the earlier application is not 
contained in the international application;
    (2) The petition fee as set forth in Sec.1.17(m); and
    (3) A statement that the delay in filing the international 
application within the priority period was unintentional. The Director 
may require additional information where there is a question whether the 
delay was unintentional.
    (c) If the applicant makes a request for early publication under PCT 
Article 21(2)(b), any requirement under paragraph (b) of this section 
filed after the technical preparations for international publication 
have been completed by the International Bureau shall be considered as 
not having been submitted in time.

[72 FR 51563, Sept. 10, 2007, as amended at 78 FR 62407, Oct. 21, 2013]



Sec.1.453  Transmittal of documents relating to earlier search 
or classification.

    (a) Subject to paragraph (c) of this section, where an applicant has 
requested in an international application filed with the United States 
Receiving Office pursuant to PCT Rule 4.12 that an International 
Searching Authority take into account the results of an earlier search, 
the United States Receiving Office shall prepare and transmit to the 
International Searching Authority, as applicable, a copy of the results 
of the earlier search and any earlier classification as provided under 
PCT Rule 23bis.1.

[[Page 143]]

    (b) Subject to paragraph (c) of this section, where an international 
application filed with the United States Receiving Office claims the 
priority of an earlier application filed with the USPTO in which the 
USPTO has carried out an earlier search or has classified such earlier 
application, the United States Receiving Office shall prepare and 
transmit to the International Searching Authority a copy of the results 
of any such earlier search and earlier classification as provided under 
PCT Rule 23bis.2.
    (c) The United States Receiving Office will not prepare a copy of 
the results of an earlier search or earlier classification referred to 
in paragraphs (a) and (b) of this section for transmittal to an 
International Searching Authority from an application preserved in 
confidence (Sec.1.14) unless the international application contains 
written authority granting the International Searching Authority access 
to such results. Written authority provided under this paragraph must be 
signed by:
    (1) An applicant in the international application who is also an 
applicant in the application preserved in confidence; or
    (2) A person set forth in Sec.1.14(c) permitted to grant access to 
the application preserved in confidence.

[82 FR 24252, May 26, 2017]

                             Representation



Sec.1.455  Representation in international applications.

    (a) Applicants of international applications may be represented by 
attorneys or agents registered to practice before the United States 
Patent and Trademark Office or by an applicant appointed as a common 
representative (PCT Art. 49, Rules 4.8 and 90 and Sec.11.9). If 
applicants have not appointed an attorney or agent or one of the 
applicants to represent them, and there is more than one applicant, the 
applicant first named in the request and who is entitled to file in the 
U.S. Receiving Office shall be considered to be the common 
representative of all the applicants. An attorney or agent having the 
right to practice before a national office with which an international 
application is filed and for which the United States is an International 
Searching Authority or International Preliminary Examining Authority may 
be appointed to represent the applicants in the international 
application before that authority. An attorney or agent may appoint an 
associate attorney or agent who shall also then be of record (PCT Rule 
90.1(d)). The appointment of an attorney or agent, or of a common 
representative, revokes any earlier appointment unless otherwise 
indicated (PCT Rule 90.6 (b) and (c)).
    (b) Appointment of an agent, attorney or common representative (PCT 
Rule 4.8) must be effected either in the Request form, signed by 
applicant, in the Demand form, signed by applicant, or in a separate 
power of attorney submitted either to the United States Receiving Office 
or to the International Bureau.
    (c) Powers of attorney and revocations thereof should be submitted 
to the United States Receiving Office until the issuance of the 
international search report.
    (d) The addressee for correspondence will be as indicated in section 
108 of the Administrative Instructions.

[43 FR 20466, May 11, 1978, as amended at 50 FR 5171, Feb. 6, 1985; 58 
FR 4345, Jan. 14, 1993; 68 FR 59888, Oct. 20, 2003; 69 FR 35452, June 
24, 2004]

                       Transmittal of Record Copy



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

    (a) Transmittal of the record copy of the international application 
to the International Bureau shall be made by the United States Receiving 
Office or as provided by PCT Rule 19.4.
    (b) [Reserved]
    (c) No copy of an international application may be transmitted to 
the International Bureau, a foreign Designated Office, or other foreign 
authority by the United States Receiving Office or the applicant, unless 
the applicable requirements of part 5 of this chapter have been 
satisfied.

[43 FR 20466, May 11, 1978, as amended at 50 FR 9384, Mar. 7, 1985; 63 
FR 29619, June 1, 1998]

[[Page 144]]

                                 Timing



Sec.1.465  Timing of application processing based on the priority date.

    (a) For the purpose of computing time limits under the Treaty, the 
priority date shall be defined as in PCT Art. 2(xi).
    (b) When a claimed priority date is corrected under PCT Rule 
26bis.1(a), or a priority claim is added under PCT Rule 26bis.1(a), 
withdrawn under PCT Rule 90bis.3, or considered not to have been made 
under PCT Rule 26bis.2, the priority date for the purposes of computing 
any non-expired time limits will be the filing date of the earliest 
remaining priority claim under PCT Article 8 of the international 
application, or if none, the international filing date.
    (c) When corrections under PCT Art. 11(2), Art. 14(2) or PCT Rule 
20.2(a) (i) or (iii) are timely submitted, and the date of receipt of 
such corrections falls later than one year from the claimed priority 
date or dates, the Receiving Office shall proceed under PCT Rule 
26bis.2.

[43 FR 20466, May 11, 1978, as amended at 63 FR 29619, June 1, 1998; 72 
FR 51564, Sept. 10, 2007]



Sec.1.468  Delays in meeting time limits.

    Delays in meeting time limits during international processing of 
international applications may only be excused as provided in PCT Rule 
82. For delays in meeting time limits in a national application, see 
Sec.1.137.

                               Amendments



Sec.1.471  Corrections and amendments during international processing.

    (a) Except as otherwise provided in this paragraph, all corrections 
submitted to the United States Receiving Office or United States 
International Searching Authority must be in English, in the form of 
replacement sheets in compliance with PCT Rules 10 and 11, and 
accompanied by a letter that draws attention to the differences between 
the replaced sheets and the replacement sheets. Replacement sheets are 
not required for the deletion of lines of text, the correction of simple 
typographical errors, and one addition or change of not more than five 
words per sheet. These changes may be stated in a letter and, if 
appropriate, the United States Receiving Office will make the deletion 
or transfer the correction to the international application, provided 
that such corrections do not adversely affect the clarity and direct 
reproducibility of the application (PCT Rule 26.4). Amendments that do 
not comply with PCT Rules 10 and 11.1 to 11.13 may not be entered.
    (b) Amendments of claims submitted to the International Bureau shall 
be as prescribed by PCT Rule 46.
    (c) Corrections or additions to the Request of any declarations 
under PCT Rule 4.17 should be submitted to the International Bureau as 
prescribed by PCT Rule 26ter.

[43 FR 20466, May 11, 1978, as amended at 63 FR 29619, June 1, 1998; 66 
FR 16006, Mar. 22, 2001]



Sec.1.472  Changes in person, name, or address of applicants and 
inventors.

    All requests for a change in person, name or address of applicants 
and inventor be sent to the United States Receiving Office until the 
time of issuance of the international search report. Thereafter requests 
for such changes should be submitted to the International Bureau.

[43 FR 20466, May 11, 1978. Redesignated at 52 FR 20047, May 28, 1987]

                           Unity of Invention



Sec.1.475  Unity of invention before the International Searching 
Authority, the International Preliminary Examining Authority and 
during the national stage.

    (a) An international and a national stage application shall relate 
to one invention only or to a group of inventions so linked as to form a 
single general inventive concept (``requirement of unity of 
invention''). Where a group of inventions is claimed in an application, 
the requirement of unity of invention shall be fulfilled only when there 
is a technical relationship among those inventions involving one or more 
of the same or corresponding special technical features. The expression 
``special technical features'' shall mean those

[[Page 145]]

technical features that define a contribution which each of the claimed 
inventions, considered as a whole, makes over the prior art.
    (b) An international or a national stage application containing 
claims to different categories of invention will be considered to have 
unity of invention if the claims are drawn only to one of the following 
combinations of categories:
    (1) A product and a process specially adapted for the manufacture of 
said product; or
    (2) A product and a process of use of said product; or
    (3) A product, a process specially adapted for the manufacture of 
the said product, and a use of the said product; or
    (4) A process and an apparatus or means specifically designed for 
carrying out the said process; or
    (5) A product, a process specially adapted for the manufacture of 
the said product, and an apparatus or means specifically designed for 
carrying out the said process.
    (c) If an application contains claims to more or less than one of 
the combinations of categories of invention set forth in paragraph (b) 
of this section, unity of invention might not be present.
    (d) If multiple products, processes of manufacture or uses are 
claimed, the first invention of the category first mentioned in the 
claims of the application and the first recited invention of each of the 
other categories related thereto will be considered as the main 
invention in the claims, see PCT Article 17(3)(a) and Sec.1.476(c).
    (e) The determination whether a group of inventions is so linked as 
to form a single general inventive concept shall be made without regard 
to whether the inventions are claimed in separate claims or as 
alternatives within a single claim.

[58 FR 4345, Jan. 14, 1993]



Sec.1.476  Determination of unity of invention before the International
Searching Authority.

    (a) Before establishing the international search report, the 
International Searching Authority will determine whether the 
international application complies with the requirement of unity of 
invention as set forth in Sec.1.475.
    (b) If the International Searching Authority considers that the 
international application does not comply with the requirement of unity 
of invention, it shall inform the applicant accordingly and invite the 
payment of additional fees (note Sec.1.445 and PCT Art. 17(3)(a) and 
PCT Rule 40). The applicant will be given a time period in accordance 
with PCT Rule 40.3 to pay the additional fees due.
    (c) In the case of non-compliance with unity of invention and where 
no additional fees are paid, the international search will be performed 
on the invention first mentioned (``main invention'') in the claims.
    (d) Lack of unity of invention may be directly evident before 
considering the claims in relation to any prior art, or after taking the 
prior art into consideration, as where a document discovered during the 
search shows the invention claimed in a generic or linking claim lacks 
novelty or is clearly obvious, leaving two or more claims joined thereby 
without a common inventive concept. In such a case the International 
Searching Authority may raise the objection of lack of unity of 
invention.

[43 FR 20466, May 11, 1978. Redesignated and amended at 52 FR 20048, May 
28, 1987; 58 FR 4346, Jan. 14, 1993]



Sec.1.477  Protest to lack of unity of invention before the International
Searching Authority.

    (a) If the applicant disagrees with the holding of lack of unity of 
invention by the International Searching Authority, additional fees may 
be paid under protest, accompanied by a request for refund and a 
statement setting forth reasons for disagreement or why the required 
additional fees are considered excessive, or both (PCT Rule 40.2(c)).
    (b) Protest under paragraph (a) of this section will be examined by 
the Director or the Director's designee. In the event that the 
applicant's protest is determined to be justified, the additional fees 
or a portion thereof will be refunded.
    (c) An applicant who desires that a copy of the protest and the 
decision thereon accompany the international

[[Page 146]]

search report when forwarded to the Designated Offices, may notify the 
International Searching Authority to that effect any time prior to the 
issuance of the international search report. Thereafter, such 
notification should be directed to the International Bureau (PCT Rule 
40.2(c)).

[43 FR 20466, May 11, 1978. Redesignated and amended at 52 FR 20048, May 
28, 1987]

                  International Preliminary Examination



Sec.1.480  Demand for international preliminary examination.

    (a) On the filing of a proper Demand in an application for which the 
United States International Preliminary Examining Authority is competent 
and for which the fees have been paid, the international application 
shall be the subject of an international preliminary examination. The 
preliminary examination fee (Sec.1.482(a)(1)) and the handling fee 
(Sec.1.482(b)) shall be due within the applicable time limit set forth 
in PCT Rule 57.3.
    (b) The Demand shall be made on a standardized form (PCT Rule 53). 
Copies of the printed Demand forms are available from the United States 
Patent and Trademark Office. Letters requesting printed Demand forms 
should be marked ``Mail Stop PCT.''
    (c) Withdrawal of a proper Demand prior to the start of the 
international preliminary examination will entitle applicant to a refund 
of the preliminary examination fee minus the amount of the transmittal 
fee set forth in Sec.1.445(a)(1).
    (d) The filing of a Demand shall constitute the election of all 
Contracting States which are designated and are bound by Chapter II of 
the Treaty on the international filing date (PCT Rule 53.7).
    (e) Any Demand filed after the expiration of the applicable time 
limit set forth in PCT Rule 54bis.1(a) shall be considered as if it had 
not been submitted (PCT Rule 54bis.1(b)).

[52 FR 20048, May 28, 1987, as amended at 53 FR 47810, Nov. 28, 1988; 58 
FR 4346, Jan. 14, 1993; 63 FR 29619, June 1, 1998; 67 FR 523, Jan. 4, 
2002; 68 FR 14337, Mar. 25, 2003; 68 FR 59888, Oct. 20, 2003]



Sec.1.481  Payment of international preliminary examination fees.

    (a) The handling and preliminary examination fees shall be paid 
within the time period set in PCT Rule 57.3. The handling fee or 
preliminary examination fee payable is the handling fee or preliminary 
examination fee in effect on the date of payment.
    (1) If the handling and preliminary examination fees are not paid 
within the time period set in PCT Rule 57.3, applicant will be notified 
and given one month within which to pay the deficient fees plus a late 
payment fee equal to the greater of:
    (i) Fifty percent of the amount of the deficient fees, but not 
exceeding an amount equal to double the handling fee; or
    (ii) An amount equal to the handling fee (PCT Rule 58bis.2).
    (2) The one-month time limit set in this paragraph to pay deficient 
fees may not be extended.
    (b) If the payment needed to cover the handling and preliminary 
examination fees, pursuant to paragraph (a) of this section, is not 
timely made in accordance with PCT Rule 58bis.1(d), the United States 
International Preliminary Examination Authority will declare the Demand 
to be considered as if it had not been submitted.

[63 FR 29619, June 1, 1998, as amended at 68 FR 59888, Oct. 20, 2003]



Sec.1.482  International preliminary examination and processing fees.

    (a) The following fees and charges for international preliminary 
examination are established by the director under the authority of 35 
U.S.C. 376:
    (1) The following preliminary examination fee is due on filing the 
demand:
    (i) If an international search fee as set forth in Sec.1.445(a)(2) 
has been paid on the international application to the United States 
Patent and Trademark Office as an International Searching Authority:

                     Table 1 to Paragraph (a)(1)(i)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $160.00
By a small entity (Sec. 1.27(a)).........................       320.00
By other than a small or micro entity......................       640.00
------------------------------------------------------------------------


[[Page 147]]

    (ii) If the International Searching Authority for the international 
application was an authority other than the United States Patent and 
Trademark Office:

                     Table 2 to Paragraph (a)(1)(ii)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $200.00
By a small entity (Sec. 1.27(a)).........................       400.00
By other than a small or micro entity......................       800.00
------------------------------------------------------------------------

    (2) An additional preliminary examination fee when required, per 
additional invention:

                       Table 3 to Paragraph (a)(2)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $160.00
By a small entity (Sec. 1.27(a)).........................       320.00
By other than a small or micro entity......................       640.00
------------------------------------------------------------------------

    (b) The handling fee is due on filing the demand and shall be as 
prescribed in PCT Rule 57.
    (c) Late furnishing fee for providing a sequence listing in response 
to an invitation under PCT Rule 13ter:

                        Table 4 to Paragraph (c)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $80.00
By a small entity (Sec. 1.27(a)).........................       160.00
By other than a small or micro entity......................       320.00
------------------------------------------------------------------------


[85 FR 46991, Aug. 3, 2020]



Sec.1.484  Conduct of international preliminary examination.

    (a) An international preliminary examination will be conducted to 
formulate a non-binding opinion as to whether the claimed invention has 
novelty, involves an inventive step (is non-obvious) and is industrially 
applicable.
    (b) International preliminary examination will begin in accordance 
with PCT Rule 69.1.
    (c) No international preliminary examination will be conducted on 
inventions not previously searched by an International Searching 
Authority.
    (d) The International Preliminary Examining Authority will establish 
a written opinion if any defect exists or if the claimed invention lacks 
novelty, inventive step or industrial applicability and will set a non-
extendable time limit in the written opinion for the applicant to reply.
    (e) The written opinion established by the International Searching 
Authority under PCT Rule 43bis.1 shall be considered to be a written 
opinion of the United States International Preliminary Examining 
Authority for the purposes of paragraph (d) of this section.
    (f) The International Preliminary Examining Authority may establish 
further written opinions under paragraph (d) of this section.
    (g) If no written opinion under paragraph (d) of this section is 
necessary, or if no further written opinion under paragraph (f) of this 
section is to be established, or after any written opinion and the reply 
thereto or the expiration of the time limit for reply to such written 
opinion, an international preliminary examination report will be 
established by the International Preliminary Examining Authority. One 
copy will be submitted to the International Bureau and one copy will be 
submitted to the applicant.
    (h) An applicant will be permitted a personal or telephone interview 
with the examiner, which may be requested after the filing of a Demand, 
and must be conducted during the period between the establishment of the 
written opinion and the establishment of the international preliminary 
examination report. Additional interviews may be conducted where the 
examiner determines that such additional interviews may be helpful to 
advancing the international preliminary examination procedure. A summary 
of any such personal or telephone interview must be filed by the 
applicant or, if not filed by applicant be made of record in the file by 
the examiner.
    (i) If the application whose priority is claimed in the 
international application is in a language other than English, the 
United States International Preliminary Examining Authority may, where 
the validity of the priority claim is relevant for the formulation of 
the opinion referred to in Article 33(1), invite the applicant to 
furnish an English translation of the priority document within two 
months from the date of the invitation. If the translation is not 
furnished within

[[Page 148]]

that time limit, the international preliminary report may be established 
as if the priority had not been claimed.

[52 FR 20049, May 28, 1987, as amended at 58 FR 4346, Jan. 14, 1993; 62 
FR 53199, Oct. 10, 1997; 63 FR 29619, June 1, 1998; 66 FR 16006, Mar. 
22, 2001; 68 FR 59888, Oct. 20, 2003]



Sec.1.485  Amendments by applicant during international preliminary
examination.

    The applicant may make amendments at the time of filing the Demand. 
The applicant may also make amendments within the time limit set by the 
International Preliminary Examining Authority for reply to any 
notification under Sec.1.484(b) or to any written opinion. Any such 
amendments must be made in accordance with PCT Rule 66.8.

[74 FR 31373, July 1, 2009]



Sec.1.488  Determination of unity of invention before the International
Preliminary Examining Authority.

    (a) Before establishing any written opinion or the international 
preliminary examination report, the International Preliminary Examining 
Authority will determine whether the international application complies 
with the requirement of unity of invention as set forth in Sec.1.475.
    (b) If the International Preliminary Examining Authority considers 
that the international application does not comply with the requirement 
of unity of invention, it may:
    (1) Issue a written opinion and/or an international preliminary 
examination report, in respect of the entire international application 
and indicate that unity of invention is lacking and specify the reasons 
therefor without extending an invitation to restrict or pay additional 
fees. No international preliminary examination will be conducted on 
inventions not previously searched by an International Searching 
Authority.
    (2) Invite the applicant to restrict the claims or pay additional 
fees, pointing out the categories of invention found, within a set time 
limit which will not be extended. No international preliminary 
examination will be conducted on inventions not previously searched by 
an International Searching Authority, or
    (3) If applicant fails to restrict the claims or pay additional fees 
within the time limit set for reply, the International Preliminary 
Examining Authority will issue a written opinion and/or establish an 
international preliminary examination report on the main invention and 
shall indicate the relevant facts in the said report. In case of any 
doubt as to which invention is the main invention, the invention first 
mentioned in the claims and previously searched by an International 
Searching Authority shall be considered the main invention.
    (c) Lack of unity of invention may be directly evident before 
considering the claims in relation to any prior art, or after taking the 
prior art into consideration, as where a document discovered during the 
search shows the invention claimed in a generic or linking claim lacks 
novelty or is clearly obvious, leaving two or more claims joined thereby 
without a common inventive concept. In such a case the International 
Preliminary Examining Authority may raise the objection of lack of unity 
of invention.

[52 FR 20049, May 28, 1987, as amended at 58 FR 4346, Jan. 14, 1993; 62 
FR 53200, Oct. 10, 1997]



Sec.1.489  Protest to lack of unity of invention before the 
International Preliminary Examining Authority.

    (a) If the applicant disagrees with the holding of lack of unity of 
invention by the International Preliminary Examining Authority, 
additional fees may be paid under protest, accompanied by a request for 
refund and a statement setting forth reasons for disagreement or why the 
required additional fees are considered excessive, or both.
    (b) Protest under paragraph (a) of this section will be examined by 
the Director or the Director's designee. In the event that the 
applicant's protest is determined to be justified, the additional fees 
or a portion thereof will be refunded.
    (c) An applicant who desires that a copy of the protest and the 
decision thereon accompany the international preliminary examination 
report when forwarded to the Elected Offices, may notify the 
International Preliminary Examining Authority to that effect

[[Page 149]]

any time prior to the issuance of the international preliminary 
examination report. Thereafter, such notification should be directed to 
the International Bureau.

[52 FR 20050, May 28, 1987]

                             National Stage



Sec.1.491  National stage commencement, entry, and fulfillment.

    (a) Subject to 35 U.S.C. 371(f), the national stage shall commence 
with the expiration of the applicable time limit under PCT Article 22 
(1) or (2), or under PCT Article 39(1)(a).
    (b) An international application enters the national stage when the 
applicant has filed the documents and fees required by 35 U.S.C. 
371(c)(1) and (c)(2) within the period set in Sec.1.495.
    (c) An international application fulfills the requirements of 35 
U.S.C. 371 when the national stage has commenced under 35 U.S.C. 371(b) 
or (f) and all applicable requirements of 35 U.S.C. 371 have been 
satisfied.

[67 FR 523, Jan. 4, 2002, as amended at 77 FR 48823, Aug. 14, 2012]



Sec.1.492  National stage fees.

    The following fees and charges are established for international 
applications entering the national stage under 35 U.S.C. 371:
    (a) The basic national fee for an international application entering 
the national stage under 35 U.S.C. 371:

                        Table 1 to Paragraph (a)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $80.00
By a small entity (Sec. 1.27(a)).........................       160.00
By other than a small or micro entity......................       320.00
------------------------------------------------------------------------

    (b) Search fee for an international application entering the 
national stage under 35 U.S.C. 371:
    (1) If an international preliminary examination report on the 
international application prepared by the United States International 
Preliminary Examining Authority or a written opinion on the 
international application prepared by the United States International 
Searching Authority states that the criteria of novelty, inventive step 
(non-obviousness), and industrial applicability, as defined in PCT 
Article 33(1) to (4) have been satisfied for all of the claims presented 
in the application entering the national stage:

                       Table 2 to Paragraph (b)(1)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................        $0.00
By a small entity (Sec. 1.27(a)).........................         0.00
By other than a small or micro entity......................         0.00
------------------------------------------------------------------------

    (2) If the search fee as set forth in Sec.1.445(a)(2) has been 
paid on the international application to the United States Patent and 
Trademark Office as an International Searching Authority:

                       Table 3 to Paragraph (b)(2)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $35.00
By a small entity (Sec. 1.27(a)).........................        70.00
By other than a small or micro entity......................       140.00
------------------------------------------------------------------------

    (3) If an international search report on the international 
application has been prepared by an International Searching Authority 
other than the United States International Searching Authority and is 
provided, or has been previously communicated by the International 
Bureau, to the Office:

                       Table 4 to Paragraph (b)(3)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $135.00
By a small entity (Sec. 1.27(a)).........................       270.00
By other than a small or micro entity......................       540.00
------------------------------------------------------------------------

    (4) In all situations not provided for in paragraph (b)(1), (2), or 
(3) of this section:

                       Table 5 to Paragraph (b)(4)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $175.00
By a small entity (Sec. 1.27(a)).........................       350.00
By other than a small or micro entity......................       700.00
------------------------------------------------------------------------

    (c) The examination fee for an international application entering 
the national stage under 35 U.S.C. 371:
    (1) If an international preliminary examination report on the 
international application prepared by the United States International 
Preliminary Examining Authority or a written opinion on the 
international application prepared by the United States International 
Searching Authority

[[Page 150]]

states that the criteria of novelty, inventive step (non-obviousness), 
and industrial applicability, as defined in PCT Article 33 (1) to (4) 
have been satisfied for all of the claims presented in the application 
entering the national stage:

                       Table 6 to Paragraph (c)(1)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................        $0.00
By a small entity (Sec. 1.27(a)).........................         0.00
By other than a small or micro entity......................         0.00
------------------------------------------------------------------------

    (2) In all situations not provided for in paragraph (c)(1) of this 
section:

                       Table 7 to Paragraph (c)(2)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $200.00
By a small entity (Sec. 1.27(a)).........................       400.00
By other than a small or micro entity......................       800.00
------------------------------------------------------------------------

    (d) In addition to the basic national fee, for filing or on later 
presentation at any other time of each claim in independent form in 
excess of three:

                        Table 8 to Paragraph (d)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $120.00
By a small entity (Sec. 1.27(a)).........................       240.00
By other than a small or micro entity......................       480.00
------------------------------------------------------------------------

    (e) In addition to the basic national fee, for filing or on later 
presentation at any other time of each claim (whether dependent or 
independent) in excess of 20 (note that Sec.1.75(c) indicates how 
multiple dependent claims are considered for fee calculation purposes):

                        Table 9 to Paragraph (e)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $25.00
By a small entity (Sec. 1.27(a)).........................        50.00
By other than a small or micro entity......................       100.00
------------------------------------------------------------------------

    (f) In addition to the basic national fee, if the application 
contains, or is amended to contain, a multiple dependent claim, per 
application:

                        Table 10 to Paragraph (f)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $215.00
By a small entity (Sec. 1.27(a)).........................       430.00
By other than a small or micro entity......................       860.00
------------------------------------------------------------------------

    (g) If the excess claims fees required by paragraphs (d) and (e) of 
this section and multiple dependent claim fee required by paragraph (f) 
of this section are not paid with the basic national fee or on later 
presentation of the claims for which excess claims or multiple dependent 
claim fees are due, the fees required by paragraphs (d), (e), and (f) of 
this section 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 in order to avoid abandonment.
    (h) Surcharge for filing the search fee, the examination fee, or the 
oath or declaration after the date of the commencement of the national 
stage (Sec.1.491(a)) pursuant to Sec.1.495(c):

                        Table 11 to Paragraph (h)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $40.00
By a small entity (Sec. 1.27(a)).........................        80.00
By other than a small or micro entity......................       160.00
------------------------------------------------------------------------

    (i) For filing an English translation of an international 
application or any annexes to an international preliminary examination 
report later than thirty months after the priority date (Sec.1.495(c) 
and (e)):

                        Table 12 to Paragraph (i)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $35.00
By a small entity (Sec. 1.27(a)).........................        70.00
By other than a small or micro entity......................       140.00
------------------------------------------------------------------------

    (j) Application size fee for any international application, the 
specification and drawings of which exceed 100 sheets of paper, for each 
additional 50 sheets or fraction thereof:

                        Table 13 to Paragraph (j)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $105.00
By a small entity (Sec. 1.27(a)).........................       210.00
By other than a small or micro entity......................       420.00
------------------------------------------------------------------------


[78 FR 4290, Jan. 18, 2013, as amended at 82 FR 52816, Nov. 14, 2017; 85 
FR 46991, Aug. 3, 2020]



Sec.1.495  Entering the national stage in the United States of America.

    (a) The applicant in an international application must fulfill the 
requirements of 35 U.S.C. 371 within the time periods set forth in 
paragraphs (b) and (c) of this section in order to prevent

[[Page 151]]

the abandonment of the international application as to the United States 
of America. The thirty-month time period set forth in paragraphs (b), 
(c), (d), (e) and (h) of this section may not be extended.
    (b) To avoid abandonment of the application, the applicant shall 
furnish to the United States Patent and Trademark Office not later than 
the expiration of thirty months from the priority date:
    (1) A copy of the international application, unless it has been 
previously communicated by the International Bureau or unless it was 
originally filed in the United States Patent and Trademark Office; and
    (2) The basic national fee (see Sec.1.492(a)).
    (c)(1) If applicant complies with paragraph (b) of this section 
before expiration of thirty months from the priority date, the Office 
will notify the applicant if he or she has omitted any of:
    (i) A translation of the international application, as filed, into 
the English language, if it was originally filed in another language and 
if any English language translation of the publication of the 
international application previously submitted under 35 U.S.C. 154(d) 
(Sec.1.417) is not also a translation of the international application 
as filed (35 U.S.C. 371(c)(2));
    (ii) The inventor's oath or declaration (35 U.S.C. 371(c)(4) and 
Sec.1.497), if a declaration of inventorship in compliance with Sec.
1.63 has not been previously submitted in the international application 
under PCT Rule 4.17(iv) within the time limits provided for in PCT Rule 
26ter.1;
    (iii) The search fee set forth in Sec.1.492(b);
    (iv) The examination fee set forth in Sec.1.492(c); and
    (v) Any application size fee required by Sec.1.492(j).
    (2) A notice under paragraph (c)(1) of this section will set a time 
period within which applicant must provide any omitted translation, 
search fee set forth in Sec.1.492(b), examination fee set forth in 
Sec.1.492(c), and any application size fee required by Sec.1.492(j) 
in order to avoid abandonment of the application.
    (3) The inventor's oath or declaration must also be filed within the 
period specified in paragraph (c)(2) of this section, except that the 
filing of the inventor's oath or declaration may be postponed until the 
application is otherwise in condition for allowance under the conditions 
specified in paragraphs (c)(3)(i) through (c)(3)(iii) of this section.
    (i) The application contains an application data sheet in accordance 
with Sec.1.76 filed prior to the expiration of the time period set in 
any notice under paragraph (c)(1) identifying:
    (A) Each inventor by his or her legal name;
    (B) A mailing address where the inventor customarily receives mail, 
and residence, if an inventor lives at a location which is different 
from where the inventor customarily receives mail, for each inventor.
    (ii) The applicant must file each required oath or declaration in 
compliance with Sec.1.63, or substitute statement in compliance with 
Sec.1.64, no later than the date on which the issue fee for the patent 
is paid. If the applicant is notified in a notice of allowability that 
an oath or declaration in compliance with Sec.1.63, or substitute 
statement in compliance with Sec.1.64, executed by or with respect to 
each named inventor has not been filed, the applicant must file each 
required oath or declaration in compliance with Sec.1.63, or 
substitute statement in compliance with Sec.1.64, no later than the 
date on which the issue fee is paid to avoid abandonment. This time 
period is not extendable under Sec.1.136 (see Sec.1.136(c)). The 
Office may dispense with the notice provided for in paragraph (c)(1) of 
this section if each required oath or declaration in compliance with 
Sec.1.63, or substitute statement in compliance with Sec.1.64, has 
been filed before the application is in condition for allowance.
    (iii) An international application in which the basic national fee 
under 35 U.S.C. 41(a)(1)(F) has been paid and for which an application 
data sheet in accordance with Sec.1.76 has been filed may be treated 
as complying with 35 U.S.C. 371 for purposes of eighteen-month 
publication under 35 U.S.C. 122(b) and Sec.1.211 et seq.
    (4) The payment of the processing fee set forth in Sec.1.492(i) is 
required for acceptance of an English translation

[[Page 152]]

later than the expiration of thirty months after the priority date. The 
payment of the surcharge set forth in Sec.1.492(h) is required for 
acceptance of any of the search fee, the examination fee, or the 
inventor's oath or declaration after the date of the commencement of the 
national stage (Sec.1.491(a)).
    (5) A ``Sequence Listing'' need not be translated if the ``Sequence 
Listing'' complies with PCT Rule 12.1(d) and the description complies 
with PCT Rule 5.2(b).
    (d) A copy of any amendments to the claims made under PCT Article 
19, and a translation of those amendments into English, if they were 
made in another language, must be furnished not later than the 
expiration of thirty months from the priority date. Amendments under PCT 
Article 19 which are not received by the expiration of thirty months 
from the priority date will be considered to be canceled.
    (e) A translation into English of any annexes to an international 
preliminary examination report (if applicable), if the annexes were made 
in another language, must be furnished not later than the expiration of 
thirty months from the priority date. Translations of the annexes which 
are not received by the expiration of thirty months from the priority 
date may be submitted within any period set pursuant to paragraph (c) of 
this section accompanied by the processing fee set forth in Sec.
1.492(f). Annexes for which translations are not timely received will be 
considered canceled.
    (f) Verification of the translation of the international application 
or any other document pertaining to an international application may be 
required where it is considered necessary, if the international 
application or other document was filed in a language other than 
English.
    (g) The documents and fees submitted under paragraphs (b) and (c) of 
this section must be identified as a submission to enter the national 
stage under 35 U.S.C. 371. If the documents and fees contain conflicting 
indications as between an application under 35 U.S.C. 111 and a 
submission to enter the national stage under 35 U.S.C. 371, the 
documents and fees will be treated as a submission to enter the national 
stage under 35 U.S.C. 371.
    (h) An international application becomes abandoned as to the United 
States thirty months from the priority date if the requirements of 
paragraph (b) of this section have not been complied with within thirty 
months from the priority date.

[52 FR 20051, May 28, 1987, as amended at 58 FR 4347, Jan. 14, 1993; 63 
FR 29620, June 1, 1998; 65 FR 57060, Sept. 20, 2000; 67 FR 523, Jan. 4, 
2002; 68 FR 71007, Dec. 22, 2003; 70 FR 3892, Jan. 27, 2005; 70 FR 
30365, May 26, 2005; 72 FR 46843, Aug. 21, 2007; 74 FR 52691, Oct. 14, 
2009; 77 FR 48824, Aug. 14, 2012; 78 FR 62407, Oct. 21, 2013]



Sec.1.496  Examination of international applications in the national
stage.

    National stage applications having paid therein the search fee as 
set forth in Sec.1.492(b)(1) and examination fee as set forth in Sec.
1.492(c)(1) may be amended subsequent to the date of commencement of 
national stage processing only to the extent necessary to eliminate 
objections as to form or to cancel rejected claims. Such national stage 
applications will be advanced out of turn for examination.

[77 FR 48824, Aug. 14, 2012]



Sec.1.497  Inventor's oath or declaration under 35 U.S.C. 371(c)(4).

    (a) When an applicant of an international application desires to 
enter the national stage under 35 U.S.C. 371 pursuant to Sec.1.495, 
and a declaration in compliance with Sec.1.63 has not been previously 
submitted in the international application under PCT Rule 4.17(iv) 
within the time limits provided for in PCT Rule 26ter.1, the applicant 
must file the inventor's oath or declaration. The inventor, or each 
individual who is a joint inventor of a claimed invention, in an 
application for patent must execute an oath or declaration in accordance 
with the conditions and requirements of Sec.1.63, except as provided 
for in Sec.1.64.
    (b) An oath or declaration under Sec.1.63 will be accepted as 
complying with 35 U.S.C. 371(c)(4) if it complies with the requirements 
of Sec. Sec.1.63(a), (c) and (g). A substitute statement under Sec.
1.64 will be accepted as complying with 35 U.S.C. 371(c)(4) if it 
complies with the

[[Page 153]]

requirements of Sec. Sec.1.64(b)(1), (c) and (e) and identifies the 
person executing the substitute statement. If a newly executed 
inventor's oath or declaration under Sec.1.63 or substitute statement 
under Sec.1.64 is not required pursuant to Sec.1.63(d), submission 
of the copy of the previously executed oath, declaration, or substitute 
statement under Sec.1.63(d)(1) is required to comply with 35 U.S.C. 
371(c)(4).
    (c) If an oath or declaration under Sec.1.63, or substitute 
statement under Sec.1.64, meeting the requirements of Sec.1.497(b) 
does not also meet the requirements of Sec.1.63 or Sec.1.64, an 
oath, declaration, substitute statement, or application data sheet in 
accordance with Sec.1.76 to comply with Sec.1.63 or Sec.1.64 will 
be required.

[77 FR 48824, Aug. 14, 2012]



Sec.1.499  Unity of invention during the national stage.

    If the examiner finds that a national stage application lacks unity 
of invention under Sec.1.475, the examiner may in an Office action 
require the applicant in the response to that action to elect the 
invention to which the claims shall be restricted. Such requirement may 
be made before any action on the merits but may be made at any time 
before the final action at the discretion of the examiner. Review of any 
such requirement is provided under Sec. Sec.1.143 and 1.144.

[58 FR 4347, Jan. 14, 1993]



               Subpart D_Ex Parte Reexamination of Patents

    Source: 46 FR 29185, May 29, 1981, unless otherwise noted.

              Citation of Prior Art and Written Statements



Sec.1.501  Citation of prior art and written statements in patent files.

    (a) Information content of submission: At any time during the period 
of enforceability of a patent, any person may file a written submission 
with the Office under this section, which is directed to the following 
information:
    (1) Prior art consisting of patents or printed publications which 
the person making the submission believes to have a bearing on the 
patentability of any claim of the patent; or
    (2) Statements of the patent owner filed by the patent owner in a 
proceeding before a Federal court or the Office in which the patent 
owner took a position on the scope of any claim of the patent. Any 
statement submitted under this paragraph must be accompanied by any 
other documents, pleadings, or evidence from the proceeding in which the 
statement was filed that address the written statement, and such 
statement and accompanying information under this paragraph must be 
submitted in redacted form to exclude information subject to an 
applicable protective order.
    (3) Submissions under paragraph (a)(2) of this section must 
identify:
    (i) The forum and proceeding in which patent owner filed each 
statement;
    (ii) The specific papers and portions of the papers submitted that 
contain the statements; and
    (iii) How each statement submitted is a statement in which patent 
owner took a position on the scope of any claim in the patent.
    (b) Explanation: A submission pursuant to paragraph (a) of this 
section:
    (1) Must include an explanation in writing of the pertinence and 
manner of applying any prior art submitted under paragraph (a)(1) of 
this section and any written statement and accompanying information 
submitted under paragraph (a)(2) of this section to at least one claim 
of the patent, in order for the submission to become a part of the 
official file of the patent; and
    (2) May, if the submission is made by the patent owner, include an 
explanation of how the claims differ from any prior art submitted under 
paragraph (a)(1) of this section or any written statements and 
accompanying information submitted under paragraph (a)(2) of this 
section.
    (c) Reexamination pending: If a reexamination proceeding has been 
requested and is pending for the patent in which the submission is 
filed, entry of the submission into the official file of the patent is 
subject to the provisions of Sec. Sec.1.502 and 1.902.

[[Page 154]]

    (d) Identity: If the person making the submission wishes his or her 
identity to be excluded from the patent file and kept confidential, the 
submission papers must be submitted anonymously without any 
identification of the person making the submission.
    (e) Certificate of Service: A submission under this section by a 
person other than the patent owner must include a certification that a 
copy of the submission was served in its entirety upon patent owner at 
the address as provided for in Sec.1.33 (c). A submission by a person 
other than the patent owner that fails to include proper proof of 
service as required by Sec.1.248(b) will not be entered into the 
patent file.

[77 FR 46626, Aug. 6, 2012]



Sec.1.502  Processing of prior art citations during an ex parte
reexamination proceeding.

    Citations by the patent owner under Sec.1.555 and by an ex parte 
reexamination requester under either Sec.1.510 or Sec.1.535 will be 
entered in the reexamination file during a reexamination proceeding. The 
entry in the patent file of citations submitted after the date of an 
order to reexamine pursuant to Sec.1.525 by persons other than the 
patent owner, or an ex parte reexamination requester under either Sec.
1.510 or Sec.1.535, will be delayed until the reexamination proceeding 
has been concluded by the issuance and publication of a reexamination 
certificate. See Sec.1.902 for processing of prior art citations in 
patent and reexamination files during an inter partes reexamination 
proceeding filed under Sec.1.913.

[72 FR 18905, Apr. 16, 2007]

                   Request for Ex Parte Reexamination



Sec.1.510  Request for ex parte reexamination.

    (a) Any person may, at any time during the period of enforceability 
of a patent, file a request for an ex parte reexamination by the Office 
of any claim of the patent on the basis of prior art patents or printed 
publications cited under Sec.1.501, unless prohibited by 35 U.S.C. 
315(e)(1) or 35 U.S.C. 325(e)(1). The request must be accompanied by the 
fee for requesting reexamination set in Sec.1.20(c)(1).
    (b) Any request for reexamination must include the following parts:
    (1) A statement pointing out each substantial new question of 
patentability based on prior patents and printed publications.
    (2) An identification of every claim for which reexamination is 
requested, and a detailed explanation of the pertinency and manner of 
applying the cited prior art to every claim for which reexamination is 
requested. For each statement of the patent owner and accompanying 
information submitted pursuant to Sec.1.501(a)(2) which is relied upon 
in the detailed explanation, the request must explain how that statement 
is being used to determine the proper meaning of a patent claim in 
connection with the prior art applied to that claim and how each 
relevant claim is being interpreted. If appropriate, the party 
requesting reexamination may also point out how claims distinguish over 
cited prior art.
    (3) A copy of every patent or printed publication relied upon or 
referred to in paragraph (b) (1) and (2) of this section accompanied by 
an English language translation of all the necessary and pertinent parts 
of any non-English language patent or printed publication.
    (4) A copy of the entire patent including the front face, drawings, 
and specification/claims (in double column format) for which 
reexamination is requested, and a copy of any disclaimer, certificate of 
correction, or reexamination certificate issued in the patent. All 
copies must have each page plainly written on only one side of a sheet 
of paper.
    (5) A certification that a copy of the request filed by a person 
other than the patent owner has been served in its entirety on the 
patent owner at the address as provided for in Sec.1.33(c). The name 
and address of the party served must be indicated. If service was not 
possible, a duplicate copy must be supplied to the Office.
    (6) A certification by the third party requester that the statutory 
estoppel provisions of 35 U.S.C. 315(e)(1) or 35 U.S.C. 325(e)(1) do not 
prohibit the requester from filing the ex parte reexamination request.

[[Page 155]]

    (c) If the request does not include the fee for requesting ex parte 
reexamination required by paragraph (a) of this section and meet all the 
requirements by paragraph (b) of this section, then the person 
identified as requesting reexamination will be so notified and will 
generally be given an opportunity to complete the request within a 
specified time. Failure to comply with the notice will result in the ex 
parte reexamination request not being granted a filing date, and will 
result in placement of the request in the patent file as a citation if 
it complies with the requirements of Sec.1.501.
    (d) The filing date of the request for ex parte reexamination is the 
date on which the request satisfies all the requirements of this 
section.
    (e) A request filed by the patent owner may include a proposed 
amendment in accordance with Sec.1.530.
    (f) If a request is filed by an attorney or agent identifying 
another party on whose behalf the request is being filed, the attorney 
or agent must have a power of attorney from that party or be acting in a 
representative capacity pursuant to Sec.1.34.

(35 U.S.C. 6; 15 U.S.C. 1113, 1123)

[46 FR 29185, May 29, 1981, as amended at 47 FR 41282, Sept. 17, 1982; 
62 FR 53200, Oct. 10, 1997; 65 FR 54678, Sept. 8, 2000; 65 FR 76775, 
Dec. 7, 2000; 71 FR 9262, Feb. 23, 2006; 71 FR 44223, Aug. 4, 2006; 72 
FR 18905, Apr. 16, 2007; 77 FR 46626, Aug. 6, 2012]



Sec.1.515  Determination of the request for ex parte reexamination.

    (a) Within three months following the filing date of a request for 
an ex parte reexamination, an examiner will consider the request and 
determine whether or not a substantial new question of patentability 
affecting any claim of the patent is raised by the request and the prior 
art cited therein, with or without consideration of other patents or 
printed publications. A statement and any accompanying information 
submitted pursuant to Sec.1.501(a)(2) will not be considered by the 
examiner when making a determination on the request. The examiner's 
determination will be based on the claims in effect at the time of the 
determination, will become a part of the official file of the patent, 
and will be given or mailed to the patent owner at the address provided 
for in Sec.1.33(c) and to the person requesting reexamination.
    (b) Where no substantial new question of patentability has been 
found, a refund of a portion of the fee for requesting ex parte 
reexamination will be made to the requester in accordance with Sec.
1.26(c).
    (c) The requester may seek review by a petition to the Director 
under Sec.1.181 within one month of the mailing date of the examiner's 
determination refusing ex parte reexamination. Any such petition must 
comply with Sec.1.181(b). If no petition is timely filed or if the 
decision on petition affirms that no substantial new question of 
patentability has been raised, the determination shall be final and 
nonappealable.

[65 FR 76775, Dec. 7, 2000, as amended at 77 FR 46626, Aug. 6, 2012]



Sec.1.520  Ex parte reexamination at the initiative of the Director.

    The Director, at any time during the period of enforceability of a 
patent, may determine whether or not a substantial new question of 
patentability is raised by patents or printed publications which have 
been discovered by the Director or which have been brought to the 
Director's attention, even though no request for reexamination has been 
filed in accordance with Sec.1.510 or Sec.1.913. The Director may 
initiate ex parte reexamination without a request for reexamination 
pursuant to Sec.1.510 or Sec.1.913. Normally requests from outside 
the Office that the Director undertake reexamination on his own 
initiative will not be considered. Any determination to initiate ex 
parte reexamination under this section will become a part of the 
official file of the patent and will be mailed to the patent owner at 
the address as provided for in Sec.1.33(c).

[65 FR 76775, Dec. 7, 2000]

                         Ex Parte Reexamination



Sec.1.525  Order for ex parte reexamination.

    (a) If a substantial new question of patentability is found pursuant 
to Sec.1.515 or Sec.1.520, the determination will

[[Page 156]]

include an order for ex parte reexamination of the patent for resolution 
of the question. If the order for ex parte reexamination resulted from a 
petition pursuant to Sec.1.515(c), the ex parte reexamination will 
ordinarily be conducted by an examiner other than the examiner 
responsible for the initial determination under Sec.1.515(a).
    (b) The notice published in the Official Gazette under Sec.1.11(c) 
will be considered to be constructive notice and ex parte reexamination 
will proceed.

[65 FR 76775, Dec. 7, 2000]



Sec.1.530  Statement by patent owner in ex parte reexamination; 
amendment by patent owner in ex parte or inter partes reexamination;
inventorship change in exparte or inter partes reexamination.

    (a) Except as provided in Sec.1.510(e), no statement or other 
response by the patent owner in an ex parte reexamination proceeding 
shall be filed prior to the determinations made in accordance with Sec.
1.515 or Sec.1.520. If a premature statement or other response is 
filed by the patent owner, it will not be acknowledged or considered in 
making the determination, and it will be returned or discarded (at the 
Office's option).
    (b) The order for ex parte reexamination will set a period of not 
less than two months from the date of the order within which the patent 
owner may file a statement on the new question of patentability, 
including any proposed amendments the patent owner wishes to make.
    (c) Any statement filed by the patent owner shall clearly point out 
why the subject matter as claimed is not anticipated or rendered obvious 
by the prior art patents or printed publications, either alone or in any 
reasonable combinations. Where the reexamination request was filed by a 
third party requester, any statement filed by the patent owner must be 
served upon the ex parte reexamination requester in accordance with 
Sec.1.248.
    (d) Making amendments in a reexamination proceeding. A proposed 
amendment in an ex parte or an inter partes reexamination proceeding is 
made by filing a paper directing that proposed specified changes be made 
to the patent specification, including the claims, or to the drawings. 
An amendment paper directing that proposed specified changes be made in 
a reexamination proceeding may be submitted as an accompaniment to a 
request filed by the patent owner in accordance with Sec.1.510(e), as 
part of a patent owner statement in accordance with paragraph (b) of 
this section, or, where permitted, during the prosecution of the 
reexamination proceeding pursuant to Sec.1.550(a) or Sec.1.937.
    (1) Specification other than the claims. Changes to the 
specification, other than to the claims, must be made by submission of 
the entire text of an added or rewritten paragraph including markings 
pursuant to paragraph (f) of this section, except that an entire 
paragraph may be deleted by a statement deleting the paragraph, without 
presentation of the text of the paragraph. The precise point in the 
specification must be identified where any added or rewritten paragraph 
is located. This paragraph applies whether the amendment is submitted on 
paper or compact disc (see Sec. Sec.1.96 and 1.825).
    (2) Claims. An amendment paper must include the entire text of each 
patent claim which is being proposed to be changed by such amendment 
paper and of each new claim being proposed to be added by such amendment 
paper. For any claim changed by the amendment paper, a parenthetical 
expression ``amended,'' ``twice amended,'' etc., should follow the claim 
number. Each patent claim proposed to be changed and each proposed added 
claim must include markings pursuant to paragraph (f) of this section, 
except that a patent claim or proposed added claim should be canceled by 
a statement canceling the claim, without presentation of the text of the 
claim.
    (3) Drawings. Any change to the patent drawings must be submitted as 
a sketch on a separate paper showing the proposed changes in red for 
approval by the examiner. Upon approval of the changes by the examiner, 
only new sheets of drawings including the changes and in compliance with 
Sec.1.84 must be filed. Amended figures must be identified as 
``Amended,'' and any added figure must be identified as

[[Page 157]]

``New.'' In the event a figure is canceled, the figure must be 
surrounded by brackets and identified as ``Canceled.''
    (4) The formal requirements for papers making up the reexamination 
proceeding other than those set forth in this section are set out in 
Sec.1.52.
    (e) Status of claims and support for claim changes. Whenever there 
is an amendment to the claims pursuant to paragraph (d) of this section, 
there must also be supplied, on pages separate from the pages containing 
the changes, the status (i.e., pending or canceled), as of the date of 
the amendment, of all patent claims and of all added claims, and an 
explanation of the support in the disclosure of the patent for the 
changes to the claims made by the amendment paper.
    (f) Changes shown by markings. Any changes relative to the patent 
being reexamined which are made to the specification, including the 
claims, must include the following markings:
    (1) The matter to be omitted by the reexamination proceeding must be 
enclosed in brackets; and
    (2) The matter to be added by the reexamination proceeding must be 
underlined.
    (g) Numbering of patent claims preserved. Patent claims may not be 
renumbered. The numbering of any claims added in the reexamination 
proceeding must follow the number of the highest numbered patent claim.
    (h) Amendment of disclosure may be required. The disclosure must be 
amended, when required by the Office, to correct inaccuracies of 
description and definition, and to secure substantial correspondence 
between the claims, the remainder of the specification, and the 
drawings.
    (i) Amendments made relative to patent. All amendments must be made 
relative to the patent specification, including the claims, and 
drawings, which are in effect as of the date of filing the request for 
reexamination.
    (j) No enlargement of claim scope. No amendment may enlarge the 
scope of the claims of the patent or introduce new matter. No amendment 
may be proposed for entry in an expired patent. Moreover, no amendment, 
other than the cancellation of claims, will be incorporated into the 
patent by a certificate issued after the expiration of the patent.
    (k) Amendments not effective until certificate. Although the Office 
actions will treat proposed amendments as though they have been entered, 
the proposed amendments will not be effective until the reexamination 
certificate is issued and published.
    (l) Correction of inventorship in an ex parte or inter partes 
reexamination proceeding.  (1) When it appears in a patent being 
reexamined that the correct inventor or inventors were not named, the 
Director may, on petition of all the parties set forth in Sec.
1.324(b)(1) and (b)(2), including the assignees, and satisfactory proof 
of the facts and payment of the fee set forth in Sec.1.20(b), or on 
order of a court before which such matter is called in question, include 
in the reexamination certificate to be issued under Sec.1.570 or Sec.
1.997 an amendment naming only the actual inventor or inventors. The 
petition must be submitted as part of the reexamination proceeding and 
must satisfy the requirements of Sec.1.324.
    (2) Notwithstanding paragraph (l)(1) of this section, if a petition 
to correct inventorship satisfying the requirements of Sec.1.324 is 
filed in a reexamination proceeding, and the reexamination proceeding is 
concluded other than by a reexamination certificate under Sec.1.570 or 
Sec.1.997, a certificate of correction indicating the change of 
inventorship stated in the petition will be issued upon request by the 
patentee.

[46 FR 29185, May 29, 1981, as amended at 62 FR 53200, Oct. 10, 1997; 65 
FR 54678, Sept. 8, 2000; 65 FR 76775, Dec. 7, 2000; 72 FR 18905, Apr. 
16, 2007; 77 FR 48825, Aug. 14, 2012]



Sec.1.535  Reply by third party requester in ex parte reexamination.

    A reply to the patent owner's statement under Sec.1.530 may be 
filed by the ex parte reexamination requester within two months from the 
date of service of the patent owner's statement. Any reply by the ex 
parte requester must be served upon the patent owner in accordance with 
Sec.1.248. If the patent owner does not file a statement under Sec.
1.530, no reply or other submission from the ex parte reexamination 
requester will be considered.

[65 FR 76776, Dec. 7, 2000]

[[Page 158]]



Sec.1.540  Consideration of responses in ex parte reexamination.

    The failure to timely file or serve the documents set forth in Sec.
1.530 or in Sec.1.535 may result in their being refused consideration. 
No submissions other than the statement pursuant to Sec.1.530 and the 
reply by the ex parte reexamination requester pursuant to Sec.1.535 
will be considered prior to examination.

[65 FR 76776, Dec. 7, 2000]



Sec.1.550  Conduct of ex parte reexamination proceedings.

    (a) All ex parte reexamination proceedings, including any appeals to 
the Board of Patent Appeals and Interferences, will be conducted with 
special dispatch within the Office. After issuance of the ex parte 
reexamination order and expiration of the time for submitting any 
responses, the examination will be conducted in accordance with 
Sec. Sec.1.104 through 1.116 and will result in the issuance of an ex 
parte reexamination certificate under Sec.1.570.
    (b) The patent owner in an ex parte reexamination proceeding will be 
given at least thirty days to respond to any Office action. In response 
to any rejection, such response may include further statements and/or 
proposed amendments or new claims to place the patent in a condition 
where all claims, if amended as proposed, would be patentable.
    (c) The time for taking any action by a patent owner in an ex parte 
reexamination proceeding may be extended as provided in this paragraph.
    (1) Any request for such an extension must specify the requested 
period of extension and be accompanied by the petition fee set forth in 
Sec.1.17(g).
    (2) Any request for an extension in a third party requested ex parte 
reexamination must be filed on or before the day on which action by the 
patent owner is due, and the mere filing of such a request for extension 
will not effect the extension. A request for an extension in a third 
party requested ex parte reexamination will not be granted in the 
absence of sufficient cause or for more than a reasonable time.
    (3) Any request for an extension in a patent owner requested or 
Director ordered ex parte reexamination for up to two months from the 
time period set in the Office action must be filed no later than two 
months from the expiration of the time period set in the Office action. 
A request for an extension in a patent owner requested or Director 
ordered ex parte reexamination for more than two months from the time 
period set in the Office action must be filed on or before the day on 
which action by the patent owner is due, and the mere filing of a 
request for an extension for more than two months from the time period 
set in the Office action will not effect the extension. The time for 
taking action in a patent owner requested or Director ordered ex parte 
reexamination will not be extended for more than two months from the 
time period set in the Office action in the absence of sufficient cause 
or for more than a reasonable time.
    (4) The reply or other action must in any event be filed prior to 
the expiration of the period of extension, but in no situation may a 
reply or other action be filed later than the maximum time period set by 
statute.
    (5) See Sec.90.3(c) of this title for extensions of time for 
filing a notice of appeal to the U.S. Court of Appeals for the Federal 
Circuit or for commencing a civil action.
    (d) If the patent owner fails to file a timely and appropriate 
response to any Office action or any written statement of an interview 
required under Sec.1.560(b), the prosecution in the ex parte 
reexamination proceeding will be a terminated prosecution, and the 
Director will proceed to issue and publish a certificate concluding the 
reexamination proceeding under Sec.1.570 in accordance with the last 
action of the Office.
    (e) If a response by the patent owner is not timely filed in the 
Office, a petition may be filed pursuant to Sec.1.137 to revive a 
reexamination prosecution terminated under paragraph (d) of this section 
if the delay in response was unintentional.
    (f) The reexamination requester will be sent copies of Office 
actions issued during the ex parte reexamination proceeding. After 
filing of a request for ex parte reexamination by a third party 
requester, any document filed by either

[[Page 159]]

the patent owner or the third party requester must be served on the 
other party in the reexamination proceeding in the manner provided by 
Sec.1.248. The document must reflect service or the document may be 
refused consideration by the Office.
    (g) The active participation of the ex parte reexamination requester 
ends with the reply pursuant to Sec.1.535, and no further submissions 
on behalf of the reexamination requester will be acknowledged or 
considered. Further, no submissions on behalf of any third parties will 
be acknowledged or considered unless such submissions are:
    (1) in accordance with Sec.1.510 or Sec.1.535; or
    (2) entered in the patent file prior to the date of the order for ex 
parte reexamination pursuant to Sec.1.525.
    (h) Submissions by third parties, filed after the date of the order 
for ex parte reexamination pursuant to Sec.1.525, must meet the 
requirements of and will be treated in accordance with Sec.1.501(a).
    (i) A petition in an ex parte reexamination proceeding must be 
accompanied by the fee set forth in Sec.1.20(c)(6), except for 
petitions under paragraph (c) of this section to extend the period for 
response by a patent owner, petitions under paragraph (e) of this 
section to accept a delayed response by a patent owner, petitions under 
Sec.1.78 to accept an unintentionally delayed benefit claim, and 
petitions under Sec.1.530(l) for correction of inventorship in a 
reexamination proceeding.

[65 FR 76776, Dec. 7, 2000, as amended at 69 FR 56545, Sept. 21, 2004; 
72 FR 18905, Apr. 16, 2007; 77 FR 48851, Aug. 14, 2012; 78 FR 62407, 
Oct. 21, 2013]



Sec.1.552  Scope of reexamination in ex parte reexamination proceedings.

    (a) Claims in an ex parte reexamination proceeding will be examined 
on the basis of patents or printed publications and, with respect to 
subject matter added or deleted in the reexamination proceeding, on the 
basis of the requirements of 35 U.S.C. 112.
    (b) Claims in an ex parte reexamination proceeding will not be 
permitted to enlarge the scope of the claims of the patent.
    (c) Issues other than those indicated in paragraphs (a) and (b) of 
this section will not be resolved in a reexamination proceeding. If such 
issues are raised by the patent owner or third party requester during a 
reexamination proceeding, the existence of such issues will be noted by 
the examiner in the next Office action, in which case the patent owner 
may consider the advisability of filing a reissue application to have 
such issues considered and resolved.
    (d) Any statement of the patent owner and any accompanying 
information submitted pursuant to Sec.1.501(a)(2) which is of record 
in the patent being reexamined (which includes any reexamination files 
for the patent) may be used after a reexamination proceeding has been 
ordered to determine the proper meaning of a patent claim when applying 
patents or printed publications.


[65 FR 76776, Dec. 7, 2000, as amended at 77 FR 46627, Aug. 6, 2012]



Sec.1.555  Information material to patentability in ex parte 
reexamination and inter partes reexamination proceedings.

    (a) A patent by its very nature is affected with a public interest. 
The public interest is best served, and the most effective reexamination 
occurs when, at the time a reexamination proceeding is being conducted, 
the Office is aware of and evaluates the teachings of all information 
material to patentability in a reexamination proceeding. Each individual 
associated with the patent owner in a reexamination proceeding has a 
duty of candor and good faith in dealing with the Office, which includes 
a duty to disclose to the Office all information known to that 
individual to be material to patentability in a reexamination 
proceeding. The individuals who have a duty to disclose to the Office 
all information known to them to be material to patentability in a 
reexamination proceeding are the patent owner, each attorney or agent 
who represents the patent owner, and every other individual who is 
substantively involved on behalf of the patent owner in a reexamination 
proceeding. The duty to disclose the information exists with respect to 
each

[[Page 160]]

claim pending in the reexamination proceeding until the claim is 
cancelled. Information material to the patentability of a cancelled 
claim need not be submitted if the information is not material to 
patentability of any claim remaining under consideration in the 
reexamination proceeding. The duty to disclose all information known to 
be material to patentability in a reexamination proceeding is deemed to 
be satisfied if all information known to be material to patentability of 
any claim in the patent after issuance of the reexamination certificate 
was cited by the Office or submitted to the Office in an information 
disclosure statement. However, the duties of candor, good faith, and 
disclosure have not been complied with if any fraud on the Office was 
practiced or attempted or the duty of disclosure was violated through 
bad faith or intentional misconduct by, or on behalf of, the patent 
owner in the reexamination proceeding. Any information disclosure 
statement must be filed with the items listed in Sec.1.98(a) as 
applied to individuals associated with the patent owner in a 
reexamination proceeding, and should be filed within two months of the 
date of the order for reexamination, or as soon thereafter as possible.
    (b) Under this section, information is material to patentability in 
a reexamination proceeding when it is not cumulative to information of 
record or being made of record in the reexamination proceeding, and
    (1) It is a patent or printed publication that establishes, by 
itself or in combination with other patents or printed publications, a 
prima facie case of unpatentability of a claim; or
    (2) It refutes, or is inconsistent with, a position the patent owner 
takes in:
    (i) Opposing an argument of unpatentability relied on by the Office, 
or
    (ii) Asserting an argument of patentability.

A prima facie case of unpatentability of a claim pending in a 
reexamination proceeding is established when the information compels a 
conclusion that a claim is unpatentable under the preponderance of 
evidence, burden-of-proof standard, giving each term in the claim its 
broadest reasonable construction consistent with the specification, and 
before any consideration is given to evidence which may be submitted in 
an attempt to establish a contrary conclusion of patentability.
    (c) The responsibility for compliance with this section rests upon 
the individuals designated in paragraph (a) of this section and no 
evaluation will be made by the Office in the reexamination proceeding as 
to compliance with this section. If questions of compliance with this 
section are raised by the patent owner or the third party requester 
during a reexamination proceeding, they will be noted as unresolved 
questions in accordance with Sec.1.552(c).

[57 FR 2036, Jan. 17, 1992, as amended at 65 FR 76776, Dec. 7, 2000]



Sec.1.560  Interviews in ex parte reexamination proceedings.

    (a) Interviews in ex parte reexamination proceedings pending before 
the Office between examiners and the owners of such patents or their 
attorneys or agents of record must be conducted in the Office at such 
times, within Office hours, as the respective examiners may designate. 
Interviews will not be permitted at any other time or place without the 
authority of the Director. Interviews for the discussion of the 
patentability of claims in patents involved in ex parte reexamination 
proceedings will not be conducted prior to the first official action. 
Interviews should be arranged in advance. Requests that reexamination 
requesters participate in interviews with examiners will not be granted.
    (b) In every instance of an interview with an examiner in an ex 
parte reexamination proceeding, a complete written statement of the 
reasons presented at the interview as warranting favorable action must 
be filed by the patent owner. An interview does not remove the necessity 
for response to Office actions as specified in Sec.1.111. Patent 
owner's response to an outstanding Office action after the interview 
does not remove the necessity for filing the written statement. The 
written statement must be filed as a separate part of a response to an 
Office action outstanding at the time of the interview, or as a separate 
paper within one month from

[[Page 161]]

the date of the interview, whichever is later.

[65 FR 76777, Dec. 7, 2000]



Sec.1.565  Concurrent office proceedings which include an ex parte
reexamination proceeding.

    (a) In an ex parte reexamination proceeding before the Office, the 
patent owner must inform the Office of any prior or concurrent 
proceedings in which the patent is or was involved such as 
interferences, reissues, ex parte reexaminations, inter partes 
reexaminations, or litigation and the results of such proceedings. See 
Sec.1.985 for notification of prior or concurrent proceedings in an 
inter partes reexamination proceeding.
    (b) If a patent in the process of ex parte reexamination is or 
becomes involved in litigation, the Director shall determine whether or 
not to suspend the reexamination. See Sec.1.987 for inter partes 
reexamination proceedings.
    (c) If ex parte reexamination is ordered while a prior ex parte 
reexamination proceeding is pending and prosecution in the prior ex 
parte reexamination proceeding has not been terminated, the ex parte 
reexamination proceedings will usually be merged and result in the 
issuance and publication of a single certificate under Sec.1.570. For 
merger of inter partes reexamination proceedings, see Sec.1.989(a). 
For merger of ex parte reexamination and inter partes reexamination 
proceedings, see Sec.1.989(b).
    (d) If a reissue application and an ex parte reexamination 
proceeding on which an order pursuant to Sec.1.525 has been mailed are 
pending concurrently on a patent, a decision will usually be made to 
merge the two proceedings or to suspend one of the two proceedings. 
Where merger of a reissue application and an ex parte reexamination 
proceeding is ordered, the merged examination will be conducted in 
accordance with Sec. Sec.1.171 through 1.179, and the patent owner 
will be required to place and maintain the same claims in the reissue 
application and the ex parte reexamination proceeding during the 
pendency of the merged proceeding. The examiner's actions and responses 
by the patent owner in a merged proceeding will apply to both the 
reissue application and the ex parte reexamination proceeding and will 
be physically entered into both files. Any ex parte reexamination 
proceeding merged with a reissue application shall be concluded by the 
grant of the reissued patent. For merger of a reissue application and an 
inter partes reexamination, see Sec.1.991.
    (e) If a patent in the process of ex parte reexamination is or 
becomes involved in an interference, the Director may suspend the 
reexamination or the interference. The Director will not consider a 
request to suspend an interference unless a motion (Sec.41.121(a)(3) 
of this title) to suspend the interference has been presented to, and 
denied by, an administrative patent judge, and the request is filed 
within ten (10) days of a decision by an administrative patent judge 
denying the motion for suspension or such other time as the 
administrative patent judge may set. For concurrent inter partes 
reexamination and interference of a patent, see Sec.1.993.

[65 FR 76776, Dec. 7, 2000, as amended at 69 FR 50001, Aug. 12, 2004; 72 
FR 18905, Apr. 16, 2007]

                   Ex Parte Reexamination Certificate



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

    (a) To conclude an ex parte reexamination proceeding, the Director 
will issue and publish an ex parte reexamination certificate in 
accordance with 35 U.S.C. 307 setting forth the results of the ex parte 
reexamination proceeding and the content of the patent following the ex 
parte reexamination proceeding.
    (b) An ex parte reexamination certificate will be issued and 
published in each patent in which an ex parte reexamination proceeding 
has been ordered under Sec.1.525 and has not been merged with any 
inter partes reexamination proceeding pursuant to Sec.1.989(a). Any 
statutory disclaimer filed by the patent owner will be made part of the 
ex parte reexamination certificate.
    (c) The ex parte reexamination certificate will be mailed on the day 
of its date to the patent owner at the address as provided for in Sec.
1.33(c). A copy of the ex parte reexamination certificate will also be 
mailed to the requester of the ex parte reexamination proceeding.

[[Page 162]]

    (d) If an ex parte reexamination certificate has been issued and 
published which cancels all of the claims of the patent, no further 
Office proceedings will be conducted with that patent or any reissue 
applications or any reexamination requests relating thereto.
    (e) If the ex parte reexamination proceeding is terminated by the 
grant of a reissued patent as provided in Sec.1.565(d), the reissued 
patent will constitute the ex parte reexamination certificate required 
by this section and 35 U.S.C. 307.
    (f) A notice of the issuance of each ex parte reexamination 
certificate under this section will be published in the Official Gazette 
on its date of issuance.

[65 FR 76777, Dec. 7, 2000, as amended at 72 FR 18905, Apr. 16, 2007]



              Subpart E_Supplemental Examination of Patents

    Source: 77 FR 48851, Aug. 14, 2012, unless otherwise noted.



Sec.1.601  Filing of papers in supplemental examination.

    (a) A request for supplemental examination of a patent must be filed 
by the owner(s) of the entire right, title, and interest in the patent.
    (b) Any party other than the patent owner (i.e., any third party) is 
prohibited from filing papers or otherwise participating in any manner 
in a supplemental examination proceeding.
    (c) A request for supplemental examination of a patent may be filed 
at any time during the period of enforceability of the patent.



Sec.1.605  Items of information.

    (a) Each request for supplemental examination may include no more 
than twelve items of information believed to be relevant to the patent. 
More than one request for supplemental examination of the same patent 
may be filed at any time during the period of enforceability of the 
patent.
    (b) An item of information includes a document submitted as part of 
the request that contains information, believed to be relevant to the 
patent, that the patent owner requests the Office to consider, 
reconsider, or correct. If the information to be considered, 
reconsidered, or corrected is not, at least in part, contained within or 
based on any document submitted as part of the request, the discussion 
within the body of the request relative to the information will be 
considered as an item of information.
    (c) An item of information must be in writing in accordance with 
Sec.1.2. To be considered, any audio or video recording must be 
submitted in the form of a written transcript.
    (d) If one item of information is combined in the request with one 
or more additional items of information, each item of information of the 
combination may be separately counted. Exceptions include the 
combination of a non-English language document and its translation, and 
the combination of a document that is over 50 pages in length and its 
summary pursuant to Sec.1.610(b)(8).



Sec.1.610  Content of request for supplemental examination.

    (a) A request for supplemental examination must be accompanied by 
the fee for filing a request for supplemental examination as set forth 
in Sec.1.20(k)(1), the fee for reexamination ordered as a result of a 
supplemental examination proceeding as set forth in Sec.1.20(k)(2), 
and any applicable document size fees as set forth in Sec.1.20(k)(3).
    (b) A request for supplemental examination must include:
    (1) An identification of the number of the patent for which 
supplemental examination is requested.
    (2) A list of the items of information that are requested to be 
considered, reconsidered, or corrected. Where appropriate, the list must 
meet the requirements of Sec.1.98(b).
    (3) A list identifying any other prior or concurrent post-patent 
Office proceedings involving the patent for which supplemental 
examination is being requested, including an identification of the type 
of proceeding, the identifying number of any such proceeding (e.g., a 
control number or reissue application number), and the filing date of 
any such proceeding.
    (4) An identification of each claim of the patent for which 
supplemental examination is requested.

[[Page 163]]

    (5) A separate, detailed explanation of the relevance and manner of 
applying each item of information to each claim of the patent for which 
supplemental examination is requested.
    (6) A copy of the patent for which supplemental examination is 
requested and a copy of any disclaimer or certificate issued for the 
patent.
    (7) A copy of each item of information listed in paragraph (b)(2) of 
this section, accompanied by a written English translation of all of the 
necessary and pertinent parts of any non-English language item of 
information. The patent owner is not required to submit copies of items 
of information that form part of the discussion within the body of the 
request as specified in Sec.1.605(b), or copies of U.S. patents and 
U.S. patent application publications.
    (8) A summary of the relevant portions of any submitted document, 
other than the request, that is over 50 pages in length. The summary 
must include citations to the particular pages containing the relevant 
portions.
    (9) An identification of the owner(s) of the entire right, title, 
and interest in the patent requested to be examined, and a submission by 
the patent owner in compliance with Sec.3.73(c) of this chapter 
establishing the entirety of the ownership in the patent requested to be 
examined.
    (c) The request may also include:
    (1) A cover sheet itemizing each component submitted as part of the 
request;
    (2) A table of contents for the request;
    (3) An explanation of how the claims patentably distinguish over the 
items of information; and
    (4) An explanation of why each item of information submitted with 
the request does or does not raise a substantial new question of 
patentability.
    (d) The filing date of a request for supplemental examination will 
not be granted if the request is not in compliance with Sec. Sec.
1.605, 1.615, and this section, subject to the discretion of the Office. 
If the Office determines that the request, as originally submitted, is 
not entitled to a filing date, the patent owner will be so notified and 
will be given an opportunity to complete the request within a specified 
time. If the patent owner does not timely comply with the notice, the 
request for supplemental examination will not be granted a filing date 
and the fee for reexamination as set forth in Sec.1.20(k)(2) will be 
refunded. If the patent owner timely files a corrected request in 
response to the notice that properly addresses all of the defects set 
forth in the notice and that otherwise complies with all of the 
requirements of Sec. Sec.1.605, 1.615, and this section, the filing 
date of the supplemental examination request will be the receipt date of 
the corrected request.



Sec.1.615  Format of papers filed in a supplemental examination 
proceeding.

    (a) All papers submitted in a supplemental examination proceeding 
must be formatted in accordance with Sec.1.52.
    (b) Court documents and non-patent literature may be redacted, but 
must otherwise be identical both in content and in format to the 
original documents, and, if a court document, to the document submitted 
in court, and must not otherwise be reduced in size or modified, 
particularly in terms of font type, font size, line spacing, and 
margins. Patents, patent application publications, and third-party-
generated affidavits or declarations must not be reduced in size or 
otherwise modified in the manner described in this paragraph.



Sec.1.620  Conduct of supplemental examination proceeding.

    (a) Within three months after the filing date of a request for 
supplemental examination, the Office will determine whether a 
substantial new question of patentability affecting any claim of the 
patent is raised by any of the items of information presented in the 
request. The determination will generally be limited to a review of the 
item(s) of information identified in the request as applied to the 
identified claim(s) of the patent. The determination will be based on 
the claims in effect at the time of the determination and will become a 
part of the official record of the patent.
    (b) The Office may hold in abeyance action on any petition or other 
paper filed in a supplemental examination proceeding until after the 
proceeding is

[[Page 164]]

concluded by the electronic issuance of the supplemental examination 
certificate as set forth in Sec.1.625.
    (c) If an unauthorized or otherwise improper paper is filed in a 
supplemental examination proceeding, it will not be entered into the 
official file or considered, or if inadvertently entered, it will be 
expunged.
    (d) The patent owner must, as soon as possible upon the discovery of 
any other prior or concurrent post-patent Office proceeding involving 
the patent for which the current supplemental examination is requested, 
file a paper limited to notifying the Office of the post- patent Office 
proceeding, if such notice has not been previously provided with the 
request. The notice shall be limited to an identification of the post-
patent Office proceeding, including the type of proceeding, the 
identifying number of any such proceeding (e.g., a control number or 
reissue application number), and the filing date of any such proceeding, 
without any discussion of the issues of the current supplemental 
examination proceeding or of the identified post-patent Office 
proceeding(s).
    (e) Interviews are prohibited in a supplemental examination 
proceeding.
    (f) No amendment may be filed in a supplemental examination 
proceeding.
    (g) If the Office becomes aware, during the course of supplemental 
examination or of any reexamination ordered under 35 U.S.C. 257 as a 
result of the supplemental examination proceeding, that a material fraud 
on the Office may have been committed in connection with the patent 
requested to be examined, the supplemental examination proceeding or any 
reexamination proceeding ordered under 35 U.S.C. 257 will continue, and 
the matter will be referred to the U.S. Attorney General in accordance 
with 35 U.S.C. 257(e).



Sec.1.625  Conclusion of supplemental examination; publication of 
supplemental examination certificate; procedure after conclusion.

    (a) A supplemental examination proceeding will conclude with the 
electronic issuance of a supplemental examination certificate. The 
supplemental examination certificate will indicate the result of the 
determination whether any of the items of information presented in the 
request raised a substantial new question of patentability.
    (b) If the supplemental examination certificate states that a 
substantial new question of patentability is raised by one or more items 
of information in the request, ex parte reexamination of the patent will 
be ordered under 35 U.S.C. 257. Upon the conclusion of the ex parte 
reexamination proceeding, an ex parte reexamination certificate, which 
will include a statement specifying that ex parte reexamination was 
ordered under 35 U.S.C. 257, will be published. The electronically 
issued supplemental examination certificate will remain as part of the 
public record of the patent.
    (c) If the supplemental examination certificate indicates that no 
substantial new question of patentability is raised by any of the items 
of information in the request, and ex parte reexamination is not ordered 
under 35 U.S.C. 257, the electronically issued supplemental examination 
certificate will be published in due course. The fee for reexamination 
ordered as a result of supplemental examination, as set forth in Sec.
1.20(k)(2), will be refunded in accordance with Sec.1.26(c).
    (d) Any ex parte reexamination ordered under 35 U.S.C. 257 will be 
conducted in accordance with Sec. Sec.1.530 through 1.570, which 
govern ex parte reexamination, except that:
    (1) The patent owner will not have the right to file a statement 
pursuant to Sec.1.530, and the order will not set a time period within 
which to file such a statement;
    (2) Reexamination of any claim of the patent may be conducted on the 
basis of any item of information as set forth in Sec.1.605, and is not 
limited to patents and printed publications or to subject matter that 
has been added or deleted during the reexamination proceeding, 
notwithstanding Sec.1.552(a);
    (3) Issues in addition to those raised by patents and printed 
publications, and by subject matter added or deleted during a 
reexamination proceeding, may be considered and resolved, 
notwithstanding Sec.1.552(c); and

[[Page 165]]

    (4) Information material to patentability will be defined by Sec.
1.56(b), notwithstanding Sec.1.555(b).



            Subpart F_Adjustment and Extension of Patent Term

    Authority: 35 U.S.C. 2(b)(2), 154, and 156.

    Source: 52 FR 9394, Mar. 24, 1987, unless otherwise noted.

           Adjustment of Patent Term Due to Examination Delay



Sec.1.701  Extension of patent term due to examination delay under the
Uruguay Round Agreements Act (original applications, other than
designs, filed on or  after June 8, 1995, and before May 29, 2000).

    (a) A patent, other than for designs, issued on an application filed 
on or after June 8, 1995, is entitled to extension of the patent term if 
the issuance of the patent was delayed due to:
    (1) Interference or derivation proceedings under 35 U.S.C. 135(a); 
and/or
    (2) The application being placed under a secrecy order under 35 
U.S.C. 181; and/or
    (3) Appellate review by the Patent Trial and Appeal Board or by a 
Federal court under 35 U.S.C. 141 or 145, if the patent was issued 
pursuant to a decision in the review reversing an adverse determination 
of patentability and if the patent is not subject to a terminal 
disclaimer due to the issuance of another patent claiming subject matter 
that is not patentably distinct from that under appellate review. If an 
application is remanded by a panel of the Patent Trial and Appeal Board 
and the remand is the last action by a panel of the Patent Trial and 
Appeal Board prior to the mailing of a notice of allowance under 35 
U.S.C. 151 in the application, the remand shall be considered a decision 
in the review reversing an adverse determination of patentability as 
that phrase is used in 35 U.S.C. 154(b)(2) as amended by section 532(a) 
of the Uruguay Round Agreements Act, Public Law 103-465, 108 Stat. 4809, 
4983-85 (1994), and a final decision in favor of the applicant under 
paragraph (c)(3) of this section. A remand by a panel of the Patent 
Trial and Appeal Board shall not be considered a decision in the review 
reversing an adverse determination of patentability as provided in this 
paragraph if there is filed a request for continued examination under 35 
U.S.C. 132(b) that was not first preceded by the mailing, after such 
remand, of at least one of an action under 35 U.S.C. 132 or a notice of 
allowance under 35 U.S.C. 151.
    (b) The term of a patent entitled to extension under paragraph (a) 
of this section shall be extended for the sum of the periods of delay 
calculated under paragraphs (c)(1), (c)(2), (c)(3) and (d) of this 
section, to the extent that these periods are not overlapping, up to a 
maximum of five years. The extension will run from the expiration date 
of the patent.
    (c)(1) The period of delay under paragraph (a)(1) of this section 
for an application is the sum of the following periods, to the extent 
that the periods are not overlapping:
    (i) With respect to each interference or derivation proceeding in 
which the application was involved, the number of days, if any, in the 
period beginning on the date the interference or derivation proceeding 
was instituted to involve the application in the interference or 
derivation proceeding and ending on the date that the interference or 
derivation proceeding was terminated with respect to the application; 
and
    (ii) The number of days, if any, in the period beginning on the date 
prosecution in the application was suspended by the Patent and Trademark 
Office due to interference or derivation proceedings under 35 U.S.C. 
135(a) not involving the application and ending on the date of the 
termination of the suspension.
    (2) The period of delay under paragraph (a)(2) of this section for 
an application is the sum of the following periods, to the extent that 
the periods are not overlapping:
    (i) The number of days, if any, the application was maintained in a 
sealed condition under 35 U.S.C. 181;
    (ii) The number of days, if any, in the period beginning on the date 
of mailing of an examiner's answer under Sec.41.39 of this title in 
the application under secrecy order and ending on the date the

[[Page 166]]

secrecy order and any renewal thereof was removed;
    (iii) The number of days, if any, in the period beginning on the 
date applicant was notified that an interference or derivation 
proceeding would be instituted but for the secrecy order and ending on 
the date the secrecy order and any renewal thereof was removed; and
    (iv) The number of days, if any, in the period beginning on the date 
of notification under Sec.5.3(c) and ending on the date of mailing of 
the notice of allowance under Sec.1.311.
    (3) The period of delay under paragraph (a)(3) of this section is 
the sum of the number of days, if any, in the period beginning on the 
date on which an appeal to the Patent Trial and Appeal Board was filed 
under 35 U.S.C. 134 and ending on the date of a final decision in favor 
of the applicant by the Patent Trial and Appeal Board or by a Federal 
court in an appeal under 35 U.S.C. 141 or a civil action under 35 U.S.C. 
145.
    (d) The period of delay set forth in paragraph (c)(3) shall be 
reduced by:
    (1) Any time during the period of appellate review that occurred 
before three years from the filing date of the first national 
application for patent presented for examination; and
    (2) Any time during the period of appellate review, as determined by 
the Director, during which the applicant for patent did not act with due 
diligence. In determining the due diligence of an applicant, the 
Director may examine the facts and circumstances of the applicant's 
actions during the period of appellate review to determine whether the 
applicant exhibited that degree of timeliness as may reasonably be 
expected from, and which is ordinarily exercised by, a person during a 
period of appellate review.
    (e) The provisions of this section apply only to original patents, 
except for design patents, issued on applications filed on or after June 
8, 1995, and before May 29, 2000.

[60 FR 20228, Apr. 25, 1995, as amended at 65 FR 56391, Sept. 18, 2000; 
69 FR 21710, Apr. 22, 2004; 69 FR 50001, Aug. 12, 2004; 77 FR 46627, 
Aug. 6, 2012]



Sec.1.702  Grounds for adjustment of patent term due to examination
delay under the Patent Term Guarantee Act of 1999 (original 
applications, other than designs, filed on or after May 29, 2000).

    (a) Failure to take certain actions within specified time frames. 
Subject to the provisions of 35 U.S.C. 154(b) and this subpart, the term 
of an original patent shall be adjusted if the issuance of the patent 
was delayed due to the failure of the Office to:
    (1) Mail at least one of a notification under 35 U.S.C. 132 or a 
notice of allowance under 35 U.S.C. 151 not later than fourteen months 
after the date on which the application was filed under 35 U.S.C. 111(a) 
or the date the national stage commenced under 35 U.S.C. 371(b) or (f) 
in an international application;
    (2) Respond to a reply under 35 U.S.C. 132 or to an appeal taken 
under 35 U.S.C. 134 not later than four months after the date on which 
the reply was filed or the appeal was taken;
    (3) Act on an application not later than four months after the date 
of a decision by the Patent Trial and Appeal Board under 35 U.S.C. 134 
or 135 or a decision by a Federal court under 35 U.S.C. 141, 145, or 146 
where at least one allowable claim remains in the application; or
    (4) Issue a patent not later than four months after the date on 
which the issue fee was paid under 35 U.S.C. 151 and all outstanding 
requirements were satisfied.
    (b) Three-year pendency. Subject to the provisions of 35 U.S.C. 
154(b) and this subpart, the term of an original patent shall be 
adjusted if the issuance of the patent was delayed due to the failure of 
the Office to issue a patent within three years after the date on which 
the application was filed under 35 U.S.C. 111(a) or the national stage 
commenced under 35 U.S.C. 371(b) or (f) in an international application, 
but not including:
    (1) Any time consumed by continued examination of the application 
under 35 U.S.C. 132(b);
    (2) Any time consumed by an interference or derivation proceeding 
under 35 U.S.C. 135(a);

[[Page 167]]

    (3) Any time consumed by the imposition of a secrecy order under 35 
U.S.C. 181;
    (4) Any time consumed by review by the Patent Trial and Appeal Board 
or a Federal court; or
    (5) Any delay in the processing of the application by the Office 
that was requested by the applicant.
    (c) Delays caused by interference and derivation proceedings. 
Subject to the provisions of 35 U.S.C. 154(b) and this subpart, the term 
of an original patent shall be adjusted if the issuance of the patent 
was delayed due to interference or derivation proceedings under 35 
U.S.C. 135(a).
    (d) Delays caused by secrecy order. Subject to the provisions of 35 
U.S.C. 154(b) and this subpart, the term of an original patent shall be 
adjusted if the issuance of the patent was delayed due to the 
application being placed under a secrecy order under 35 U.S.C. 181.
    (e) Delays caused by successful appellate review. Subject to the 
provisions of 35 U.S.C. 154(b) and this subpart, the term of an original 
patent shall be adjusted if the issuance of the patent was delayed due 
to review by the Patent Trial and Appeal Board under 35 U.S.C. 134 or by 
a Federal court under 35 U.S.C. 141 or 145, if the patent was issued 
under a decision in the review reversing an adverse determination of 
patentability. If an application is remanded by a panel of the Patent 
Trial and Appeal Board and the remand is the last action by a panel of 
the Patent Trial and Appeal Board prior to the mailing of a notice of 
allowance under 35 U.S.C. 151 in the application, the remand shall be 
considered a decision by the Patent Trial and Appeal Board as that 
phrase is used in 35 U.S.C. 154(b)(1)(A)(iii), a decision in the review 
reversing an adverse determination of patentability as that phrase is 
used in 35 U.S.C. 154(b)(1)(C)(iii), and a final decision in favor of 
the applicant under Sec.1.703(e). A remand by a panel of the Patent 
Trial and Appeal Board shall not be considered a decision in the review 
reversing an adverse determination of patentability as provided in this 
paragraph if there is filed a request for continued examination under 35 
U.S.C. 132(b) that was not first preceded by the mailing, after such 
remand, of at least one of an action under 35 U.S.C. 132 or a notice of 
allowance under 35 U.S.C. 151.
    (f) The provisions of this section and Sec. Sec.1.703 through 
1.705 apply only to original applications, except applications for a 
design patent, filed on or after May 29, 2000, and patents issued on 
such applications.

[65 FR 56391, Sept. 18, 2000, as amended at 69 FR 21711, Apr. 22, 2004; 
77 FR 46627, Aug. 6, 2012; 78 FR 19420, Apr. 1, 2013]



Sec.1.703  Period of adjustment of patent term due to examination 
delay.

    (a) The period of adjustment under Sec.1.702(a) is the sum of the 
following periods:
    (1) The number of days, if any, in the period beginning on the day 
after the date that is fourteen months after the date on which the 
application was filed under 35 U.S.C. 111(a) or the date the national 
stage commenced under 35 U.S.C. 371(b) or (f) in an international 
application and ending on the date of mailing of either an action under 
35 U.S.C. 132, or a notice of allowance under 35 U.S.C. 151, whichever 
occurs first;
    (2) The number of days, if any, in the period beginning on the day 
after the date that is four months after the date a reply under Sec.
1.111 was filed and ending on the date of mailing of either an action 
under 35 U.S.C. 132, or a notice of allowance under 35 U.S.C. 151, 
whichever occurs first;
    (3) The number of days, if any, in the period beginning on the day 
after the date that is four months after the date a reply in compliance 
with Sec.1.113(c) was filed and ending on the date of mailing of 
either an action under 35 U.S.C. 132, or a notice of allowance under 35 
U.S.C. 151, whichever occurs first;
    (4) The number of days, if any, in the period beginning on the day 
after the date that is four months after the date an appeal brief in 
compliance with Sec.41.37 of this title was filed and ending on the 
date of mailing of any of an examiner's answer under Sec.41.39 of this 
title, an action under 35 U.S.C. 132, or a notice of allowance under 35 
U.S.C. 151, whichever occurs first;
    (5) The number of days, if any, in the period beginning on the day 
after the

[[Page 168]]

date that is four months after the date of a final decision by the 
Patent Trial and Appeal Board or by a Federal court in an appeal under 
35 U.S.C. 141 or a civil action under 35 U.S.C. 145 or 146 where at 
least one allowable claim remains in the application and ending on the 
date of mailing of either an action under 35 U.S.C. 132 or a notice of 
allowance under 35 U.S.C. 151, whichever occurs first; and
    (6) The number of days, if any, in the period beginning on the day 
after the date that is four months after the date the issue fee was paid 
and all outstanding requirements were satisfied and ending on the date a 
patent was issued.
    (b) The period of adjustment under Sec.1.702(b) is the number of 
days, if any, in the period beginning on the day after the date that is 
three years after the date on which the application was filed under 35 
U.S.C. 111(a) or the national stage commenced under 35 U.S.C. 371(b) or 
(f) in an international application and ending on the date a patent was 
issued, but not including the sum of the following periods:
    (1) The number of days, if any, in the period beginning on the date 
on which any request for continued examination of the application under 
35 U.S.C. 132(b) was filed and ending on the date of mailing of the 
notice of allowance under 35 U.S.C. 151;
    (2)(i) The number of days, if any, in the period beginning on the 
date an interference or derivation proceeding was instituted to involve 
the application in the interference or derivation proceeding under 35 
U.S.C. 135(a) and ending on the date that the interference or derivation 
proceeding was terminated with respect to the application; and
    (ii) The number of days, if any, in the period beginning on the date 
prosecution in the application was suspended by the Office due to 
interference or derivation proceedings under 35 U.S.C. 135(a) not 
involving the application and ending on the date of the termination of 
the suspension;
    (3)(i) The number of days, if any, the application was maintained in 
a sealed condition under 35 U.S.C. 181;
    (ii) The number of days, if any, in the period beginning on the date 
of mailing of an examiner's answer under Sec.41.39 of this title in 
the application under secrecy order and ending on the date the secrecy 
order was removed;
    (iii) The number of days, if any, in the period beginning on the 
date applicant was notified that an interference or derivation 
proceeding under 35 U.S.C. 135(a) would be instituted but for the 
secrecy order and ending on the date the secrecy order was removed; and
    (iv) The number of days, if any, in the period beginning on the date 
of notification under Sec.5.3(c) of this chapter and ending on the 
date of mailing of the notice of allowance under 35 U.S.C. 151; and,
    (4) The number of days, if any, in the period beginning on the date 
on which jurisdiction over the application passes to the Patent Trial 
and Appeal Board under Sec.41.35(a) of this chapter and ending on the 
date that jurisdiction by the Patent Trial and Appeal Board ends under 
Sec.41.35(b) of this chapter or the date of the last decision by a 
Federal court in an appeal under 35 U.S.C. 141 or a civil action under 
35 U.S.C. 145, whichever is later.
    (c) The period of adjustment under Sec.1.702(c) is the sum of the 
following periods, to the extent that the periods are not overlapping:
    (1) The number of days, if any, in the period beginning on the date 
an interference or derivation proceeding was instituted to involve the 
application in the interference or derivation proceeding under 35 U.S.C. 
135(a) and ending on the date that the interference or derivation 
proceeding was terminated with respect to the application; and
    (2) The number of days, if any, in the period beginning on the date 
prosecution in the application was suspended by the Office due to 
interference or derivation proceedings under 35 U.S.C. 135(a) not 
involving the application and ending on the date of the termination of 
the suspension.
    (d) The period of adjustment under Sec.1.702(d) is the sum of the 
following periods, to the extent that the periods are not overlapping:
    (1) The number of days, if any, the application was maintained in a 
sealed condition under 35 U.S.C. 181;
    (2) The number of days, if any, in the period beginning on the date 
of mailing

[[Page 169]]

of an examiner's answer under Sec.41.39 of this title in the 
application under secrecy order and ending on the date the secrecy order 
was removed;
    (3) The number of days, if any, in the period beginning on the date 
applicant was notified that an interference or derivation proceeding 
under 35 U.S.C. 135(a) would be instituted but for the secrecy order and 
ending on the date the secrecy order was removed; and
    (4) The number of days, if any, in the period beginning on the date 
of notification under Sec.5.3(c) of this chapter and ending on the 
date of mailing of the notice of allowance under 35 U.S.C. 151.
    (e) The period of adjustment under Sec.1.702(e) is the sum of the 
number of days, if any, in the period beginning on the date on which 
jurisdiction over the application passes to the Patent Trial and Appeal 
Board under Sec.41.35(a) of this chapter and ending on the date of a 
final decision in favor of the applicant by the Patent Trial and Appeal 
Board or by a Federal court in an appeal under 35 U.S.C. 141 or a civil 
action under 35 U.S.C. 145.
    (f) The adjustment will run from the expiration date of the patent 
as set forth in 35 U.S.C. 154(a)(2). To the extent that periods of delay 
attributable to the grounds specified in Sec.1.702 overlap, the period 
of adjustment granted under this section shall not exceed the actual 
number of days the issuance of the patent was delayed. The term of a 
patent entitled to adjustment under Sec.1.702 and this section shall 
be adjusted for the sum of the periods calculated under paragraphs (a) 
through (e) of this section, to the extent that such periods are not 
overlapping, less the sum of the periods calculated under Sec.1.704. 
The date indicated on any certificate of mailing or transmission under 
Sec.1.8 shall not be taken into account in this calculation.
    (g) No patent, the term of which has been disclaimed beyond a 
specified date, shall be adjusted under Sec.1.702 and this section 
beyond the expiration date specified in the disclaimer.

[65 FR 56392, Sept. 18, 2000, as amended at 69 FR 21711, Apr. 22, 2004; 
69 FR 50001, Aug. 12, 2004; 77 FR 46628, Aug. 6, 2012; 77 FR 49360, Aug. 
16, 2012; 78 FR 19420, Apr. 1, 2013; 80 FR 1356, Jan. 9, 2015]



Sec.1.704  Reduction of period of adjustment of patent term.

    (a) The period of adjustment of the term of a patent under 
Sec. Sec.1.703(a) through (e) shall be reduced by a period equal to 
the period of time during which the applicant failed to engage in 
reasonable efforts to conclude prosecution (processing or examination) 
of the application.
    (b) With respect to the grounds for adjustment set forth in 
Sec. Sec.1.702(a) through (e), and in particular the ground of 
adjustment set forth in Sec.1.702(b), an applicant shall be deemed to 
have failed to engage in reasonable efforts to conclude processing or 
examination of an application for the cumulative total of any periods of 
time in excess of three months that are taken to reply to any notice or 
action by the Office making any rejection, objection, argument, or other 
request, measuring such three-month period from the date the notice or 
action was mailed or given to the applicant, in which case the period of 
adjustment set forth in Sec.1.703 shall be reduced by the number of 
days, if any, beginning on the day after the date that is three months 
after the date of mailing or transmission of the Office communication 
notifying the applicant of the rejection, objection, argument, or other 
request and ending on the date the reply was filed. The period, or 
shortened statutory period, for reply that is set in the Office action 
or notice has no effect on the three-month period set forth in this 
paragraph.
    (c) Circumstances that constitute a failure of the applicant to 
engage in reasonable efforts to conclude processing or examination of an 
application also include the following circumstances, which will result 
in the following reduction of the period of adjustment set forth in 
Sec.1.703 to the extent that the periods are not overlapping:
    (1) Suspension of action under Sec.1.103 at the applicant's 
request, in which case the period of adjustment set forth in Sec.1.703 
shall be reduced by the number of days, if any, beginning on the date a 
request for suspension of action under Sec.1.103 was filed and ending 
on the date of the termination of the suspension;

[[Page 170]]

    (2) Deferral of issuance of a patent under Sec.1.314, in which 
case the period of adjustment set forth in Sec.1.703 shall be reduced 
by the number of days, if any, beginning on the date a request for 
deferral of issuance of a patent under Sec.1.314 was filed and ending 
on the earlier of the date a request to terminate the deferral was filed 
or the date the patent was issued;
    (3) Abandonment of the application or late payment of the issue fee, 
in which case the period of adjustment set forth in Sec.1.703 shall be 
reduced by the number of days, if any, beginning on the date of 
abandonment or the day after the date the issue fee was due and ending 
on the date the grantable petition to revive the application or accept 
late payment of the issue fee was filed;
    (4) Failure to file a petition to withdraw the holding of 
abandonment or to revive an application within two months from the date 
of mailing of a notice of abandonment, in which case the period of 
adjustment set forth in Sec.1.703 shall be reduced by the number of 
days, if any, beginning on the day after the date two months from the 
date of mailing of a notice of abandonment and ending on the date a 
petition to withdraw the holding of abandonment or to revive the 
application was filed;
    (5) Conversion of a provisional application under 35 U.S.C. 111(b) 
to a nonprovisional application under 35 U.S.C. 111(a) pursuant to 35 
U.S.C. 111(b)(5), in which case the period of adjustment set forth in 
Sec.1.703 shall be reduced by the number of days, if any, beginning on 
the date the application was filed under 35 U.S.C. 111(b) and ending on 
the date a request in compliance with Sec.1.53(c)(3) to convert the 
provisional application into a nonprovisional application was filed;
    (6) Submission of a preliminary amendment or other preliminary paper 
less than one month before the mailing of an Office action under 35 
U.S.C. 132 or notice of allowance under 35 U.S.C. 151 that requires the 
mailing of a supplemental Office action or notice of allowance, in which 
case the period of adjustment set forth in Sec.1.703 shall be reduced 
by the number of days, if any, beginning on the day after the date that 
is eight months from either the date on which the application was filed 
under 35 U.S.C. 111(a) or the date of commencement of the national stage 
under 35 U.S.C. 371(b) or (f) in an international application and ending 
on the date the preliminary amendment or other preliminary paper was 
filed;
    (7) Submission of a reply having an omission (Sec.1.135(c)), in 
which case the period of adjustment set forth in Sec.1.703 shall be 
reduced by the number of days, if any, beginning on the day after the 
date the reply having an omission was filed and ending on the date that 
the reply or other paper correcting the omission was filed;
    (8) Submission of a supplemental reply or other paper, other than a 
supplemental reply or other paper expressly requested by the examiner, 
after a reply has been filed, in which case the period of adjustment set 
forth in Sec.1.703 shall be reduced by the number of days, if any, 
beginning on the day after the date the initial reply was filed and 
ending on the date that the supplemental reply or other such paper was 
filed;
    (9) Submission of an amendment or other paper after a decision by 
the Patent Trial and Appeal Board, other than a decision designated as 
containing a new ground of rejection under Sec.41.50(b) of this title 
or statement under Sec.41.50(c) of this title, or a decision by a 
Federal court, less than one month before the mailing of an Office 
action under 35 U.S.C. 132 or a notice of allowance under 35 U.S.C. 151 
that requires the mailing of a supplemental Office action or 
supplemental notice of allowance, in which case the period of adjustment 
set forth in Sec.1.703 shall be reduced by the number of days, if any, 
beginning on the day after the date of the decision by the Patent Trial 
and Appeal Board or by a Federal court and ending on date the amendment 
or other paper was filed;
    (10) Submission of an amendment under Sec.1.312 or other paper, 
other than an amendment under Sec.1.312 or other paper expressly 
requested by the Office or a request for continued examination in 
compliance with Sec.1.114, after a notice of allowance has been given 
or mailed, in which case the period of adjustment set forth in Sec.
1.703 shall be reduced by the number of days, if any,

[[Page 171]]

beginning on the day after the date of mailing of the notice of 
allowance under 35 U.S.C. 151 and ending on the date the amendment under 
Sec.1.312 or other paper was filed;
    (11) Failure to file an appeal brief in compliance with Sec.41.37 
of this chapter within three months from the date on which a notice of 
appeal to the Patent Trial and Appeal Board was filed under 35 U.S.C. 
134 and Sec.41.31 of this chapter, in which case the period of 
adjustment set forth in Sec.1.703 shall be reduced by the number of 
days, if any, beginning on the day after the date three months from the 
date on which a notice of appeal to the Patent Trial and Appeal Board 
was filed under 35 U.S.C. 134 and Sec.41.31 of this chapter, and 
ending on the date an appeal brief in compliance with Sec.41.37 of 
this chapter or a request for continued examination in compliance with 
Sec.1.114 was filed;
    (12) Submission of a request for continued examination under 35 
U.S.C. 132(b) after any notice of allowance under 35 U.S.C. 151 has been 
mailed, in which case the period of adjustment set forth in Sec.1.703 
shall be reduced by the number of days, if any, beginning on the day 
after the date of mailing of the notice of allowance under 35 U.S.C. 151 
and ending on the date the request for continued examination under 35 
U.S.C. 132(b) was filed;
    (13) Failure to provide an application in condition for examination 
as defined in paragraph (f) of this section within eight months from 
either the date on which the application was filed under 35 U.S.C. 
111(a) or the date of commencement of the national stage under 35 U.S.C. 
371(b) or (f) in an international application, in which case the period 
of adjustment set forth in Sec.1.703 shall be reduced by the number of 
days, if any, beginning on the day after the date that is eight months 
from either the date on which the application was filed under 35 U.S.C. 
111(a) or the date of commencement of the national stage under 35 U.S.C. 
371(b) or (f) in an international application and ending on the date the 
application is in condition for examination as defined in paragraph (f) 
of this section; and
    (14) Further prosecution via a continuing application, in which case 
the period of adjustment set forth in Sec.1.703 shall not include any 
period that is prior to the actual filing date of the application that 
resulted in the patent.
    (d)(1) A paper containing only an information disclosure statement 
in compliance with Sec. Sec.1.97 and 1.98 will not be considered a 
failure to engage in reasonable efforts to conclude prosecution 
(processing or examination) of the application under paragraphs (c)(6), 
(c)(8), (c)(9), or (c)(10) of this section, and a request for continued 
examination in compliance with Sec.1.114 with no submission other than 
an information disclosure statement in compliance with Sec. Sec.1.97 
and 1.98 will not be considered a failure to engage in reasonable 
efforts to conclude prosecution (processing or examination) of the 
application under paragraph (c)(12) of this section, if the paper or 
request for continued examination is accompanied by a statement that 
each item of information contained in the information disclosure 
statement:
    (i) Was first cited in any communication from a patent office in a 
counterpart foreign or international application or from the Office, and 
this communication was not received by any individual designated in 
Sec.1.56(c) more than thirty days prior to the filing of the 
information disclosure statement; or
    (ii) Is a communication that was issued by a patent office in a 
counterpart foreign or international application or by the Office, and 
this communication was not received by any individual designated in 
Sec.1.56(c) more than thirty days prior to the filing of the 
information disclosure statement.
    (2) The thirty-day period set forth in paragraph (d)(1) of this 
section is not extendable.
    (e) The submission of a request under Sec.1.705(c) for 
reinstatement of reduced patent term adjustment will not be considered a 
failure to engage in reasonable efforts to conclude prosecution 
(processing or examination) of the application under paragraph (c)(10) 
of this section.
    (f) An application filed under 35 U.S.C. 111(a) is in condition for 
examination when the application includes a specification, including at 
least one claim and an abstract (Sec.1.72(b)), and has papers in 
compliance with Sec.1.52,

[[Page 172]]

drawings (if any) in compliance with Sec.1.84, any English translation 
required by Sec.1.52(d) or Sec.1.57(a), a sequence listing in 
compliance with Sec.1.821 through Sec.1.825 (if applicable), the 
inventor's oath or declaration or an application data sheet containing 
the information specified in Sec.1.63(b), the basic filing fee (Sec.
1.16(a) or Sec.1.16(c)), the search fee (Sec.1.16(k) or Sec.
1.16(m)), the examination fee (Sec.1.16(o) or Sec.1.16(q)), any 
certified copy of the previously filed application required by Sec.
1.57(a), and any application size fee required by the Office under Sec.
1.16(s). An international application is in condition for examination 
when the application has entered the national stage as defined in Sec.
1.491(b), and includes a specification, including at least one claim and 
an abstract (Sec.1.72(b)), and has papers in compliance with Sec.
1.52, drawings (if any) in compliance with Sec.1.84, a sequence 
listing in compliance with Sec.1.821 through Sec.1.825 (if 
applicable), the inventor's oath or declaration or an application data 
sheet containing the information specified in Sec.1.63(b), the search 
fee (Sec.1.492(b)), the examination fee (Sec.1.492(c)), and any 
application size fee required by the Office under Sec.1.492(j). An 
application shall be considered as having papers in compliance with 
Sec.1.52, drawings (if any) in compliance with Sec.1.84, and a 
sequence listing in compliance with Sec.1.821 through Sec.1.825 (if 
applicable) for purposes of this paragraph on the filing date of the 
latest reply (if any) correcting the papers, drawings, or sequence 
listing that is prior to the date of mailing of either an action under 
35 U.S.C. 132 or a notice of allowance under 35 U.S.C. 151, whichever 
occurs first.

[65 FR 56393, Sept. 18, 2000, as amended at 69 FR 21711, Apr. 22, 2004; 
69 FR 50002, Aug. 12, 2004; 72 FR 46843, Aug. 21, 2007; 74 FR 52691, 
Oct. 14, 2009; 76 FR 74702, Dec. 1, 2011; 77 FR 46628, Aug. 6, 2012; 77 
FR 49360, Aug. 16, 2012; 78 FR 19420, Apr. 1, 2013; 78 FR 62408, Oct. 
21, 2013; 80 FR 1356, Jan. 9, 2015; 85 FR 36341, June 16, 2020]



Sec.1.705  Patent term adjustment determination.

    (a) The patent will include notification of any patent term 
adjustment under 35 U.S.C. 154(b).
    (b) Any request for reconsideration of the patent term adjustment 
indicated on the patent must be by way of an application for patent term 
adjustment filed no later than two months from the date the patent was 
granted. This two-month time period may be extended under the provisions 
of Sec.1.136(a). An application for patent term adjustment under this 
section must be accompanied by:
    (1) The fee set forth in Sec.1.18(e); and
    (2) A statement of the facts involved, specifying:
    (i) The correct patent term adjustment and the basis or bases under 
Sec.1.702 for the adjustment;
    (ii) The relevant dates as specified in Sec. Sec.1.703(a) through 
(e) for which an adjustment is sought and the adjustment as specified in 
Sec.1.703(f) to which the patent is entitled;
    (iii) Whether the patent is subject to a terminal disclaimer and any 
expiration date specified in the terminal disclaimer; and
    (iv)(A) Any circumstances during the prosecution of the application 
resulting in the patent that constitute a failure to engage in 
reasonable efforts to conclude processing or examination of such 
application as set forth in Sec.1.704; or
    (B) That there were no circumstances constituting a failure to 
engage in reasonable efforts to conclude processing or examination of 
such application as set forth in Sec.1.704.
    (c) Any request for reinstatement of all or part of the period of 
adjustment reduced pursuant to Sec.1.704(b) for failing to reply to a 
rejection, objection, argument, or other request within three months of 
the date of mailing of the Office communication notifying the applicant 
of the rejection, objection, argument, or other request must be filed 
prior to the issuance of the patent. This time period is not extendable. 
Any request for reinstatement of all or part of the period of adjustment 
reduced pursuant to Sec.1.704(b) under this paragraph must also be 
accompanied by:
    (1) The fee set forth in Sec.1.18(f); and
    (2) A showing to the satisfaction of the Director that, in spite of 
all due care, the applicant was unable to reply to the rejection, 
objection, argument, or other request within three months of the date of 
mailing of the Office communication notifying the applicant

[[Page 173]]

of the rejection, objection, argument, or other request. The Office 
shall not grant any request for reinstatement for more than three 
additional months for each reply beyond three months from the date of 
mailing of the Office communication notifying the applicant of the 
rejection, objection, argument, or other request.
    (d) No submission or petition on behalf of a third party concerning 
patent term adjustment under 35 U.S.C. 154(b) will be considered by the 
Office. Any such submission or petition will be returned to the third 
party, or otherwise disposed of, at the convenience of the Office.

[65 FR 56394, Sept. 18, 2000, as amended at 69 FR 21711, Apr. 22, 2004; 
78 FR 19420, Apr. 1, 2013]

            Extension of Patent Term Due to Regulatory Review



Sec.1.710  Patents subject to extension of the patent term.

    (a) A patent is eligible for extension of the patent term if the 
patent claims a product as defined in paragraph (b) of this section, 
either alone or in combination with other ingredients that read on a 
composition that received permission for commercial marketing or use, or 
a method of using such a product, or a method of manufacturing such a 
product, and meets all other conditions and requirements of this 
subpart.
    (b) The term product referred to in paragraph (a) of this section 
means--
    (1) The active ingredient of a new human drug, antibiotic drug, or 
human biological product (as those terms are used in the Federal Food, 
Drug, and Cosmetic Act and the Public Health Service Act) including any 
salt or ester of the active ingredient, as a single entity or in 
combination with another active ingredient; or
    (2) The active ingredient of a new animal drug or veterinary 
biological product (as those terms are used in the Federal Food, Drug, 
and Cosmetic Act and the Virus-Serum-Toxin Act) that is not primarily 
manufactured using recombinant DNA, recombinant RNA, hybridoma 
technology, or other processes including site specific genetic 
manipulation techniques, including any salt or ester of the active 
ingredient, as a single entity or in combination with another active 
ingredient; or
    (3) Any medical device, food additive, or color additive subject to 
regulation under the Federal Food, Drug, and Cosmetic Act.

[54 FR 30379, July 20, 1989]



Sec.1.720  Conditions for extension of patent term.

    The term of a patent may be extended if:
    (a) The patent claims a product or a method of using or 
manufacturing a product as defined in Sec.1.710;
    (b) The term of the patent has never been previously extended, 
except for extensions issued pursuant to Sec. Sec.1.701, 1.760, or 
Sec.1.790;
    (c) An application for extension is submitted in compliance with 
Sec.1.740;
    (d) The product has been subject to a regulatory review period as 
defined in 35 U.S.C. 156(g) before its commercial marketing or use;
    (e) The product has received permission for commercial marketing or 
use and--
    (1) The permission for the commercial marketing or use of the 
product is the first received permission for commercial marketing or use 
under the provision of law under which the applicable regulatory review 
occurred, or
    (2) In the case of a patent other than one directed to subject 
matter within Sec.1.710(b)(2) claiming a method of manufacturing the 
product that primarily uses recombinant DNA technology in the 
manufacture of the product, the permission for the commercial marketing 
or use is the first received permission for the commercial marketing or 
use of a product manufactured under the process claimed in the patent, 
or
    (3) In the case of a patent claiming a new animal drug or a 
veterinary biological product that is not covered by the claims in any 
other patent that has been extended, and has received permission for the 
commercial marketing or use in non-food-producing animals and in food-
producing animals, and was not extended on the basis of the regulatory 
review period for use in non-food-producing animals, the permission for 
the commercial marketing or use of

[[Page 174]]

the drug or product after the regulatory review period for use in food-
producing animals is the first permitted commercial marketing or use of 
the drug or product for administration to a food-producing animal.
    (f) The application is submitted within the sixty-day period 
beginning on the date the product first received permission for 
commercial marketing or use under the provisions of law under which the 
applicable regulatory review period occurred; or in the case of a patent 
claiming a method of manufacturing the product which primarily uses 
recombinant DNA technology in the manufacture of the product, the 
application for extension is submitted within the sixty-day period 
beginning on the date of the first permitted commercial marketing or use 
of a product manufactured under the process claimed in the patent; or in 
the case of a patent that claims a new animal drug or a veterinary 
biological product that is not covered by the claims in any other patent 
that has been extended, and said drug or product has received permission 
for the commercial marketing or use in non-food-producing animals, the 
application for extension is submitted within the sixty-day period 
beginning on the date of the first permitted commercial marketing or use 
of the drug or product for administration to a food-producing animal;
    (g) The term of the patent, including any interim extension issued 
pursuant to Sec.1.790, has not expired before the submission of an 
application in compliance with Sec.1.741; and
    (h) No other patent term has been extended for the same regulatory 
review period for the product.

[52 FR 9394, Mar. 24, 1987, as amended at 54 FR 30380, July 20, 1989; 65 
FR 54679, Sept. 8, 2000]



Sec.1.730  Applicant for extension of patent term; signature requirements.

    (a) Any application for extension of a patent term must be submitted 
by the owner of record of the patent or its agent and must comply with 
the requirements of Sec.1.740.
    (b) If the application is submitted by the patent owner, the 
application must be signed either by:
    (1) The patent owner in compliance with Sec.3.73(c) of this 
chapter; or
    (2) A registered practitioner on behalf of the patent owner.
    (c) If the application is submitted on behalf of the patent owner by 
an agent of the patent owner (e.g., a licensee of the patent owner), the 
application must be signed by a registered practitioner on behalf of the 
agent. The Office may require proof that the agent is authorized to act 
on behalf of the patent owner.
    (d) If the application is signed by a registered practitioner, the 
Office may require proof that the practitioner is authorized to act on 
behalf of the patent owner or agent of the patent owner.

[65 FR 54679, Sept. 8, 2000, as amended at 77 FR 48825, Aug. 14, 2012]



Sec.1.740  Formal requirements for application for extension of patent
term; correction of informalities.

    (a) An application for extension of patent term must be made in 
writing to the Director. A formal application for the extension of 
patent term must include:
    (1) A complete identification of the approved product as by 
appropriate chemical and generic name, physical structure or 
characteristics;
    (2) A complete identification of the Federal statute including the 
applicable provision of law under which the regulatory review occurred;
    (3) An identification of the date on which the product received 
permission for commercial marketing or use under the provision of law 
under which the applicable regulatory review period occurred;
    (4) In the case of a drug product, an identification of each active 
ingredient in the product and as to each active ingredient, a statement 
that it has not been previously approved for commercial marketing or use 
under the Federal Food, Drug, and Cosmetic Act, the Public Health 
Service Act, or the Virus-Serum-Toxin Act, or a statement of when the 
active ingredient was approved for commercial marketing or use (either 
alone or in combination with other active ingredients), the use

[[Page 175]]

for which it was approved, and the provision of law under which it was 
approved.
    (5) A statement that the application is being submitted within the 
sixty day period permitted for submission pursuant to Sec.1.720(f) and 
an identification of the date of the last day on which the application 
could be submitted;
    (6) A complete identification of the patent for which an extension 
is being sought by the name of the inventor, the patent number, the date 
of issue, and the date of expiration;
    (7) A copy of the patent for which an extension is being sought, 
including the entire specification (including claims) and drawings;
    (8) A copy of any disclaimer, certificate of correction, receipt of 
maintenance fee payment, or reexamination certificate issued in the 
patent;
    (9) A statement that the patent claims the approved product, or a 
method of using or manufacturing the approved product, and a showing 
which lists each applicable patent claim and demonstrates the manner in 
which at least one such patent claim reads on:
    (i) The approved product, if the listed claims include any claim to 
the approved product;
    (ii) The method of using the approved product, if the listed claims 
include any claim to the method of using the approved product; and
    (iii) The method of manufacturing the approved product, if the 
listed claims include any claim to the method of manufacturing the 
approved product;
    (10) A statement beginning on a new page of the relevant dates and 
information pursuant to 35 U.S.C. 156(g) in order to enable the 
Secretary of Health and Human Services or the Secretary of Agriculture, 
as appropriate, to determine the applicable regulatory review period as 
follows:
    (i) For a patent claiming a human drug, antibiotic, or human 
biological product:
    (A) The effective date of the investigational new drug (IND) 
application and the IND number;
    (B) The date on which a new drug application (NDA) or a Product 
License Application (PLA) was initially submitted and the NDA or PLA 
number; and
    (C) The date on which the NDA was approved or the Product License 
issued;
    (ii) For a patent claiming a new animal drug:
    (A) The date a major health or environmental effects test on the 
drug was initiated, and any available substantiation of that date, or 
the date of an exemption under subsection (j) of Section 512 of the 
Federal Food, Drug, and Cosmetic Act became effective for such animal 
drug;
    (B) The date on which a new animal drug application (NADA) was 
initially submitted and the NADA number; and
    (C) The date on which the NADA was approved;
    (iii) For a patent claiming a veterinary biological product:
    (A) The date the authority to prepare an experimental biological 
product under the Virus-Serum-Toxin Act became effective;
    (B) The date an application for a license was submitted under the 
Virus-Serum-Toxin Act; and
    (C) The date the license issued;
    (iv) For a patent claiming a food or color additive:
    (A) The date a major health or environmental effects test on the 
additive was initiated and any available substantiation of that date;
    (B) The date on which a petition for product approval under the 
Federal Food, Drug and Cosmetic Act was initially submitted and the 
petition number; and
    (C) The date on which the FDA published a Federal Register notice 
listing the additive for use;
    (v) For a patent claiming a medical device:
    (A) The effective date of the investigational device exemption (IDE) 
and the IDE number, if applicable, or the date on which the applicant 
began the first clinical investigation involving the device, if no IDE 
was submitted, and any available substantiation of that date;
    (B) The date on which the application for product approval or notice 
of completion of a product development protocol under Section 515 of the 
Federal

[[Page 176]]

Food, Drug and Cosmetic Act was initially submitted and the number of 
the application; and
    (C) The date on which the application was approved or the protocol 
declared to be completed;
    (11) A brief description beginning on a new page of the significant 
activities undertaken by the marketing applicant during the applicable 
regulatory review period with respect to the approved product and the 
significant dates applicable to such activities;
    (12) A statement beginning on a new page that in the opinion of the 
applicant the patent is eligible for the extension and a statement as to 
the length of extension claimed, including how the length of extension 
was determined;
    (13) A statement that applicant acknowledges a duty to disclose to 
the Director of the United States Patent and Trademark Office and the 
Secretary of Health and Human Services or the Secretary of Agriculture 
any information which is material to the determination of entitlement to 
the extension sought (see Sec.1.765);
    (14) The prescribed fee for receiving and acting upon the 
application for extension (see Sec.1.20(j)); and
    (15) The name, address, and telephone number of the person to whom 
inquiries and correspondence relating to the application for patent term 
extension are to be directed.
    (b) The application under this section must be accompanied by two 
additional copies of such application (for a total of three copies).
    (c) If an application for extension of patent term is informal under 
this section, the Office will so notify the applicant. The applicant has 
two months from the mail date of the notice, or such time as is set in 
the notice, within which to correct the informality. Unless the notice 
indicates otherwise, this time period may be extended under the 
provisions of Sec.1.136.

[54 FR 9394, Mar. 24, 1987, as amended at 54 FR 30380, July 20, 1989; 56 
FR 65155, Dec. 13, 1991; 65 FR 54679, Sept. 8, 2000; 68 FR 14337, Mar. 
25, 2003]



Sec.1.741  Complete application given a filing date; petition procedure.

    (a) The filing date of an application for extension of a patent term 
is the date on which a complete application is received in the Office or 
filed pursuant to the procedures set forth in Sec.1.8 or Sec.1.10. A 
complete application must include:
    (1) An identification of the approved product;
    (2) An identification of each Federal statute under which regulatory 
review occurred;
    (3) An identification of the patent for which an extension is being 
sought;
    (4) An identification of each claim of the patent which claims the 
approved product or a method of using or manufacturing the approved 
product;
    (5) Sufficient information to enable the Director to determine under 
subsections (a) and (b) of 35 U.S.C. 156 the eligibility of a patent for 
extension, and the rights that will be derived from the extension, and 
information to enable the Director and the Secretary of Health and Human 
Services or the Secretary of Agriculture to determine the length of the 
regulatory review period; and
    (6) A brief description of the activities undertaken by the 
marketing applicant during the applicable regulatory review period with 
respect to the approved product and the significant dates applicable to 
such activities.
    (b) If an application for extension of patent term is incomplete 
under this section, the Office will so notify the applicant. If 
applicant requests review of a notice that an application is incomplete, 
or review of the filing date accorded an application under this section, 
applicant must file a petition pursuant to this paragraph accompanied by 
the fee set forth in Sec.1.17(f) within two months of the mail date of 
the notice that the application is incomplete, or the notice according 
the filing date complained of. Unless the notice indicates otherwise, 
this time period may be extended under the provisions of Sec.1.136.

[52 FR 9394, Mar. 24, 1987, as amended at 59 FR 54503, Oct. 22, 1993; 61 
FR 64028, Dec. 3, 1996; 65 FR 54680, Sept. 8, 2000; 69 FR 56546, Sept. 
21, 2004]

[[Page 177]]



Sec.1.750  Determination of eligibility for extension of patent term.

    A determination as to whether a patent is eligible for extension may 
be made by the Director solely on the basis of the representations 
contained in the application for extension filed in compliance with 
Sec.1.740 or Sec.1.790. This determination may be delegated to 
appropriate Patent and Trademark Office officials and may be made at any 
time before the certificate of extension is issued. The Director or 
other appropriate officials may require from applicant further 
information or make such independent inquiries as desired before a final 
determination is made on whether a patent is eligible for extension. In 
an application for extension filed in compliance with Sec.1.740, a 
notice will be mailed to applicant containing the determination as to 
the eligibility of the patent for extension and the period of time of 
the extension, if any. This notice shall constitute the final 
determination as to the eligibility and any period of extension of the 
patent. A single request for reconsideration of a final determination 
may be made if filed by the applicant within such time as may be set in 
the notice of final determination or, if no time is set, within one 
month from the date of the final determination. The time periods set 
forth herein are subject to the provisions of Sec.1.136.

[60 FR 25618, May 12, 1995]



Sec.1.760  Interim extension of patent term under 35 U.S.C. 156(e)(2).

    An applicant who has filed a formal application for extension in 
compliance with Sec.1.740 may request one or more interim extensions 
for periods of up to one year each pending a final determination on the 
application pursuant to Sec.1.750. Any such request should be filed at 
least three months prior to the expiration date of the patent. The 
Director may issue interim extensions, without a request by the 
applicant, for periods of up to one year each until a final 
determination is made. The patent owner or agent will be notified when 
an interim extension is granted and notice of the extension will be 
published in the Official Gazette of the United States Patent and 
Trademark Office. The notice will be recorded in the official file of 
the patent and will be considered as part of the original patent. In no 
event will the interim extensions granted under this section be longer 
than the maximum period for extension to which the applicant would be 
eligible.

[65 FR 54680, Sept. 8, 2000]



Sec.1.765  Duty of disclosure in patent term extension proceedings.

    (a) A duty of candor and good faith toward the Patent and Trademark 
Office and the Secretary of Health and Human Services or the Secretary 
of Agriculture rests on the patent owner or its agent, on each attorney 
or agent who represents the patent owner and on every other individual 
who is substantively involved on behalf of the patent owner in a patent 
term extension proceeding. All such individuals who are aware, or become 
aware, of material information adverse to a determination of entitlement 
to the extension sought, which has not been previously made of record in 
the patent term extension proceeding must bring such information to the 
attention of the Office or the Secretary, as appropriate, in accordance 
with paragraph (b) of this section, as soon as it is practical to do so 
after the individual becomes aware of the information. Information is 
material where there is a substantial likelihood that the Office or the 
Secretary would consider it important in determinations to be made in 
the patent term extension proceeding.
    (b) Disclosures pursuant to this section must be accompanied by a 
copy of each written document which is being disclosed. The disclosure 
must be made to the Office or the Secretary, as appropriate, unless the 
disclosure is material to determinations to be made by both the Office 
and the Secretary, in which case duplicate copies, certified as such, 
must be filed in the Office and with the Secretary. Disclosures pursuant 
to this section may be made to the Office or the Secretary, as 
appropriate, through an attorney or agent having responsibility on 
behalf of the patent owner or its agent for the patent term

[[Page 178]]

extension proceeding or through a patent owner acting on his or her own 
behalf. Disclosure to such an attorney, agent or patent owner shall 
satisfy the duty of any other individual. Such an attorney, agent or 
patent owner has no duty to transmit information which is not material 
to the determination of entitlement to the extension sought.
    (c) No patent will be determined eligible for extension and no 
extension will be issued if it is determined that fraud on the Office or 
the Secretary was practiced or attempted or the duty of disclosure was 
violated through bad faith or gross negligence in connection with the 
patent term extension proceeding. If it is established by clear and 
convincing evidence that any fraud was practiced or attempted on the 
Office or the Secretary in connection with the patent term extension 
proceeding or that there was any violation of the duty of disclosure 
through bad faith or gross negligence in connection with the patent term 
extension proceeding, a final determination will be made pursuant to 
Sec.1.750 that the patent is not eligible for extension.
    (d) The duty of disclosure pursuant to this section rests on the 
individuals identified in paragraph (a) of this section and no 
submission on behalf of third parties, in the form of protests or 
otherwise, will be considered by the Office. Any such submissions by 
third parties to the Office will be returned to the party making the 
submission, or otherwise disposed of, without consideration by the 
Office.

[24 FR 10332, Dec. 22, 1959, as amended at 54 FR 30381, July 20, 1989; 
60 FR 25618, May 12, 1995]



Sec.1.770  Express withdrawal of application for extension of patent term.

    An application for extension of patent term may be expressly 
withdrawn before a determination is made pursuant to Sec.1.750 by 
filing in the Office, in duplicate, a written declaration of withdrawal 
signed by the owner of record of the patent or its agent. An application 
may not be expressly withdrawn after the date permitted for reply to the 
final determination on the application. An express withdrawal pursuant 
to this section is effective when acknowledged in writing by the Office. 
The filing of an express withdrawal pursuant to this section and its 
acceptance by the Office does not entitle applicant to a refund of the 
filing fee (Sec.1.20(j)) or any portion thereof.

[62 FR 53201, Oct. 10, 1997]



Sec.1.775  Calculation of patent term extension for a human drug,
antibiotic drug or human biological product.

    (a) If a determination is made pursuant to Sec.1.750 that a patent 
for a human drug, antibiotic drug or human biological product is 
eligible for extension, the term shall be extended by the time as 
calculated in days in the manner indicated by this section. The patent 
term extension will run from the original expiration date of the patent 
or any earlier date set by terminal disclaimer (Sec.1.321).
    (b) The term of the patent for a human drug, antibiotic drug or 
human biological product will be extended by the length of the 
regulatory review period for the product as determined by the Secretary 
of Health and Human Services, reduced as appropriate pursuant to 
paragraphs (d)(1) through (d)(6) of this section.
    (c) The length of the regulatory review period for a human drug, 
antibiotic drug or human biological product will be determined by the 
Secretary of Health and Human Services. Under 35 U.S.C. 156(g)(1)(B), it 
is the sum of--
    (1) The number of days in the period beginning on the date an 
exemption under subsection (i) of section 505 or subsection (d) of 
section 507 of the Federal Food, Drug, and Cosmetic Act became effective 
for the approved product and ending on the date the application was 
initially submitted for such product under those sections or under 
section 351 of the Public Health Service Act; and
    (2) The number of days in the period beginning on the date the 
application was initially submitted for the approved product under 
section 351 of the Public Health Service Act, subsection (b) of section 
505 or section 507 of the Federal Food, Drug, and Cosmetic Act and 
ending on the date such application was approved under such section.

[[Page 179]]

    (d) The term of the patent as extended for a human drug, antibiotic 
drug or human biological product will be determined by--
    (1) Subtracting from the number of days determined by the Secretary 
of Health and Human Services to be in the regulatory review period:
    (i) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section which were on and before the date on which the 
patent issued;
    (ii) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section during which it is determined under 35 U.S.C. 
156(d)(2)(B) by the Secretary of Health and Human Services that 
applicant did not act with due diligence;
    (iii) One-half the number of days remaining in the period defined by 
paragraph (c)(1) of this section after that period is reduced in 
accordance with paragraphs (d)(1) (i) and (ii) of this section; half 
days will be ignored for purposes of subtraction;
    (2) By adding the number of days determined in paragraph (d)(1) of 
this section to the original term of the patent as shortened by any 
terminal disclaimer;
    (3) By adding 14 years to the date of approval of the application 
under section 351 of the Public Health Service Act, or subsection (b) of 
section 505 or section 507 of the Federal Food, Drug, and Cosmetic Act;
    (4) By comparing the dates for the ends of the periods obtained 
pursuant to paragraphs (d)(2) and (d)(3) of this section with each other 
and selecting the earlier date;
    (5) If the original patent was issued after September 24, 1984,
    (i) By adding 5 years to the original expiration date of the patent 
or any earlier date set by terminal disclaimer; and
    (ii) By comparing the dates obtained pursuant to paragraphs (d)(4) 
and (d)(5)(i) of this section with each other and selecting the earlier 
date;
    (6) If the original patent was issued before September 24, 1984, and
    (i) If no request was submitted for an exemption under subsection 
(i) of section 505 or subsection (d) of section 507 of the Federal Food, 
Drug, and Cosmetic Act before September 24, 1984, by--
    (A) Adding 5 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer; and
    (B) By comparing the dates obtained pursuant to paragraphs (d)(4) 
and (d)(6)(i)(A) of this section with each other and selecting the 
earlier date; or
    (ii) If a request was submitted for an exemption under subsection 
(i) of section 505 or subsection (d) of section 507 of the Federal Food, 
Drug, or Cosmetic Act before September 24, 1984 and the commercial 
marketing or use of the product was not approved before September 24, 
1984, by--
    (A) Adding 2 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer, and
    (B) By comparing the dates obtained pursuant to paragraphs (d)(4) 
and (d)(6)(ii)(A) of this section with each other and selecting the 
earlier date.

[52 FR 9394, Mar. 24, 1987, as amended at 54 FR 30381, July 20, 1989]



Sec.1.776  Calculation of patent term extension for a food additive 
or color additive.

    (a) If a determination is made pursuant to Sec.1.750 that a patent 
for a food additive or color additive is eligible for extension, the 
term shall be extended by the time as calculated in days in the manner 
indicated by this section. The patent term extension will run from the 
original expiration date of the patent or earlier date set by terminal 
disclaimer (Sec.1.321).
    (b) The term of the patent for a food additive or color additive 
will be extended by the length of the regulatory review period for the 
product as determined by the Secretary of Health and Human Services, 
reduced as appropriate pursuant to paragraphs (d)(1) through (d)(6) of 
this section.
    (c) The length of the regulatory review period for a food additive 
or color additive will be determined by the Secretary of Health and 
Human Services. Under 35 U.S.C. 156(g)(2)(B), it is the sum of--
    (1) The number of days in the period beginning on the date a major 
health or environmental effects test on the additive was initiated and 
ending on

[[Page 180]]

the date a petition was initially submitted with respect to the approved 
product under the Federal Food, Drug, and Cosmetic Act requesting the 
issuance of a regulation for use of the product; and
    (2) The number of days in the period beginning on the date a 
petition was initially submitted with respect to the approved product 
under the Federal Food, Drug, and Cosmetic Act requesting the issuance 
of a regulation for use of the product, and ending on the date such 
regulation became effective or, if objections were filed to such 
regulation, ending on the date such objections were resolved and 
commercial marketing was permitted or, if commercial marketing was 
permitted and later revoked pending further proceedings as a result of 
such objections, ending on the date such proceedings were finally 
resolved and commercial marketing was permitted.
    (d) The term of the patent as extended for a food additive or color 
additive will be determined by
    (1) Subtracting from the number of days determined by the Secretary 
of Health and Human Services to be in the regulatory review period:
    (i) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section which were on and before the date on which the 
patent issued;
    (ii) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section during which it is determined under 35 U.S.C. 
156(d)(2)(B) by the Secretary of Health and Human Services that 
applicant did not act with due diligence;
    (iii) The number of days equal to one-half the number of days 
remaining in the period defined by paragraph (c)(1) of this section 
after that period is reduced in accordance with paragraphs (d)(1) (i) 
and (ii) of this section; half days will be ignored for purposes of 
subtraction;
    (2) By adding the number of days determined in paragraph (d)(1) of 
this section to the original term of the patent as shortened by any 
terminal disclaimer;
    (3) By adding 14 years to the date a regulation for use of the 
product became effective or, if objections were filed to such 
regulation, to the date such objections were resolved and commercial 
marketing was permitted or, if commercial marketing was permitted and 
later revoked pending further proceedings as a result of such 
objections, to the date such proceedings were finally resolved and 
commercial marketing was permitted;
    (4) By comparing the dates for the ends of the periods obtained 
pursuant to paragraphs (d)(2) and (d)(3) of this section with each other 
and selecting the earlier date;
    (5) If the original patent was issued after September 24, 1984,
    (i) By adding 5 years to the original expiration date of the patent 
or earlier date set by terminal disclaimer; and
    (ii) By comparing the dates obtained pursuant to paragraphs (d)(4) 
and (d)(5)(i) of this section with each other and selecting the earlier 
date;
    (6) If the original patent was issued before September 24, 1984, and
    (i) If no major health or environmental effects test was initiated 
and no petition for a regulation or application for registration was 
submitted before September 24, 1984, by--
    (A) Adding 5 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer, and
    (B) By comparing the dates obtained pursuant to paragraphs (d)(4) 
and (d)(6)(i)(A) of this section with each other and selecting the 
earlier date; or
    (ii) If a major health or environmental effects test was initiated 
or a petition for a regulation or application for registration was 
submitted by September 24, 1984, and the commercial marketing or use of 
the product was not approved before September 24, 1984, by--
    (A) Adding 2 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer, and
    (B) By comparing the dates obtained pursuant to paragraphs (d)(4) 
and (d)(6)(ii)(A) of this section with each other and selecting the 
earlier date.



Sec.1.777  Calculation of patent term extension for a medical device.

    (a) If a determination is made pursuant to Sec.1.750 that a patent 
for a medical device is eligible for extension, the term shall be 
extended by the time as

[[Page 181]]

calculated in days in the manner indicated by this section. The patent 
term extension will run from the original expiration date of the patent 
or earlier date as set by terminal disclaimer (Sec.1.321).
    (b) The term of the patent for a medical device will be extended by 
the length of the regulatory review period for the product as determined 
by the Secretary of Health and Human Services, reduced as appropriate 
pursuant to paragraphs (d)(1) through (d)(6) of this section.
    (c) The length of the regulatory review period for a medical device 
will be determined by the Secretary of Health and Human Services. Under 
35 U.S.C. 156(g)(3)(B), it is the sum of
    (1) The number of days in the period beginning on the date a 
clinical investigation on humans involving the device was begun and 
ending on the date an application was initially submitted with respect 
to the device under section 515 of the Federal Food, Drug, and Cosmetic 
Act; and
    (2) The number of days in the period beginning on the date the 
application was initially submitted with respect to the device under 
section 515 of the Federal Food, Drug, and Cosmetic Act, and ending on 
the date such application was approved under such Act or the period 
beginning on the date a notice of completion of a product development 
protocol was initially submitted under section 515(f)(5) of the Act and 
ending on the date the protocol was declared completed under section 
515(f)(6) of the Act.
    (d) The term of the patent as extended for a medical device will be 
determined by--
    (1) Substracting from the number of days determined by the Secretary 
of Health and Human Services to be in the regulatory review period 
pursuant to paragraph (c) of this section:
    (i) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section which were on and before the date on which the 
patent issued;
    (ii) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section during which it is determined under 35 U.S.C. 
156(d)(2)(B) by the Secretary of Health and Human Services that 
applicant did not act with due diligence;
    (iii) One-half the number of days remaining in the period defined by 
paragraph (c)(1) of this section after that period is reduced in 
accordance with paragraphs (d)(1) (i) and (ii) of this section; half 
days will be ignored for purposes of subtraction;
    (2) By adding the number of days determined in paragraph (d)(1) of 
this section to the original term of the patent as shortened by any 
terminal disclaimer;
    (3) By adding 14 years to the date of approval of the application 
under section 515 of the Federal Food, Drug, and Cosmetic Act or the 
date a product development protocol was declared completed under section 
515(f)(6) of the Act;
    (4) By comparing the dates for the ends of the periods obtained 
pursuant to paragraphs (d)(2) and (d)(3) of this section with each other 
and selecting the earlier date;
    (5) If the original patent was issued after September 24, 1984,
    (i) By adding 5 years to the original expiration date of the patent 
or earlier date set by terminal disclaimer; and
    (ii) By comparing the dates obtained pursuant to paragraphs (d)(4) 
and (d)(5)(i) of this section with each other and selecting the earlier 
date;
    (6) If the original patent was issued before September 24, 1984, and
    (i) If no clinical investigation on humans involving the device was 
begun or no product development protocol was submitted under section 
515(f)(5) of the Federal Food, Drug, and Cosmetic Act before September 
24, 1984, by--
    (A) Adding 5 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer and
    (B) By comparing the dates obtained pursuant to paragraphs (d)(4) 
and (d)(6)(i)(A) of this section with each other and selecting the 
earlier date; or
    (ii) If a clinical investigation on humans involving the device was 
begun or a product development protocol was submitted under section 
515(f)(5) of the Federal Food, Drug, and Cosmetic Act before September 
24, 1984 and the commercial marketing or use of the product was not 
approved before September 24, 1984, by

[[Page 182]]

    (A) Adding 2 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer, and
    (B) By comparing the dates obtained pursuant to paragraphs (d)(4) 
and (d)(6)(ii)(A) of this section with each other and selecting the 
earlier date.



Sec.1.778  Calculation of patent term extension for an animal drug product.

    (a) If a determination is made pursuant to Sec.1.750 that a patent 
for an animal drug is eligible for extension, the term shall be extended 
by the time as calculated in days in the manner indicated by this 
section. The patent term extension will run from the original expiration 
date of the patent or any earlier date set by terminal disclaimer (Sec.
1.321).
    (b) The term of the patent for an animal drug will be extended by 
the length of the regulatory review period for the drug as determined by 
the Secretary of Health and Human Services, reduced as appropriate 
pursuant to paragraphs (d)(1) through (d)(6) of this section.
    (c) The length of the regulatory review period for an animal drug 
will be determined by the Secretary of Health and Human Services. Under 
35 U.S.C. 156(g)(4)(B), it is the sum of--
    (1) The number of days in the period beginning on the earlier of the 
date a major health or environmental effects test on the drug was 
initiated or the date an exemption under subsection (j) of section 512 
of the Federal Food, Drug, and Cosmetic Act became effective for the 
approved animal drug and ending on the date an application was initially 
submitted for such animal drug under section 512 of the Federal Food, 
Drug, and Cosmetic Act; and
    (2) The number of days in the period beginning on the date the 
application was initially submitted for the approved animal drug under 
subsection (b) of section 512 of the Federal Food, Drug, and Cosmetic 
Act and ending on the date such application was approved under such 
section.
    (d) The term of the patent as extended for an animal drug will be 
determined by--
    (1) Subtracting from the number of days determined by the Secretary 
of Health and Human Services to be in the regulatory review period:
    (i) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section that were on and before the date on which the 
patent issued;
    (ii) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section during which it is determined under 35 U.S.C. 
156(d)(2)(B) by the Secretary of Health and Human Services that 
applicant did not act with due diligence;
    (iii) One-half the number of days remaining in the period defined by 
paragraph (c)(1) of this section after that period is reduced in 
accordance with paragraphs (d)(1) (i) and (ii) of this section; half 
days will be ignored for purposes of subtraction;
    (2) By adding the number of days determined in paragraph (d)(1) of 
this section to the original term of the patent as shortened by any 
terminal disclaimer;
    (3) By adding 14 years to the date of approval of the application 
under section 512 of the Federal Food, Drug, and Cosmetic Act;
    (4) By comparing the dates for the ends of the periods obtained 
pursuant to paragraphs (d)(2) and (d)(3) of this section with each other 
and selecting the earlier date;
    (5) If the original patent was issued after November 16, 1988, by--
    (i) Adding 5 years to the original expiration date of the patent or 
any earlier date set by terminal disclaimer; and
    (ii) Comparing the dates obtained pursuant to paragraphs (d)(4) and 
(d)(5)(i) of this section with each other and selecting the earlier 
date;
    (6) If the original patent was issued before November 16, 1988, and
    (i) If no major health or environmental effects test on the drug was 
initiated and no request was submitted for an exemption under subsection 
(j) of section 512 of the Federal Food, Drug, and Cosmetic Act before 
November 16, 1988, by--
    (A) Adding 5 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer; and
    (B) Comparing the dates obtained pursuant to paragraphs (d)(4) and

[[Page 183]]

(d)(6)(i)(A) of this section with each other and selecting the earlier 
date; or
    (ii) If a major health or environmental effects test was initiated 
or a request for an exemption under subsection (j) of section 512 of the 
Federal Food, Drug, and Cosmetic Act was submitted before November 16, 
1988, and the application for commercial marketing or use of the animal 
drug was not approved before November 16, 1988, by--
    (A) Adding 3 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer, and
    (B) Comparing the dates obtained pursuant to paragraphs (d)(4) and 
(d)(6)(ii)(A) of this section with each other and selecting the earlier 
date.

[54 FR 30381, July 20, 1989]



Sec.1.779  Calculation of patent term extension for a veterinary 
biological product.

    (a) If a determination is made pursuant to Sec.1.750 that a patent 
for a veterinary biological product is eligible for extension, the term 
shall be extended by the time as calculated in days in the manner 
indicated by this section. The patent term extension will run from the 
original expiration date of the patent or any earlier date set by 
terminal disclaimer (Sec.1.321).
    (b) The term of the patent for a veterinary biological product will 
be extended by the length of the regulatory review period for the 
product as determined by the Secretary of Agriculture, reduced as 
appropriate pursuant to paragraphs (d)(1) through (d)(6) of this 
section.
    (c) The length of the regulatory review period for a veterinary 
biological product will be determined by the Secretary of Agriculture. 
Under 35 U.S.C. 156(g)(5)(B), it is the sum of--
    (1) The number of days in the period beginning on the date the 
authority to prepare an experimental biological product under the Virus-
Serum-Toxin Act became effective and ending on the date an application 
for a license was submitted under the Virus-Serum-Toxin Act; and
    (2) The number of days in the period beginning on the date an 
application for a license was initially submitted for approval under the 
Virus-Serum-Toxin Act and ending on the date such license was issued.
    (d) The term of the patent as extended for a veterinary biological 
product will be determined by--
    (1) Subtracting from the number of days determined by the Secretary 
of Agriculture to be in the regulatory review period:
    (i) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section that were on and before the date on which the 
patent issued;
    (ii) The number of days in the periods of paragraphs (c)(1) and 
(c)(2) of this section during which it is determined under 35 U.S.C. 
156(d)(2)(B) by the Secretary of Agriculture that applicant did not act 
with due diligence;
    (iii) One-half the number of days remaining in the period defined by 
paragraph (c)(1) of this section after that period is reduced in 
accordance with paragraphs (d)(1) (i) and (ii) of this section; half 
days will be ignored for purposes of subtraction;
    (2) By adding the number of days determined in paragraph (d)(1) of 
this section to the original term of the patent as shortened by any 
terminal disclaimer;
    (3) By adding 14 years to the date of the issuance of a license 
under the Virus-Serum-Toxin Act;
    (4) By comparing the dates for the ends of the periods obtained 
pursuant to paragraphs (d)(2) and (d)(3) of this section with each other 
and selecting the earlier date;
    (5) If the original patent was issued after November 16, 1988, by--
    (i) Adding 5 years to the original expiration date of the patent or 
any earlier date set by terminal disclaimer; and
    (ii) Comparing the dates obtained pursuant to paragraphs (d)(4) and 
(d)(5)(i) of this section with each other and selecting the earlier 
date;
    (6) If the original patent was issued before November 16, 1988, and
    (i) If no request for the authority to prepare an experimental 
biological product under the Virus-Serum-Toxin Act was submitted before 
November 16, 1988, by--
    (A) Adding 5 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer; and

[[Page 184]]

    (B) Comparing the dates obtained pursuant to paragraphs (d)(4) and 
(d)(6)(i)(A) of this section with each other and selecting the earlier 
date; or
    (ii) If a request for the authority to prepare an experimental 
biological product under the Virus-Serum-Toxin Act was submitted before 
November 16, 1988, and the commercial marketing or use of the product 
was not approved before November 16, 1988, by--
    (A) Adding 3 years to the original expiration date of the patent or 
earlier date set by terminal disclaimer; and
    (B) Comparing the dates obtained pursuant to paragraphs (d)(4) and 
(d)(6)(ii)(A) of this section with each other and selecting the earlier 
date.

[52 FR 9394, Mar. 24, 1987, as amended at 54 FR 30382, July 20, 1989]



Sec.1.780  Certificate or order of extension of patent term.

    If a determination is made pursuant to Sec.1.750 that a patent is 
eligible for extension and that the term of the patent is to be 
extended, a certificate of extension, under seal, or an order granting 
interim extension under 35 U.S.C. 156(d)(5), will be issued to the 
applicant for the extension of the patent term. Such certificate or 
order will be recorded in the official file of the patent and will be 
considered as part of the original patent. Notification of the issuance 
of the certificate or order of extension will be published in the 
Official Gazette of the United States Patent and Trademark Office. 
Notification of the issuance of the order granting an interim extension 
under 35 U.S.C. 156(d)(5), including the identity of the product 
currently under regulatory review, will be published in the Official 
Gazette of the United States Patent and Trademark Office and in the 
Federal Register. No certificate of, or order granting, an extension 
will be issued if the term of the patent cannot be extended, even though 
the patent is otherwise determined to be eligible for extension. In such 
situations, the final determination made pursuant to Sec.1.750 will 
indicate that no certificate or order will issue.

[65 FR 54680, Sept. 8, 2000]



Sec.1.785  Multiple applications for extension of term of the same
patent or of different patents for the same regulatory review period
for a product.

    (a) Only one patent may be extended for a regulatory review period 
for any product (Sec.1.720(h)). If more than one application for 
extension of the same patent is filed, the certificate of extension of 
patent term, if appropriate, will be issued based upon the first filed 
application for extension.
    (b) If more than one application for extension is filed by a single 
applicant which seeks the extension of the term of two or more patents 
based upon the same regulatory review period, and the patents are 
otherwise eligible for extension pursuant to the requirements of this 
subpart, in the absence of an election by the applicant, the certificate 
of extension of patent term, if appropriate, will be issued upon the 
application for extension of the patent term having the earliest date of 
issuance of those patents for which extension is sought.
    (c) If an application for extension is filed which seeks the 
extension of the term of a patent based upon the same regulatory review 
period as that relied upon in one or more applications for extension 
pursuant to the requirements of this subpart, the certificate of 
extension of patent term will be issued on the application only if the 
patent owner or its agent is the holder of the regulatory approval 
granted with respect to the regulatory review period.
    (d) An application for extension shall be considered complete and 
formal regardless of whether it contains the identification of the 
holder of the regulatory approval granted with respect to the regulatory 
review period. When an application contains such information, or is 
amended to contain such information, it will be considered in 
determining whether an application is eligible for an extension under 
this section. A request may be made of any applicant to supply such 
information within a non-extendable period of not less than one month 
whenever multiple applications for extension of more than one patent are 
received and rely upon the same regulatory review period. Failure to 
provide such information

[[Page 185]]

within the period for reply set shall be regarded as conclusively 
establishing that the applicant is not the holder of the regulatory 
approval.
    (e) Determinations made under this section shall be included in the 
notice of final determination of eligibility for extension of the patent 
term pursuant to Sec.1.750 and shall be regarded as part of that 
determination.

[60 FR 25618, May 12, 1995, as amended at 62 FR 53201, Oct. 10, 1997]



Sec.1.790  Interim extension of patent term under 35 U.S.C. 156(d)(5).

    (a) An owner of record of a patent or its agent who reasonably 
expects that the applicable regulatory review period described in 
paragraph (1)(B)(ii), (2)(B)(ii), (3)(B)(ii), (4)(B)(ii), or (5)(B)(ii) 
of subsection (g) that began for a product that is the subject of such 
patent may extend beyond the expiration of the patent term in effect may 
submit one or more applications for interim extensions for periods of up 
to one year each. The initial application for interim extension must be 
filed during the period beginning 6 months and ending 15 days before the 
patent term is due to expire. Each subsequent application for interim 
extension must be filed during the period beginning 60 days before and 
ending 30 days before the expiration of the preceding interim extension. 
In no event will the interim extensions granted under this section be 
longer than the maximum period of extension to which the applicant would 
be entitled under 35 U.S.C. 156(c).
    (b) A complete application for interim extension under this section 
shall include all of the information required for a formal application 
under Sec.1.740 and a complete application under Sec.1.741. Sections 
(a)(1), (a)(2), (a)(4), and (a)(6)-(a)(17) of Sec.1.740 and Sec.
1.741 shall be read in the context of a product currently undergoing 
regulatory review. Sections (a)(3) and (a)(5) of Sec.1.740 are not 
applicable to an application for interim extension under this section.
    (c) The content of each subsequent interim extension application may 
be limited to a request for a subsequent interim extension along with a 
statement that the regulatory review period has not been completed along 
with any materials or information required under Sec. Sec.1.740 and 
1.741 that are not present in the preceding interim extension 
application.

[60 FR 25619, May 12, 1995]



Sec.1.791  Termination of interim extension granted prior to 
regulatory approval of a product for commercial marketing or use.

    Any interim extension granted under 35 U.S.C. 156(d)(5) terminates 
at the end of the 60-day period beginning on the date on which the 
product involved receives permission for commercial marketing or use. If 
within that 60-day period the patent owner or its agent files an 
application for extension under Sec. Sec.1.740 and 1.741 including any 
additional information required under 35 U.S.C. 156(d)(1) not contained 
in the application for interim extension, the patent shall be further 
extended in accordance with the provisions of 35 U.S.C. 156.

[60 FR 25619, May 12, 1995]



              Subpart G_Biotechnology Invention Disclosures

                     Deposit of Biological Material

    Source: 54 FR 34880, Aug. 22, 1989, unless otherwise noted.



Sec.1.801  Biological material.

    For the purposes of these regulations pertaining to the deposit of 
biological material for purposes of patents for inventions under 35 
U.S.C. 101, the term biological material shall include material that is 
capable of self-replication either directly or indirectly. 
Representative examples include bacteria, fungi including yeast, algae, 
protozoa, eukaryotic cells, cell lines, hybridomas, plasmids, viruses, 
plant tissue cells, lichens and seeds. Viruses, vectors, cell organelles 
and other non-living material existing in and reproducible from a living 
cell may be deposited by deposit of the host cell capable of reproducing 
the non-living material.

[[Page 186]]



Sec.1.802  Need or opportunity to make a deposit.

    (a) Where an invention is, or relies on, a biological material, the 
disclosure may include reference to a deposit of such biological 
material.
    (b) Biological material need not be deposited unless access to such 
material is necessary for the satisfaction of the statutory requirements 
for patentability under 35 U.S.C. 112. If a deposit is necessary, it 
shall be acceptable if made in accordance with these regulations. 
Biological material need not be deposited, inter alia, if it is known 
and readily avaliable to the public or can be made or isolated without 
undue experimentation. Once deposited in a depository complying with 
these regulations, a biological material will be considered to be 
readily available even though some requirement of law or regulation of 
the United States or of the country in which the depository institution 
is located permits access to the material only under conditions imposed 
for safety, public health or similar reasons.
    (c) The reference to a biological material in a specification 
disclosure or the actual deposit of such material by an applicant or 
patent owner does not create any presumption that such material is 
necessary to satisfy 35 U.S.C. 112 or that deposit in accordance with 
these regulations is or was required.



Sec.1.803  Acceptable depository.

    (a) A deposit shall be recognized for the purposes of these 
regulations if made in
    (1) Any International Depositary Authority (IDA) as established 
under the Budapest Treaty on the International Recognition of the 
Deposit of Microorganisms for the Purposes of Patent Procedure, or
    (2) Any other depository recognized to be suitable by the Office. 
Suitability will be determined by the Director on the basis of the 
administrative and technical competence, and agreement of the depository 
to comply with the terms and conditions applicable to deposits for 
patent purposes. The Director may seek the advice of impartial 
consultants on the suitability of a depository. The depository must:
    (i) Have a continuous existence;
    (ii) Exist independent of the control of the depositor;
    (iii) Possess the staff and facilities sufficient to examine the 
viability of a deposit and store the deposit in a manner which ensures 
that it is kept viable and uncontaminated;
    (iv) Provide for sufficient safety measures to minimize the risk of 
losing biological material deposited with it;
    (v) Be impartial and objective;
    (vi) Furnish samples of the deposited material in an expeditious and 
proper manner; and
    (vii) Promptly notify depositors of its inability to furnish 
samples, and the reasons why.
    (b) A depository seeking status under paragraph (a)(2) of this 
section must direct a communication to the Director which shall:
    (1) Indicate the name and address of the depository to which the 
communication relates;
    (2) Contain detailed information as to the capacity of the 
depository to comply with the requirements of paragraph (a)(2) of this 
section, including information on its legal status, scientific standing, 
staff and facilities;
    (3) Indicate that the depository intends to be available, for the 
purposes of deposit, to any depositor under these same conditions;
    (4) Where the depository intends to accept for deposit only certain 
kinds of biological material, specify such kinds;
    (5) Indicate the amount of any fees that the depository will, upon 
acquiring the status of suitable depository under paragraph (a)(2) of 
this section, charge for storage, viability statements and furnishings 
of samples of the deposit.
    (c) A depository having status under paragraph (a)(2) of this 
section limited to certain kinds of biological material may extend such 
status to additional kinds of biological material by directing a 
communication to the Director in accordance with paragraph (b) of this 
section. If a previous communication under paragraph (b) of this section 
is of record, items in common with the previous communication may be 
incorporated by reference.

[[Page 187]]

    (d) Once a depository is recognized to be suitable by the Director 
or has defaulted or discontinued its performance under this section, 
notice thereof will be published in the Office Gazette of the Patent and 
Trademark Office.



Sec.1.804  Time of making an original deposit.

    (a) Whenever a biological material is specifically identified in an 
application for patent as filed, an original deposit thereof may be made 
at any time before filing the application for patent or, subject to 
Sec.1.809, during pendency of the application for patent.
    (b) When the original deposit is made after the effective filing 
date of an application for patent, the applicant must promptly submit a 
statement from a person in a position to corroborate the fact, stating 
that the biological material which is deposited is a biological material 
specifically identified in the application as filed.

[54 FR 34880, Aug. 22, 1989, as amended at 62 FR 53202, Oct. 10, 1997]



Sec.1.805  Replacement or supplement of deposit.

    (a) A depositor, after receiving notice during the pendency of an 
application for patent, application for reissue patent or reexamination 
proceeding, that the depository possessing a deposit either cannot 
furnish samples thereof or can furnish samples thereof but the deposit 
has become contaminated or has lost its capability to function as 
described in the specification, shall notify the Office in writing, in 
each application for patent or patent affected. In such a case, or where 
the Office otherwise learns, during the pendency of an application for 
patent, application for reissue patent or reexamination proceeding, that 
the depository possessing a deposit either cannot furnish samples 
thereof or can furnish samples thereof but the deposit has become 
contaminated or has lost its capability to function as described in the 
specification, the need for making a replacement or supplemental deposit 
will be governed by the same considerations governing the need for 
making an original deposit under the provisions set forth in Sec.
1.802(b). A replacement or supplemental deposit made during the pendency 
of an application for patent shall not be accepted unless it meets the 
requirements for making an original deposit under these regulations, 
including the requirement set forth under Sec.1.804(b). A replacement 
or supplemental deposit made in connection with a patent, whether or not 
made during the pendency of an application for reissue patent or a 
reexamination proceeding or both, shall not be accepted unless a 
certificate of correction under Sec.1.323 is requested by the patent 
owner which meets the terms of paragraphs (b) and (c) of this section.
    (b) A request for certificate of correction under this section shall 
not be granted unless the certificate identifies:
    (1) The accession number for the replacement or supplemental 
deposit;
    (2) The date of the deposit; and
    (3) The name and address of the depository.
    (c) A request for a certificate of correction under this section 
shall not be granted unless the request is made promptly after the 
replacement or supplemental deposit has been made and the request:
    (1) Includes a statement of the reason for making the replacement or 
supplemental deposit;
    (2) Includes a statement from a person in a position to corroborate 
the fact, and stating that the replacement or supplemental deposit is of 
a biological material which is identical to that originally deposited;
    (3) Includes a showing that the patent owner acted diligently--
    (i) In the case of a replacement deposit, in making the deposit 
after receiving notice that samples could no longer be furnished from an 
earlier deposit; or
    (ii) In the case of a supplemental deposit, in making the deposit 
after receiving notice that the earlier deposit had become contaminated 
or had lost its capability to function as described in the 
specification;
    (4) Includes a statement that the term of the replacement or 
supplemental deposit expires no earlier than the term of the deposit 
being replaced or supplemented; and
    (5) Otherwise establishes compliance with these regulations.

[[Page 188]]

    (d) A depositor's failure to replace a deposit, or in the case of a 
patent, to diligently replace a deposit and promptly thereafter request 
a certificate of correction which meets the terms of paragraphs (b) and 
(c) of this section, after being notified that the depository possessing 
the deposit cannot furnish samples thereof, shall cause the application 
or patent involved to be treated in any Office proceeding as if no 
deposit were made.
    (e) In the event a deposit is replaced according to these 
regulations, the Office will apply a rebuttable presumption of identity 
between the original and the replacement deposit where a patent making 
reference to the deposit is relied upon during any Office proceeeding.
    (f) A replacement or supplement deposit made during the pendency of 
an application for patent may be made for any reason.
    (g) In no case is a replacement or supplemental deposit of a 
biological material necessary where the biological material, in 
accordance with Sec.1.802(b), need not be deposited.
    (h) No replacement deposit of a biological material is necessary 
where a depository can furnish samples thereof but the depository for 
national security, health or environmental safety reasons is unable to 
provide samples to requesters outside of the jurisdiction where the 
depository is located.
    (i) The Office will not recognize in any Office proceeding a 
replacement deposit of a biological material made by a patent owner 
where the depository could furnish samples of the deposit being 
replaced.

[54 FR 34880, Aug. 22, 1989, as amended at 62 FR 53202, Oct. 10, 1997]



Sec.1.806  Term of deposit.

    A deposit made before or during pendency of an application for 
patent shall be made for a term of at least thirty (30) years and at 
least five (5) years after the most recent request for the furnishing of 
a sample of the deposit was received by the depository. In any case, 
samples must be stored under agreements that would make them available 
beyond the enforceable life of the patent for which the deposit was 
made.



Sec.1.807  Viability of deposit.

    (a) A deposit of biological material that is capable of self-
replication either directly or indirectly must be viable at the time of 
deposit and during the term of deposit. Viability may be tested by the 
depository. The test must conclude only that the deposited material is 
capable of reproduction. No evidence is necessarily required regarding 
the ability of the deposited material to perform any function described 
in the patent application.
    (b) A viability statement for each deposit of a biological material 
defined in paragraph (a) of this section not made under the Budapest 
Treaty on the International Recognition of the Deposit of Microorganisms 
for the Purposes of Patent Procedure must be filed in the application 
and must contain:
    (1) The name and address of the depository;
    (2) The name and address of the depositor;
    (3) The date of deposit;
    (4) The identity of the deposit and the accession number given by 
the depository;
    (5) The date of the viability test;
    (6) The procedures used to obtain a sample if the test is not done 
by the depository; and
    (7) A statement that the deposit is capable of reproduction.
    (c) If a viability test indicates that the deposit is not viable 
upon receipt, or the examiner cannot, for scientific or other valid 
reasons, accept the statement of viability received from the applicant, 
the examiner shall proceed as if no deposit has been made. The examiner 
will accept the conclusion set forth in a viability statement issued by 
a depository recognized under Sec.1.803(a).



Sec.1.808  Furnishing of samples.

    (a) A deposit must be made under conditions that assure that:
    (1) Access to the deposit will be available during pendency of the 
patent application making reference to the deposit to one determined by 
the Director to be entitled thereto under Sec.1.14 and 35 U.S.C. 122, 
and
    (2) Subject to paragraph (b) of this section, all restrictions 
imposed by the depositor on the availability to the

[[Page 189]]

public of the deposited material will be irrevocably removed upon the 
granting of the patent.
    (b) The depositor may contract with the depository to require that 
samples of a deposited biological material shall be furnished only if a 
request for a sample, during the term of the patent:
    (1) Is in writing or other tangible form and dated;
    (2) Contains the name and address of the requesting party and the 
accession number of the deposit; and
    (3) Is communicated in writing by the depository to the depositor 
along with the date on which the sample was furnished and the name and 
address of the party to whom the sample was furnished.
    (c) Upon request made to the Office, the Office will certify whether 
a deposit has been stated to have been made under conditions which make 
it available to the public as of the issue date of the patent grant 
provided the request contains:
    (1) The name and address of the depository;
    (2) The accession number given to the deposit;
    (3) The patent number and issue date of the patent referring to the 
deposit; and
    (4) The name and address of the requesting party.



Sec.1.809  Examination procedures.

    (a) The examiner shall determine pursuant to Sec.1.104 in each 
application for patent, application for reissue patent or reexamination 
proceeding if a deposit is needed, and if needed, if a deposit actually 
made is acceptable for patent purposes. If a deposit is needed and has 
not been made or replaced or supplemented in accordance with these 
regulations, the examiner, where appropriate, shall reject the affected 
claims under the appropriate provision of 35 U.S.C. 112, explaining why 
a deposit is needed and/or why a deposit actually made cannot be 
accepted.
    (b) The applicant for patent or patent owner shall reply to a 
rejection under paragraph (a) of this section by--
    (1) In the case of an applicant for patent, either making an 
acceptable original, replacement, or supplemental deposit, or assuring 
the Office in writing that an acceptable deposit will be made; or, in 
the case of a patent owner, requesting a certificate of correction of 
the patent which meets the terms of paragraphs (b) and (c) of Sec.
1.805, or
    (2) Arguing why a deposit is not needed under the circumstances of 
the application or patent considered and/or why a deposit actually made 
should be accepted. Other replies to the examiner's action shall be 
considered nonresponsive. The rejection will be repeated until either 
paragraph (b)(1) of this section is satisfied or the examiner is 
convinced that a deposit is not needed.
    (c) If an application for patent is otherwise in condition for 
allowance except for a needed deposit and the Office has received a 
written assurance that an acceptable deposit will be made, the Office 
may notify the applicant in a notice of allowability and set a three-
month period of time from the mailing date of the notice of allowability 
within which the deposit must be made in order to avoid abandonment. 
This time period is not extendable under Sec.1.136 (see Sec.
1.136(c)).
    (d) For each deposit made pursuant to these regulations, the 
specification shall contain:
    (1) The accession number for the deposit;
    (2) The date of the deposit;
    (3) A description of the deposited biological material sufficient to 
specifically identify it and to permit examination; and
    (4) The name and address of the depository.
    (e) Any amendment required by paragraphs (d)(1), (d)(2) or (d)(4) of 
this section must be filed before or with the payment of the issue fee 
(see Sec.1.312).

[54 FR 34880, Aug. 22, 1989, as amended at 66 FR 21092, Apr. 27, 2001; 
78 FR 62408, Oct. 21, 2013]

    Application Disclosures Containing Nucleotide and/or Amino Acid 
                                Sequences

    Source: Sections 1.821 through 1.825 appear at 55 FR 18245, May 1, 
1990, unless otherwise noted.

[[Page 190]]



Sec.1.821  Nucleotide and/or amino acid sequence disclosures in patent
applications.

    (a) Nucleotide and/or amino acid sequences as used in Sec. Sec.
1.821 through 1.825 are interpreted to mean an unbranched sequence of 
four or more amino acids or an unbranched sequence of ten or more 
nucleotides. Branched sequences are specifically excluded from this 
definition. Sequences with fewer than four specifically defined 
nucleotides or amino acids are specifically excluded from this section. 
``Specifically defined'' means those amino acids other than ``Xaa'' and 
those nucleotide bases other than ``n''defined in accordance with the 
World Intellectual Property Organization (WIPO) Handbook on Industrial 
Property Information and Documentation, Standard ST.25: Standard for the 
Presentation of Nucleotide and Amino Acid Sequence Listings in Patent 
Applications (1998), including Tables 1 through 6 in Appendix 2, herein 
incorporated by reference. (Hereinafter ``WIPO Standard ST.25 (1998)''). 
This incorporation by reference was approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 
Copies of WIPO Standard ST.25 (1998) may be obtained from the World 
Intellectual Property Organization; 34 chemin des Colombettes; 1211 
Geneva 20 Switzerland. Copies may also be inspected at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov /federal __register /code_ _of_ _ federal__ 
regulations /ibr_ _locations.html. Nucleotides and amino acids are 
further defined as follows:
    (1) Nucleotides: Nucleotides are intended to embrace only those 
nucleotides that can be represented using the symbols set forth in WIPO 
Standard ST.25 (1998), Appendix 2, Table 1. Modifications, e.g., 
methylated bases, may be described as set forth in WIPO Standard ST.25 
(1998), Appendix 2, Table 2, but shall not be shown explicitly in the 
nucleotide sequence.
    (2) Amino acids: Amino acids are those L-amino acids commonly found 
in naturally occurring proteins and are listed in WIPO Standard ST.25 
(1998), Appendix 2, Table 3. Those amino acid sequences containing D-
amino acids are not intended to be embraced by this definition. Any 
amino acid sequence that contains post-translationally modified amino 
acids may be described as the amino acid sequence that is initially 
translated using the symbols shown in WIPO Standard ST.25 (1998), 
Appendix 2, Table 3 with the modified positions; e.g., hydroxylations or 
glycosylations, being described as set forth in WIPO Standard ST.25 
(1998), Appendix 2, Table 4, but these modifications shall not be shown 
explicitly in the amino acid sequence. Any peptide or protein that can 
be expressed as a sequence using the symbols in WIPO Standard ST.25 
(1998), Appendix 2, Table 3 in conjunction with a description in the 
Feature section to describe, for example, modified linkages, cross links 
and end caps, non-peptidyl bonds, etc., is embraced by this definition.
    (b) Patent applications which contain disclosures of nucleotide and/
or amino acid sequences, in accordance with the definition in paragraph 
(a) of this section, shall, with regard to the manner in which the 
nucleotide and/or amino acid sequences are presented and described, 
conform exclusively to the requirements of Sec. Sec.1.821 through 
1.825.
    (c) Patent applications which contain disclosures of nucleotide and/
or amino acid sequences must contain, as a separate part of the 
disclosure, a paper or compact disc copy (see Sec.1.52(e)) disclosing 
the nucleotide and/or amino acid sequences and associated information 
using the symbols and format in accordance with the requirements of 
Sec. Sec.1.822 and 1.823. This paper or compact disc copy is referred 
to elsewhere in this subpart as the ``Sequence Listing.'' Each sequence 
disclosed must appear separately in the ``Sequence Listing.'' Each 
sequence set forth in the ``Sequence Listing'' must be assigned a 
separate sequence identifier. The sequence identifiers must begin with 1 
and increase sequentially by integers. If no sequence is present for a 
sequence identifier, the code ``000'' must be used in place of the 
sequence. The response for the numeric identifier <160must 
include the total number of SEQ ID NOs, whether followed by a sequence 
or by the code ``000.''

[[Page 191]]

    (d) Where the description or claims of a patent application discuss 
a sequence that is set forth in the ``Sequence Listing'' in accordance 
with paragraph (c) of this section, reference must be made to the 
sequence by use of the sequence identifier, preceded by ``SEQ ID NO:'' 
in the text of the description or claims, even if the sequence is also 
embedded in the text of the description or claims of the patent 
application.
    (e) A copy of the ``Sequence Listing'' referred to in paragraph (c) 
of this section must also be submitted in computer readable form (CRF) 
in accordance with the requirements of Sec.1.824. The computer 
readable form must be a copy of the ``Sequence Listing'' and may not be 
retained as a part of the patent application file. If the computer 
readable form of a new application is to be identical with the computer 
readable form of another application of the applicant on file in the 
Office, reference may be made to the other application and computer 
readable form in lieu of filing a duplicate computer readable form in 
the new application if the computer readable form in the other 
application was compliant with all of the requirements of this subpart. 
The new application must be accompanied by a letter making such 
reference to the other application and computer readable form, both of 
which shall be completely identified. In the new application, applicant 
must also request the use of the compliant computer readable ``Sequence 
Listing'' that is already on file for the other application and must 
state that the paper or compact disc copy of the ``Sequence Listing'' in 
the new application is identical to the computer readable copy filed for 
the other application.
    (f) In addition to the paper or compact disc copy required by 
paragraph (c) of this section and the computer readable form required by 
paragraph (e) of this section, a statement that the ``Sequence Listing'' 
content of the paper or compact disc copy and the computer readable copy 
are the same must be submitted with the computer readable form, e.g., a 
statement that ``the sequence listing information recorded in computer 
readable form is identical to the written (on paper or compact disc) 
sequence listing.''
    (g) If any of the requirements of paragraphs (b) through (f) of this 
section are not satisfied at the time of filing under 35 U.S.C. 111(a) 
or at the time of entering the national stage under 35 U.S.C. 371, 
applicant will be notified and given a period of time within which to 
comply with such requirements in order to prevent abandonment of the 
application. Any submission in reply to a requirement under this 
paragraph must be accompanied by a statement that the submission 
includes no new matter.
    (h) If any of the requirements of paragraphs (b) through (f) of this 
section are not satisfied at the time of filing an international 
application under the Patent Cooperation Treaty (PCT), which application 
is to be searched by the United States International Searching Authority 
or examined by the United States International Preliminary Examining 
Authority, applicant will be sent a notice necessitating compliance with 
the requirements within a prescribed time period. Any submission in 
reply to a requirement under this paragraph must be accompanied by a 
statement that the submission does not include matter which goes beyond 
the disclosure in the international application as filed. If applicant 
fails to timely provide the required computer readable form, the United 
States International Searching Authority shall search only to the extent 
that a meaningful search can be performed without the computer readable 
form and the United States International Preliminary Examining Authority 
shall examine only to the extent that a meaningful examination can be 
performed without the computer readable form.

[63 FR 29634, June 1, 1998, as amended at 65 FR 54680, Sept. 8, 2000; 69 
FR 18803, Apr. 9, 2004; 70 FR 10489, Mar. 4, 2005]



Sec.1.822  Symbols and format to be used for nucleotide and/or amino
acid sequence data.

    (a) The symbols and format to be used for nucleotide and/or amino 
acid sequence data shall conform to the requirements of paragraphs (b) 
through (e) of this section.
    (b) The code for representing the nucleotide and/or amino acid 
sequence

[[Page 192]]

characters shall conform to the code set forth in the tables in WIPO 
Standard ST.25 (1998), Appendix 2, Tables 1 and 3. This incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of ST.25 may 
be obtained from the World Intellectual Property Organization; 34 chemin 
des Colombettes; 1211 Geneva 20 Switzerland. Copies may also be 
inspected at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov /federal_ _register /code_ 
_of_ _federal__ regulations/ibr__locations.html. No code other than that 
specified in these sections shall be used in nucleotide and amino acid 
sequences. A modified base or modified or unusual amino acid may be 
presented in a given sequence as the corresponding unmodified base or 
amino acid if the modified base or modified or unusual amino acid is one 
of those listed in WIPO Standard ST.25 (1998), Appendix 2, Tables 2 and 
4, and the modification is also set forth in the Feature section. 
Otherwise, each occurrence of a base or amino acid not appearing in WIPO 
Standard ST.25 (1998), Appendix 2, Tables 1 and 3, shall be listed in a 
given sequence as ``n'' or ``Xaa,'' respectively, with further 
information, as appropriate, given in the Feature section, preferably by 
including one or more feature keys listed in WIPO Standard ST.25 (1998), 
Appendix 2, Tables 5 and 6.
    (c) Format representation of nucleotides. (1) A nucleotide sequence 
shall be listed using the lower-case letter for representing the one-
letter code for the nucleotide bases set forth in WIPO Standard ST.25 
(1998), Appendix 2, Table 1.
    (2) The bases in a nucleotide sequence (including introns) shall be 
listed in groups of 10 bases except in the coding parts of the sequence. 
Leftover bases, fewer than 10 in number, at the end of noncoding parts 
of a sequence shall be grouped together and separated from adjacent 
groups of 10 or 3 bases by a space.
    (3) The bases in the coding parts of a nucleotide sequence shall be 
listed as triplets (codons). The amino acids corresponding to the codons 
in the coding parts of a nucleotide sequence shall be typed immediately 
below the corresponding codons. Where a codon spans an intron, the amino 
acid symbol shall be typed below the portion of the codon containing two 
nucleotides.
    (4) A nucleotide sequence shall be listed with a maximum of 16 
codons or 60 bases per line, with a space provided between each codon or 
group of 10 bases.
    (5) A nucleotide sequence shall be presented, only by a single 
strand, in the 5 to 3 direction, from left to right.
    (6) The enumeration of nucleotide bases shall start at the first 
base of the sequence with number 1. The enumeration shall be continuous 
through the whole sequence in the direction 5 to 3. The enumeration 
shall be marked in the right margin, next to the line containing the 
one-letter codes for the bases, and giving the number of the last base 
of that line.
    (7) For those nucleotide sequences that are circular in 
configuration, the enumeration method set forth in paragraph (c)(6) of 
this section remains applicable with the exception that the designation 
of the first base of the nucleotide sequence may be made at the option 
of the applicant.
    (d) Representation of amino acids. (1) The amino acids in a protein 
or peptide sequence shall be listed using the three-letter abbreviation 
with the first letter as an upper case character, as in WIPO Standard 
ST.25 (1998), Appendix 2, Table 3.
    (2) A protein or peptide sequence shall be listed with a maximum of 
16 amino acids per line, with a space provided between each amino acid.
    (3) An amino acid sequence shall be presented in the amino to 
carboxy direction, from left to right, and the amino and carboxy groups 
shall not be presented in the sequence.
    (4) The enumeration of amino acids may start at the first amino acid 
of the first mature protein, with the number 1. When presented, the 
amino acids preceding the mature protein, e.g., pre-sequences, pro-
sequences, pre-pro-sequences and signal sequences, shall have negative 
numbers, counting backwards starting with the amino acid

[[Page 193]]

next to number 1. Otherwise, the enumeration of amino acids shall start 
at the first amino acid at the amino terminal as number 1. It shall be 
marked below the sequence every 5 amino acids. The enumeration method 
for amino acid sequences that is set forth in this section remains 
applicable for amino acid sequences that are circular in configuration, 
with the exception that the designation of the first amino acid of the 
sequence may be made at the option of the applicant.
    (5) An amino acid sequence that contains internal terminator symbols 
(e.g., ``Ter'', ``*'', or ``.'', etc.) may not be represented as a 
single amino acid sequence, but shall be presented as separate amino 
acid sequences.
    (e) A sequence with a gap or gaps shall be presented as a plurality 
of separate sequences, with separate sequence identifiers, with the 
number of separate sequences being equal in number to the number of 
continuous strings of sequence data. A sequence that is made up of one 
or more noncontiguous segments of a larger sequence or segments from 
different sequences shall be presented as a separate sequence.

[63 FR 29635, June 1, 1998, as amended at 69 FR 18803, Apr. 9, 2004; 70 
FR 10489, Mar. 4, 2005]



Sec.1.823  Requirements for nucleotide and/or amino acid sequences as
part of the application.

    (a)(1) If the ``Sequence Listing'' required by Sec.1.821(c) is 
submitted on paper: The ``Sequence Listing,'' setting forth the 
nucleotide and/or amino acid sequence and associated information in 
accordance with paragraph (b) of this section, must begin on a new page 
and must be titled ``Sequence Listing.'' The pages of the ``Sequence 
Listing'' preferably should be numbered independently of the numbering 
of the remainder of the application. Each page of the ``Sequence 
Listing'' shall contain no more than 66 lines and each line shall 
contain no more than 72 characters. The sheet or sheets presenting a 
sequence listing may not include material other than part of the 
sequence listing. A fixed-width font should be used exclusively 
throughout the ``Sequence Listing.''
    (2) If the ``Sequence Listing'' required by Sec.1.821(c) is 
submitted on compact disc: The ``Sequence Listing'' must be submitted on 
a compact disc in compliance with Sec.1.52(e). The compact disc may 
also contain table information if the application contains table 
information that may be submitted on a compact disc (Sec.
1.52(e)(1)(iii)). The specification must contain an incorporation-by-
reference of the Sequence Listing as required by Sec.1.52(e)(5). The 
presentation of the ``Sequence Listing'' and other materials on compact 
disc under Sec.1.821(c) does not substitute for the Computer Readable 
Form that must be submitted on disk, compact disc, or tape in accordance 
with Sec.1.824.
    (b) The ``Sequence Listing'' shall, except as otherwise indicated, 
include the actual nucleotide and/or amino acid sequence, the numeric 
identifiers and their accompanying information as shown in the following 
table. The numeric identifier shall be used only in the ``Sequence 
Listing.'' The order and presentation of the items of information in the 
``Sequence Listing'' shall conform to the arrangement given below. Each 
item of information shall begin on a new line and shall begin with the 
numeric identifier enclosed in angle brackets as shown. The submission 
of those items of information designated with an ``M'' is mandatory. The 
submission of those items of information designated with an ``O'' is 
optional. Numeric identifiers <110through 
<170shall only be set forth at the beginning of the 
``Sequence Listing.'' The following table illustrates the numeric 
identifiers.

----------------------------------------------------------------------------------------------------------------
                                                                                      Mandatory (M) or optional
    Numeric identifier            Definition              Comments and format                   (O).
----------------------------------------------------------------------------------------------------------------
<110..........  Applicant...............  Preferably max. of 10 names;   M.
                                                      one name per line;
                                                      preferable format: Surname,
                                                      Other Names and/or Initials.
<120..........  Title of Invention......  .............................  M.
<130..........  File Reference..........  Personal file reference......  M when filed prior to
                                                                                     assignment of appl. number.

[[Page 194]]

 
<140..........  Current Application       Specify as: US 07/999,999 or   M, if available.
                            Number.                   PCT/US96/99999.
<141..........  Current Filing Date.....  Specify as: yyyy-mm-dd.......  M, if available.
<150..........  Prior Application Number  Specify as: US 07/999,999 or   M, if applicable include
                                                      PCT/US96/99999.                priority documents under 35
                                                                                     USC 119 and 120.
<151..........  Prior Application Filing  Specify as: yyyy-mm-dd.......  M, if applicable.
                            Date.
<160..........  Number of SEQ ID NOs....  Count includes total number    M.
                                                      of SEQ ID NOs.
<170..........  Software................  Name of software used to       O.
                                                      create the Sequence Listing.
<210..........  SEQ ID NO::............  Response shall be an integer   M.
                                                      representing the SEQ ID NO
                                                      shown.
<211..........  Length..................  Respond with an integer        M.
                                                      expressing the number of
                                                      bases or amino acid residues.
<212..........  Type....................  Whether presented sequence     M.
                                                      molecule is DNA, RNA, or PRT
                                                      (protein). If a nucleotide
                                                      sequence contains both DNA
                                                      and RNA fragments, the type
                                                      shall be ``DNA.'' In
                                                      addition, the combined DNA/
                                                      RNA molecule shall be
                                                      further described in the
                                                      <220to <223feature section.
<213..........  Organism................  Scientific name, i.e., Genus/  M
                                                      species, Unknown or
                                                      Artificial Sequence. In
                                                      addition, the ``Unknown'' or
                                                      ``Artificial Sequence''
                                                      organisms shall be further
                                                      described in the <220to <223feature
                                                      section.
<220..........  Feature.................  Leave blank after <220. <221-223provide for a description   ``Xaa,'' or a modified or
                                                      of points of biological        unusual L-amino acid or
                                                      significance in the            modified base was used in a
                                                      sequence..                     sequence; if ORGANISM is
                                                                                     ``Artificial Sequence'' or
                                                                                     ``Unknown''; if molecule is
                                                                                     combined DNA/RNA''
<221..........  Name/Key................  Provide appropriate            M, under the following
                                                      identifier for feature,        conditions: if ``n,''
                                                      preferably from WIPO           ``Xaa,'' or a modified or
                                                      Standard ST.25 (1998),         unusual L-amino acid or
                                                      Appendix 2, Tables 5 and 6.    modified base was used in a
                                                                                     sequence.
<222..........  Location................  Specify location within        M, under the following
                                                      sequence; where appropriate    conditions: if ``n,''
                                                      state number of first and      ``Xaa,'' or a modified or
                                                      last bases/amino acids in      unusual L-amino acid or
                                                      feature.                       modified base was used in a
                                                                                     sequence.
<223..........  Other Information.......  Other relevant information;    M, under the following
                                                      four lines maximum.            conditions: if ``n,''
                                                                                     ``Xaa,'' or a modified or
                                                                                     unusual L-amino acid or
                                                                                     modified base was used in a
                                                                                     sequence; if ORGANISM is
                                                                                     ``Artificial Sequence'' or
                                                                                     ``Unknown''; if molecule is
                                                                                     combined DNA/RNA.
<300..........  Publication Information.  Leave blank after <300.
<301..........  Authors.................  Preferably max of ten named    O.
                                                      authors of publication;
                                                      specify one name per line;
                                                      preferable format: Surname,
                                                      Other Names and/or Initials.
<302..........  Title...................  .............................  O.
<303..........  Journal.................  .............................  O.
<304..........  Volume..................  .............................  O.
<305..........  Issue...................  .............................  O.
<306..........  Pages...................  .............................  O.
<307..........  Date....................  Journal date on which data     O.
                                                      published; specify as yyyy-
                                                      mm-dd, MMM-yyyy or Season-
                                                      yyyy.
<308..........  Database Accession        Accession number assigned by   O.
                            Number.                   database including database
                                                      name.
<309..........  Database Entry Date.....  Date of entry in database;     O.
                                                      specify as yyyy-mm-dd or MMM-
                                                      yyyy.
<310..........  Patent Document Number..  Document number; for patent-   O.
                                                      type citations only. Specify
                                                      as, for example, US 07/
                                                      999,999.
<311..........  Patent Filing Date......  Document filing date, for      O.
                                                      patent-type citations only;
                                                      specify as yyyy-mm-dd.

[[Page 195]]

 
<312..........  Publication Date........  Document publication date,     O.
                                                      for patent-type citations
                                                      only; specify as yyyy-mm-dd.
<313..........  Relevant Residues.......  FROM (position) TO (position)  O.
<400..........  Sequence................  SEQ ID NO should follow the    M.
                                                      numeric identifier and
                                                      should appear on the line
                                                      preceding the actual
                                                      sequence.
----------------------------------------------------------------------------------------------------------------


[63 FR 29636, June 1, 1998, as amended at 65 FR 54681, Sept. 8, 2000; 68 
FR 38630, June 30, 2003]



Sec.1.824  Form and format for nucleotide and/or amino acid sequence 
submissions in computer readable form.

    (a) The computer readable form required by Sec.1.821(e) shall meet 
the following requirements:
    (1) The computer readable form shall contain a single ``Sequence 
Listing'' as either a diskette, series of diskettes, or other 
permissible media outlined in paragraph (c) of this section.
    (2) The ``Sequence Listing'' in paragraph (a)(l) of this section 
shall be submitted in American Standard Code for Information Interchange 
(ASCII) text. No other formats shall be allowed.
    (3) The computer readable form may be created by any means, such as 
word processors, nucleotide/amino acid sequence editors' or other custom 
computer programs; however, it shall conform to all requirements 
detailed in this section.
    (4) File compression is acceptable when using diskette media, so 
long as the compressed file is in a self-extracting format that will 
decompress on one of the systems described in paragraph (b) of this 
section.
    (5) Page numbering must not appear within the computer readable form 
version of the ``Sequence Listing'' file.
    (6) All computer readable forms must have a label permanently 
affixed thereto on which has been hand-printed or typed: the name of the 
applicant, the title of the invention, the date on which the data were 
recorded on the computer readable form, the operating system used, a 
reference number, and an application number and filing date, if known. 
If multiple diskettes are submitted, the diskette labels must indicate 
their order (e.g., ``1 of X'').
    (b) Computer readable form submissions must meet these format 
requirements:
    (1) Computer Compatibility: IBM PC/XT/AT or Apple Macintosh;
    (2) Operating System Compatibility: MS-DOS, MS-Windows, Unix or 
Macintosh;
    (3) Line Terminator: ASCII Carriage Return plus ASCII Line Feed; and
    (4) Pagination: Continuous file (no ``hard page break'' codes 
permitted).
    (c) Computer readable form files submitted may be in any of the 
following media:
    (1) Diskette: 3.50 inch, 1.44 Mb storage; 3.50 inch, 720 Kb storage; 
5.25 inch, 1.2 Mb storage; 5.25 inch, 360 Kb storage.
    (2) Magnetic tape: 0.5 inch, up to 24000 feet; Density: 1600 or 6250 
bits per inch, 9 track; Format: Unix tar command; specify blocking 
factor (not ``block size''); Line Terminator: ASCII Carriage Return plus 
ASCII Line Feed.
    (3) 8mm Data Cartridge: Format: Unix tar command; specify blocking 
factor (not ``block size''); Line Terminator: ASCII Carriage Return plus 
ASCII Line Feed.
    (4) Compact disc: Format: ISO 9660 or High Sierra Format.
    (5) Magneto Optical Disk: Size/Storage Specifications: 5.25 inch, 
640 Mb.
    (d) Computer readable forms that are submitted to the Office will 
not be returned to the applicant.

[65 FR 54681, Sept. 8, 2000]



Sec.1.825  Amendments to or replacement of sequence listing and 
computer readable copy thereof.

    (a) Any amendment to a paper copy of the ``Sequence Listing'' (Sec.
1.821(c)) must be made by the submission of substitute sheets and 
include a statement that the substitute sheets include no new matter. 
Any amendment to a compact disc copy of the ``Sequence Listing'' (Sec.
1.821(c)) must be made by

[[Page 196]]

the submission of a replacement compact disc (2 copies) in compliance 
with Sec.1.52(e). Amendments must also be accompanied by a statement 
that indicates support for the amendment in the application, as filed, 
and a statement that the replacement compact disc includes no new 
matter.
    (b) Any amendment to the paper or compact disc copy of the 
``Sequence Listing,'' in accordance with paragraph (a) of this section, 
must be accompanied by a substitute copy of the computer readable form 
(Sec.1.821(e)) including all previously submitted data with the 
amendment incorporated therein, accompanied by a statement that the copy 
in computer readable form is the same as the substitute copy of the 
``Sequence Listing.''
    (c) Any appropriate amendments to the ``Sequence Listing'' in a 
patent; e.g., by reason of reissue or certificate of correction, must 
comply with the requirements of paragraphs (a) and (b) of this section.
    (d) If, upon receipt, the computer readable form is found to be 
damaged or unreadable, applicant must provide, within such time as set 
by the Director, a substitute copy of the data in computer readable form 
accompanied by a statement that the substitute data is identical to that 
originally filed.

[63 FR 29638, June 1, 1998, as amended at 65 FR 54681, Sept. 8, 2000]

[[Page 197]]



     Sec. Appendix A to Subpart G of Part 1--Sample Sequence Listing
[GRAPHIC] [TIFF OMITTED] TR01JN98.006


[[Page 198]]


[GRAPHIC] [TIFF OMITTED] TR01JN98.007


[[Page 199]]


[GRAPHIC] [TIFF OMITTED] TR01JN98.008


[[Page 200]]


[GRAPHIC] [TIFF OMITTED] TR01JN98.009

[GRAPHIC] [TIFF OMITTED] TR01JN98.010


[63 FR 29639, June 1, 1998]

[[Page 201]]



  Subpart H_Inter Partes Reexamination of Patents That Issued From an 
Original Application Filed in the United States on or After November 29, 
                                  1999

    Source: 65 FR 76777, Dec. 7, 2000, unless otherwise noted.

                           Prior Art Citations



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

    Citations by the patent owner in accordance with Sec.1.933 and by 
an inter partes reexamination third party requester under Sec.1.915 or 
Sec.1.948 will be entered in the inter partes reexamination file. The 
entry in the patent file of other citations submitted after the date of 
an order for reexamination pursuant to Sec.1.931 by persons other than 
the patent owner, or the third party requester under either Sec.1.913 
or Sec.1.948, will be delayed until the inter partes reexamination 
proceeding has been concluded by the issuance and publication of a 
reexamination certificate. See Sec.1.502 for processing of prior art 
citations in patent and reexamination files during an ex parte 
reexamination proceeding filed under Sec.1.510.

[72 FR 18906, Apr. 16, 2007]

         Requirements for Inter Partes Reexamination Proceedings



Sec.1.903  Service of papers on parties in inter partes reexamination.

    The patent owner and the third party requester will be sent copies 
of Office actions issued during the inter partes reexamination 
proceeding. After filing of a request for inter partes reexamination by 
a third party requester, any document filed by either the patent owner 
or the third party requester must be served on every other party in the 
reexamination proceeding in the manner provided in Sec.1.248. Any 
document must reflect service or the document may be refused 
consideration by the Office. The failure of the patent owner or the 
third party requester to serve documents may result in their being 
refused consideration.



Sec.1.904  Notice of inter partes reexamination in Official Gazette.

    A notice of the filing of an inter partes reexamination request will 
be published in the Official Gazette. The notice published in the 
Official Gazette under Sec.1.11(c) will be considered to be 
constructive notice of the inter partes reexamination proceeding and 
inter partes reexamination will proceed.



Sec.1.905  Submission of papers by the public in inter partes
reexamination.

    Unless specifically provided for, no submissions on behalf of any 
third parties other than third party requesters as defined in 35 U.S.C. 
100(e) will be considered unless such submissions are in accordance with 
Sec.1.915 or entered in the patent file prior to the date of the order 
for reexamination pursuant to Sec.1.931. Submissions by third parties, 
other than third party requesters, filed after the date of the order for 
reexamination pursuant to Sec.1.931, must meet the requirements of 
Sec.1.501 and will be treated in accordance with Sec.1.902. 
Submissions which do not meet the requirements of Sec.1.501 will be 
returned.



Sec.1.906  Scope of reexamination in inter partes reexamination
proceeding.

    (a) Claims in an inter partes reexamination proceeding will be 
examined on the basis of patents or printed publications and, with 
respect to subject matter added or deleted in the reexamination 
proceeding, on the basis of the requirements of 35 U.S.C. 112.
    (b) Claims in an inter partes reexamination proceeding will not be 
permitted to enlarge the scope of the claims of the patent.
    (c) Issues other than those indicated in paragraphs (a) and (b) of 
this section will not be resolved in an inter partes reexamination 
proceeding. If such issues are raised by the patent owner or the third 
party requester during a reexamination proceeding, the existence of such 
issues will be noted by the examiner in the next Office action, in which 
case the patent owner may desire to consider the advisability of filing 
a reissue application to have such issues considered and resolved.

[[Page 202]]



Sec.1.907  Inter partes reexamination prohibited.

    (a) Once an order to reexamine has been issued under Sec.1.931, 
neither the third party requester, nor its privies, may file a 
subsequent request for inter partes reexamination of the patent until an 
inter partes reexamination certificate is issued under Sec.1.997, 
unless authorized by the Director.
    (b) Once a final decision has been entered against a party in a 
civil action arising in whole or in part under 28 U.S.C. 1338 that the 
party has not sustained its burden of proving invalidity of any patent 
claim-in-suit, then neither that party nor its privies may thereafter 
request inter partes reexamination of any such patent claim on the basis 
of issues which that party, or its privies, raised or could have raised 
in such civil action, and an inter partes reexamination requested by 
that party, or its privies, on the basis of such issues may not 
thereafter be maintained by the Office.
    (c) If a final decision in an inter partes reexamination proceeding 
instituted by a third party requester is favorable to patentability of 
any original, proposed amended, or new claims of the patent, then 
neither that party nor its privies may thereafter request inter partes 
reexamination of any such patent claims on the basis of issues which 
that party, or its privies, raised or could have raised in such inter 
partes reexamination proceeding.



Sec.1.913  Persons eligible to file, and time for filing, a request
for inter partes reexamination.

    (a) Except as provided for in Sec.1.907 and in paragraph (b) of 
this section, any person other than the patent owner or its privies may, 
at any time during the period of enforceability of a patent which issued 
from an original application filed in the United States on or after 
November 29, 1999, file a request for inter partes reexamination by the 
Office of any claim of the patent on the basis of prior art patents or 
printed publications cited under Sec.1.501.
    (b) Any request for an inter partes reexamination submitted on or 
after September 16, 2012, will not be accorded a filing date, and any 
such request will not be granted.

[76 FR 59057, Sept. 23, 2011]



Sec.1.915  Content of request for inter partes reexamination.

    (a) The request must be accompanied by the fee for requesting inter 
partes reexamination set forth in Sec.1.20(c)(2).
    (b) A request for inter partes reexamination must include the 
following parts:
    (1) An identification of the patent by patent number and every claim 
for which reexamination is requested.
    (2) A citation of the patents and printed publications which are 
presented to provide a showing that there is a reasonable likelihood 
that the requester will prevail with respect to at least one of the 
claims challenged in the request.
    (3) A statement pointing out, based on the cited patents and printed 
publications, each showing of a reasonable likelihood that the requester 
will prevail with respect to at least one of the claims challenged in 
the request, and a detailed explanation of the pertinency and manner of 
applying the patents and printed publications to every claim for which 
reexamination is requested.
    (4) A copy of every patent or printed publication relied upon or 
referred to in paragraphs (b)(1) through (3) of this section, 
accompanied by an English language translation of all the necessary and 
pertinent parts of any non-English language document.
    (5) A copy of the entire patent including the front face, drawings, 
and specification/claims (in double column format) for which 
reexamination is requested, and a copy of any disclaimer, certificate of 
correction, or reexamination certificate issued in the patent. All 
copies must have each page plainly written on only one side of a sheet 
of paper.
    (6) A certification by the third party requester that a copy of the 
request has been served in its entirety on the patent owner at the 
address provided for in Sec.1.33(c). The name and address of the party 
served must be indicated. If service was not possible, a duplicate copy 
of the request must be supplied to the Office.

[[Page 203]]

    (7) A certification by the third party requester that the estoppel 
provisions of Sec.1.907 do not prohibit the inter partes 
reexamination.
    (8) A statement identifying the real party in interest to the extent 
necessary for a subsequent person filing an inter partes reexamination 
request to determine whether that person is a privy.
    (c) If an inter partes request is filed by an attorney or agent 
identifying another party on whose behalf the request is being filed, 
the attorney or agent must have a power of attorney from that party or 
be acting in a representative capacity pursuant to Sec.1.34.
    (d) If the inter partes request does not include the fee for 
requesting inter partes reexamination required by paragraph (a) of this 
section and meet all the requirements of paragraph (b) of this section, 
then the person identified as requesting inter partes reexamination will 
be so notified and will generally be given an opportunity to complete 
the request within a specified time. Failure to comply with the notice 
will result in the inter partes reexamination request not being granted 
a filing date, and will result in placement of the request in the patent 
file as a citation if it complies with the requirements of Sec.1.501.

[65 FR 76777, Dec. 7, 2000, as amended at 71 FR 9262, Feb. 23, 2006; 71 
FR 44223, Aug. 4, 2006; 72 FR 18906, Apr. 16, 2007; 76 FR 59058, Sept. 
23, 2011]



Sec.1.919  Filing date of request for inter partes reexamination.

    (a) The filing date of a request for inter partes reexamination is 
the date on which the request satisfies all the requirements for the 
request set forth in Sec.1.915.
    (b) If the request is not granted a filing date, the request will be 
placed in the patent file as a citation of prior art if it complies with 
the requirements of Sec.1.501.

[65 FR 76777, Dec. 7, 2000, as amended at 71 FR 9262, Feb. 23, 2006]



Sec.1.923  Examiner's determination on the request for inter partes 
reexamination.

    Within three months following the filing date of a request for inter 
partes reexamination under Sec.1.915, the examiner will consider the 
request and determine whether or not the request and the prior art 
establish a reasonable likelihood that the requester will prevail with 
respect to at least one of the claims challenged in the request. The 
examiner's determination will be based on the claims in effect at the 
time of the determination, will become a part of the official file of 
the patent, and will be mailed to the patent owner at the address as 
provided for in Sec.1.33(c) and to the third party requester. If the 
examiner determines that the request has not established a reasonable 
likelihood that the requester will prevail with respect to at least one 
of the challenged claims, the examiner shall refuse the request and 
shall not order inter partes reexamination.

[76 FR 59058, Sept. 23, 2011]



Sec.1.925  Partial refund if request for inter partes reexamination 
is not ordered.

    Where inter partes reexamination is not ordered, a refund of a 
portion of the fee for requesting inter partes reexamination will be 
made to the requester in accordance with Sec.1.26(c).



Sec.1.927  Petition to review refusal to order inter partes 
reexamination.

    The third party requester may seek review by a petition to the 
Director under Sec.1.181 within one month of the mailing date of the 
examiner's determination refusing to order inter partes reexamination. 
Any such petition must comply with Sec.1.181(b). If no petition is 
timely filed or if the decision on petition affirms that a reasonable 
likelihood that the requester will prevail with respect to at least one 
of the claims challenged in the request has not been established, the 
determination shall be final and nonappealable.

[76 FR 59058, Sept. 23, 2011]

                  Inter Partes Reexamination of Patents



Sec.1.931  Order for inter partes reexamination.

    (a) If it is found that there is a reasonable likelihood that the 
requester will prevail with respect to at least one of the claims 
challenged in the request, the determination will include an order

[[Page 204]]

for inter partes reexamination of the patent for resolution of the 
question of whether the requester will prevail.
    (b) If the order for inter partes reexamination resulted from a 
petition pursuant to Sec.1.927, the inter partes reexamination will 
ordinarily be conducted by an examiner other than the examiner 
responsible for the initial determination under Sec.1.923.

[65 FR 76777, Dec. 7, 2000, as amended at 76 FR 59058, Sept. 23, 2011]

          Information Disclosure in Inter Partes Reexamination



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

    (a) Each individual associated with the patent owner in an inter 
partes reexamination proceeding has a duty of candor and good faith in 
dealing with the Office, which includes a duty to disclose to the Office 
all information known to that individual to be material to patentability 
in a reexamination proceeding as set forth in Sec.1.555(a) and (b). 
The duty to disclose all information known to be material to 
patentability in an inter partes reexamination proceeding is deemed to 
be satisfied by filing a paper in compliance with the requirements set 
forth in Sec.1.555(a) and (b).
    (b) The responsibility for compliance with this section rests upon 
the individuals designated in paragraph (a) of this section, and no 
evaluation will be made by the Office in the reexamination proceeding as 
to compliance with this section. If questions of compliance with this 
section are raised by the patent owner or the third party requester 
during a reexamination proceeding, they will be noted as unresolved 
questions in accordance with Sec.1.906(c).

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



Sec.1.935  Initial Office action usually accompanies order for inter
partes reexamination.

    The order for inter partes reexamination will usually be accompanied 
by the initial Office action on the merits of the reexamination.



Sec.1.937  Conduct of inter partes reexamination.

    (a) All inter partes reexamination proceedings, including any 
appeals to the Patent Trial and Appeal Board, will be conducted with 
special dispatch within the Office, unless the Director makes a 
determination that there is good cause for suspending the reexamination 
proceeding.
    (b) The inter partes reexamination proceeding will be conducted in 
accordance with Sec. Sec.1.104 through 1.116, the sections governing 
the application examination process, and will result in the issuance of 
an inter partes reexamination certificate under Sec.1.997, except as 
otherwise provided.
    (c) All communications between the Office and the parties to the 
inter partes reexamination which are directed to the merits of the 
proceeding must be in writing and filed with the Office for entry into 
the record of the proceeding.
    (d) A petition in an inter partes reexamination proceeding must be 
accompanied by the fee set forth in Sec.1.20(c)(6), except for 
petitions under Sec.1.956 to extend the period for response by a 
patent owner, petitions under Sec.1.958 to accept a delayed response 
by a patent owner, petitions under Sec.1.78 to accept an 
unintentionally delayed benefit claim, and petitions under Sec.
1.530(l) for correction of inventorship in a reexamination proceeding.

[65 FR 76777, as amended at 77 FR 46628, Aug. 6, 2012; 77 FR 48853, Aug. 
14, 2012]



Sec.1.939  Unauthorized papers in inter partes reexamination.

    (a) If an unauthorized paper is filed by any party at any time 
during the inter partes reexamination proceeding it will not be 
considered and may be returned.
    (b) Unless otherwise authorized, no paper shall be filed prior to 
the initial Office action on the merits of the inter partes 
reexamination.



Sec.1.941  Amendments by patent owner in inter partes reexamination.

    Amendments by patent owner in inter partes reexamination proceedings 
are made by filing a paper in compliance with Sec. Sec.1.530(d)-(k) 
and 1.943.

[[Page 205]]



Sec.1.943  Requirements of responses, written comments, and briefs
in inter partes reexamination.

    (a) The form of responses, written comments, briefs, appendices, and 
other papers must be in accordance with the requirements of Sec.1.52.
    (b) Responses by the patent owner and written comments by the third 
party requester shall not exceed 50 pages in length, excluding 
amendments, appendices of claims, and reference materials such as prior 
art references.
    (c) Appellant's briefs filed by the patent owner and the third party 
requester shall not exceed thirty pages or 14,000 words in length, 
excluding appendices of claims and reference materials such as prior art 
references. All other briefs filed by any party shall not exceed fifteen 
pages in length or 7,000 words. If the page limit for any brief is 
exceeded, a certificate is required stating the number of words 
contained in the brief.



Sec.1.945  Response to Office action by patent owner in inter partes
reexamination.

    (a) The patent owner will be given at least thirty days to file a 
response to any Office action on the merits of the inter partes 
reexamination.
    (b) Any supplemental response to the Office action will be entered 
only where the supplemental response is accompanied by a showing of 
sufficient cause why the supplemental response should be entered. The 
showing of sufficient cause must include:
    (1) An explanation of how the requirements of Sec.1.111(a)(2)(i) 
are satisfied;
    (2) An explanation of why the supplemental response was not 
presented together with the original response to the Office action; and
    (3) A compelling reason to enter the supplemental response.

[72 FR 18906, Apr. 16, 2007]



Sec.1.947  Comments by third party requester to patent owner's 
response in inter partes reexamination.

    Each time the patent owner files a response to an Office action on 
the merits pursuant to Sec.1.945, a third party requester may once 
file written comments within a period of 30 days from the date of 
service of the patent owner's response. These comments shall be limited 
to issues raised by the Office action or the patent owner's response. 
The time for submitting comments by the third party requester may not be 
extended. For the purpose of filing the written comments by the third 
party requester, the comments will be considered as having been received 
in the Office as of the date of deposit specified in the certificate 
under Sec.1.8.



Sec.1.948  Limitations on submission of prior art by third party 
requester following the order for inter partes reexamination.

    (a) After the inter partes reexamination order, the third party 
requester may only cite additional prior art as defined under Sec.
1.501 if it is filed as part of a comments submission under Sec.1.947 
or Sec.1.951(b) and is limited to prior art:
    (1) which is necessary to rebut a finding of fact by the examiner;
    (2) which is necessary to rebut a response of the patent owner; or
    (3) which for the first time became known or available to the third 
party requester after the filing of the request for inter partes 
reexamination proceeding. Prior art submitted under paragraph (a)(3) of 
this section must be accompanied by a statement as to when the prior art 
first became known or available to the third party requester and must 
include a discussion of the pertinency of each reference to the 
patentability of at least one claim.
    (b) [Reserved]



Sec.1.949  Examiner's Office action closing prosecution in inter
partes reexamination.

    Upon consideration of the issues a second or subsequent time, or 
upon a determination of patentability of all claims, the examiner shall 
issue an Office action treating all claims present in the inter partes 
reexamination, which may be an action closing prosecution. The Office 
action shall set forth all rejections and determinations not to make a 
proposed rejection, and the grounds therefor. An Office action will not 
usually close prosecution if it includes a new ground of rejection which 
was not previously addressed by the

[[Page 206]]

patent owner, unless the new ground was necessitated by an amendment.



Sec.1.951  Options after Office action closing prosecution in inter 
partes reexamination.

    (a) After an Office action closing prosecution in an inter partes 
reexamination, the patent owner may once file comments limited to the 
issues raised in the Office action closing prosecution. The comments can 
include a proposed amendment to the claims, which amendment will be 
subject to the criteria of Sec.1.116 as to whether or not it shall be 
admitted. The comments must be filed within the time set for response in 
the Office action closing prosecution.
    (b) When the patent owner does file comments, a third party 
requester may once file comments responsive to the patent owner's 
comments within 30 days from the date of service of patent owner's 
comments on the third party requester.



Sec.1.953  Examiner's Right of Appeal Notice in inter partes 
reexamination.

    (a) Upon considering the comments of the patent owner and the third 
party requester subsequent to the Office action closing prosecution in 
an inter partes reexamination, or upon expiration of the time for 
submitting such comments, the examiner shall issue a Right of Appeal 
Notice, unless the examiner reopens prosecution and issues another 
Office action on the merits.
    (b) Expedited Right of Appeal Notice: At any time after the patent 
owner's response to the initial Office action on the merits in an inter 
partes reexamination, the patent owner and all third party requesters 
may stipulate that the issues are appropriate for a final action, which 
would include a final rejection and/or a final determination favorable 
to patentability, and may request the issuance of a Right of Appeal 
Notice. The request must have the concurrence of the patent owner and 
all third party requesters present in the proceeding and must identify 
all of the appealable issues and the positions of the patent owner and 
all third party requesters on those issues. If the examiner determines 
that no other issues are present or should be raised, a Right of Appeal 
Notice limited to the identified issues shall be issued.
    (c) The Right of Appeal Notice shall be a final action, which 
comprises a final rejection setting forth each ground of rejection and/
or final decision favorable to patentability including each 
determination not to make a proposed rejection, an identification of the 
status of each claim, and the reasons for decisions favorable to 
patentability and/or the grounds of rejection for each claim. No 
amendment can be made in response to the Right of Appeal Notice. The 
Right of Appeal Notice shall set a one-month time period for either 
party to appeal. If no notice of appeal is filed, prosecution in the 
inter partes reexamination proceeding will be terminated, and the 
Director will proceed to issue and publish a certificate under Sec.
1.997 in accordance with the Right of Appeal Notice.

[65 FR 76777, Dec. 7, 2000, as amended at 72 FR 18906, Apr. 16, 2007]

           Interviews Prohibited in Inter Partes Reexamination



Sec.1.955  Interviews prohibited in inter partes reexamination 
proceedings.

    There will be no interviews in an inter partes reexamination 
proceeding which discuss the merits of the proceeding.

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



Sec.1.956  Patent owner extensions of time in inter partes 
reexamination.

    The time for taking any action by a patent owner in an inter partes 
reexamination proceeding will be extended only for sufficient cause and 
for a reasonable time specified. Any request for such extension must be 
filed on or before the day on which action by the patent owner is due, 
but in no case will the mere filing of a request effect any extension. 
Any request for such extension must be accompanied by the petition fee 
set forth in Sec.1.17(g). See Sec.1.304(a) for extensions of time 
for filing a notice of appeal to the U.S. Court of Appeals for the 
Federal Circuit.

[69 FR 56546, Sept. 21, 2004]

[[Page 207]]



Sec.1.957  Failure to file a timely, appropriate or complete response 
or comment in inter partes reexamination.

    (a) If the third party requester files an untimely or inappropriate 
comment, notice of appeal or brief in an inter partes reexamination, the 
paper will be refused consideration.
    (b) If no claims are found patentable, and the patent owner fails to 
file a timely and appropriate response in an inter partes reexamination 
proceeding, the prosecution in the reexamination proceeding will be a 
terminated prosecution and the Director will proceed to issue and 
publish a certificate concluding the reexamination proceeding under 
Sec.1.997 in accordance with the last action of the Office.
    (c) If claims are found patentable and the patent owner fails to 
file a timely and appropriate response to any Office action in an inter 
partes reexamination proceeding, further prosecution will be limited to 
the claims found patentable at the time of the failure to respond, and 
to any claims added thereafter which do not expand the scope of the 
claims which were found patentable at that time.
    (d) When action by the patent owner is a bona fide attempt to 
respond and to advance the prosecution and is substantially a complete 
response to the Office action, but consideration of some matter or 
compliance with some requirement has been inadvertently omitted, an 
opportunity to explain and supply the omission may be given.

[65 FR 76777, Dec. 7, 2000, as amended at 72 FR 18906, Apr. 16, 2007]



Sec.1.958  Petition to revive inter partes reexamination prosecution
terminated for lack of patent owner response.

    If a response by the patent owner is not timely filed in the Office, 
a petition may be filed pursuant to Sec.1.137 to revive a 
reexamination prosecution terminated under Sec.1.957(b) or limited 
under Sec.1.957(c) if the delay in response was unintentional.

[78 FR 62408, Oct. 21, 2013]

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



Sec.1.959  Appeal in inter partes reexamination.

    Appeals to the Patent Trial and Appeal Board under 35 U.S.C. 134(c) 
are conducted according to part 41 of this title.

[77 FR 46628, Aug. 6, 2012]



Sec. Sec.1.961-1.977  [Reserved]



Sec.1.979  Return of Jurisdiction from the Patent Trial and Appeal
Board; termination of appeal proceedings.

    (a) Jurisdiction over an inter partes reexamination proceeding 
passes to the examiner after a decision by the Patent Trial and Appeal 
Board upon transmittal of the file to the examiner, subject to each 
appellant's right of appeal or other review, for such further action as 
the condition of the inter partes reexamination proceeding may require, 
to carry into effect the decision of the Patent Trial and Appeal Board.
    (b) Upon judgment in the appeal before the Patent Trial and Appeal 
Board, if no further appeal has been taken (Sec.1.983), the 
prosecution in the inter partes reexamination proceeding will be 
terminated and the Director will issue and publish a certificate under 
Sec.1.997 concluding the proceeding. If an appeal to the U.S. Court of 
Appeals for the Federal Circuit has been filed, that appeal is 
considered terminated when the mandate is issued by the Court.

[77 FR 46628, Aug. 6, 2012]



Sec.1.981  Reopening after a final decision of the Patent Trial
and Appeal Board.

    When a decision by the Patent Trial and Appeal Board on appeal has 
become final for judicial review, prosecution of the inter partes 
reexamination proceeding will not be reopened or reconsidered by the 
primary examiner except under the provisions of Sec.41.77 of this 
title without the written authority of the Director, and then only for

[[Page 208]]

the consideration of matters not already adjudicated, sufficient cause 
being shown.

[77 FR 46628, Aug. 6, 2012]

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



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

    (a) The patent owner or third party requester in an inter partes 
reexamination proceeding who is a party to an appeal to the Patent Trial 
and Appeal Board and who is dissatisfied with the decision of the Patent 
Trial and Appeal Board may, subject to Sec.41.81, appeal to the U.S. 
Court of Appeals for the Federal Circuit and may be a party to any 
appeal thereto taken from a reexamination decision of the Patent Trial 
and Appeal Board.
    (b) The appellant must take the following steps in such an appeal:
    (1) In the U.S. Patent and Trademark Office, timely file a written 
notice of appeal directed to the Director in accordance with Sec. Sec.
1.302 and 1.304;
    (2) In the U.S. Court of Appeals for the Federal Circuit, file a 
copy of the notice of appeal and pay the fee, as provided for in the 
rules of the U.S. Court of Appeals for the Federal Circuit; and
    (3) Serve a copy of the notice of appeal on every other party in the 
reexamination proceeding in the manner provided in Sec.1.248.
    (c) If the patent owner has filed a notice of appeal to the U.S. 
Court of Appeals for the Federal Circuit, the third party requester may 
cross appeal to the U.S. Court of Appeals for the Federal Circuit if 
also dissatisfied with the decision of the Patent Trial and Appeal 
Board.
    (d) If the third party requester has filed a notice of appeal to the 
U.S. Court of Appeals for the Federal Circuit, the patent owner may 
cross appeal to the U.S. Court of Appeals for the Federal Circuit if 
also dissatisfied with the decision of the Patent Trial and Appeal 
Board.
    (e) A party electing to participate in an appellant's appeal must, 
within fourteen days of service of the appellant's notice of appeal 
under paragraph (b) of this section, or notice of cross appeal under 
paragraphs (c) or (d) of this section, take the following steps:
    (1) In the U.S. Patent and Trademark Office, timely file a written 
notice directed to the Director electing to participate in the 
appellant's appeal to the U.S. Court of Appeals for the Federal Circuit 
by mail to, or hand service on, the General Counsel as provided in Sec.
104.2;
    (2) In the U.S. Court of Appeals for the Federal Circuit, file a 
copy of the notice electing to participate in accordance with the rules 
of the U.S. Court of Appeals for the Federal Circuit; and
    (3) Serve a copy of the notice electing to participate on every 
other party in the reexamination proceeding in the manner provided in 
Sec.1.248.
    (f) Notwithstanding any provision of the rules, in any reexamination 
proceeding commenced prior to November 2, 2002, the third party 
requester is precluded from appealing and cross appealing any decision 
of the Patent Trial and Appeal Board to the U.S. Court of Appeals for 
the Federal Circuit, and the third party requester is precluded from 
participating in any appeal taken by the patent owner to the U.S. Court 
of Appeals for the Federal Circuit.

[68 FR 71008, Dec. 22, 2003, as amended at 72 FR 18907, Apr. 16, 2007; 
77 FR 46628, Aug. 6, 2012]

      Concurrent Proceedings Involving Same Patent in Inter Partes 
                              Reexamination



Sec.1.985  Notification of prior or concurrent proceedings in inter
partes reexamination.

    (a) In any inter partes reexamination proceeding, the patent owner 
shall call the attention of the Office to any prior or concurrent 
proceedings in which the patent is or was involved, including but not 
limited to interference or trial before the Patent Trial and Appeal 
Board, reissue, reexamination, or litigation and the results of such 
proceedings.
    (b) Notwithstanding any provision of the rules, any person at any 
time may

[[Page 209]]

file a paper in an inter partes reexamination proceeding notifying the 
Office of a prior or concurrent proceeding in which the same patent is 
or was involved, including but not limited to interference or trial 
before the Patent Trial and Appeal Board, reissue, reexamination, or 
litigation and the results of such proceedings. Such paper must be 
limited to merely providing notice of the other proceeding without 
discussion of issues of the current inter partes reexamination 
proceeding.

[77 FR 46629, Aug. 6, 2012]



Sec.1.987  Suspension of inter partes reexamination proceeding due 
to litigation.

    If a patent in the process of inter partes reexamination is or 
becomes involved in litigation, the Director shall determine whether or 
not to suspend the inter partes reexamination proceeding.



Sec.1.989  Merger of concurrent reexamination proceedings.

    (a) If any reexamination is ordered while a prior inter partes 
reexamination proceeding is pending for the same patent and prosecution 
in the prior inter partes reexamination proceeding has not been 
terminated, a decision may be made to merge the two proceedings or to 
suspend one of the two proceedings. Where merger is ordered, the merged 
examination will normally result in the issuance and publication of a 
single reexamination certificate under Sec.1.997.
    (b) An inter partes reexamination proceeding filed under Sec.1.913 
which is merged with an ex parte reexamination proceeding filed under 
Sec.1.510 will result in the merged proceeding being governed by 
Sec. Sec.1.902 through 1.997, except that the rights of any third 
party requester of the ex parte reexamination shall be governed by 
Sec. Sec.1.510 through 1.560.

[65 FR 76777, Dec. 7, 2000, as amended at 72 FR 18907, Apr. 16, 2007]



Sec.1.991  Merger of concurrent reissue application and inter partes
reexamination proceeding.

    If a reissue application and an inter partes reexamination 
proceeding on which an order pursuant to Sec.1.931 has been mailed are 
pending concurrently on a patent, a decision may be made to merge the 
two proceedings or to suspend one of the two proceedings. Where merger 
of a reissue application and an inter partes reexamination proceeding is 
ordered, the merged proceeding will be conducted in accordance with 
Sec. Sec.1.171 through 1.179, and the patent owner will be required to 
place and maintain the same claims in the reissue application and the 
inter partes reexamination proceeding during the pendency of the merged 
proceeding. In a merged proceeding the third party requester may 
participate to the extent provided under Sec. Sec.1.902 through 1.997 
and 41.60 through 41.81, except that such participation shall be limited 
to issues within the scope of inter partes reexamination. The examiner's 
actions and any responses by the patent owner or third party requester 
in a merged proceeding will apply to both the reissue application and 
the inter partes reexamination proceeding and be physically entered into 
both files. Any inter partes reexamination proceeding merged with a 
reissue application shall be concluded by the grant of the reissued 
patent.

[72 FR 18907, Apr. 16, 2007]



Sec.1.993  Suspension of concurrent interference and inter partes
reexamination proceeding.

    If a patent in the process of inter partes reexamination is or 
becomes involved in an interference or trial before the Patent Trial and 
Appeal Board, the Director may suspend the inter partes reexamination, 
interference, or trial. The Director will not consider a request to 
suspend an interference or trial unless a motion under Sec.
41.121(a)(3) of this title to suspend the interference or trial has been 
presented to, and denied by, an administrative patent judge and the 
request is filed within ten (10) days of a decision by an administrative 
patent judge denying the motion for suspension or such other time as the 
administrative patent judge may set.

[77 FR 46629, Aug. 6, 2012]



Sec.1.995  Third party requester's participation rights preserved 
in merged proceeding.

    When a third party requester is involved in one or more proceedings, 
including an inter partes reexamination

[[Page 210]]

proceeding, the merger of such proceedings will be accomplished so as to 
preserve the third party requester's right to participate to the extent 
specifically provided for in these regulations. In merged proceedings 
involving different requesters, any paper filed by one party in the 
merged proceeding shall be served on all other parties of the merged 
proceeding.

         Reexamination Certificate in Inter Partes Reexamination



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

    (a) To conclude an inter partes reexamination proceeding, the 
Director will issue and publish an inter partes reexamination 
certificate in accordance with 35 U.S.C. 316 setting forth the results 
of the inter partes reexamination proceeding and the content of the 
patent following the inter partes reexamination proceeding.
    (b) A certificate will be issued and published in each patent in 
which an inter partes reexamination proceeding has been ordered under 
Sec.1.931. Any statutory disclaimer filed by the patent owner will be 
made part of the certificate.
    (c) The certificate will be sent to the patent owner at the address 
as provided for in Sec.1.33(c). A copy of the certificate will also be 
sent to the third party requester of the inter partes reexamination 
proceeding.
    (d) If a certificate has been issued and published which cancels all 
of the claims of the patent, no further Office proceedings will be 
conducted with that patent or any reissue applications or any 
reexamination requests relating thereto.
    (e) If the inter partes reexamination proceeding is terminated by 
the grant of a reissued patent as provided in Sec.1.991, the reissued 
patent will constitute the reexamination certificate required by this 
section and 35 U.S.C. 316.
    (f) A notice of the issuance of each certificate under this section 
will be published in the Official Gazette.

[65 FR 76777, Dec. 7, 2000, as amended at 72 FR 18907, Apr. 16, 2007]



               Subpart I_International Design Application

    Source: 80 FR 17964, Apr. 2, 2015, unless otherwise noted.

                           General Information



Sec.1.1001  Definitions related to international design applications.

    (a) Article as used in this subpart means an article of the Hague 
Agreement;
    (b) Regulations as used in this subpart, when capitalized, means the 
``Common Regulations Under the 1999 Act and the 1960 Act of the Hague 
Agreement'';
    (c) Rule as used in this subpart, when capitalized, means one of the 
Regulations;
    (d) Administrative Instructions as used in this subpart means the 
Administrative Instructions referred to in Rule 34;
    (e) 1960 Act as used in this subpart means the Act signed at the 
Hague on November 28, 1960, of the Hague Agreement;
    (f) Other terms and expressions in subpart I not defined in this 
section are as defined in Article 1, Rule 1, and 35 U.S.C. 381.



Sec.1.1002  The United States Patent and Trademark Office as an office
of indirect filing.

    (a) The United States Patent and Trademark Office, as an office of 
indirect filing, shall accept international design applications where 
the applicant's Contracting Party is the United States.
    (b) The major functions of the United States Patent and Trademark 
Office as an office of indirect filing include:
    (1) Receiving and according a receipt date to international design 
applications;
    (2) Collecting and, when required, transmitting fees due for 
processing international design applications;
    (3) Determining compliance with applicable requirements of part 5 of 
this chapter; and
    (4) Transmitting an international design application to the 
International Bureau, unless prescriptions concerning national security 
prevent the application from being transmitted.

[[Page 211]]



Sec.1.1003  The United States Patent and Trademark Office as a
designated office.

    (a) The United States Patent and Trademark Office will act as a 
designated office (``United States Designated Office'') for 
international design applications in which the United States has been 
designated as a Contracting Party in which protection is sought.
    (b) The major functions of the United States Designated Office 
include:
    (1) Accepting for national examination international design 
applications which satisfy the requirements of the Hague Agreement, the 
Regulations, and the regulations;
    (2) Performing an examination of the international design 
application in accordance with 35 U.S.C. chapter 16; and
    (3) Communicating the results of examination to the International 
Bureau.



Sec.1.1004  The International Bureau.

    (a) The International Bureau is the World Intellectual Property 
Organization located at Geneva, Switzerland. It is the international 
intergovernmental organization which acts as the coordinating body under 
the Hague Agreement and the Regulations.
    (b) The major functions of the International Bureau include:
    (1) Receiving international design applications directly from 
applicants and indirectly from an office of indirect filing;
    (2) Collecting required fees and crediting designation fees to the 
accounts of the Contracting Parties concerned;
    (3) Reviewing international design applications for compliance with 
prescribed formal requirements;
    (4) Translating international design applications into the required 
languages for recordation and publication;
    (5) Registering international designs in the International Register 
where the international design application complies with the applicable 
requirements;
    (6) Publishing international registrations in the International 
Designs Bulletin; and
    (7) Sending copies of the publication of the international 
registration to each designated office.



Sec.1.1005  Display of currently valid control number under the 
Paperwork Reduction Act.

    (a) Pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 
et seq.), the collection of information in this subpart has been 
reviewed and approved by the Office of Management and Budget under 
control number 0651-0075.
    (b) Notwithstanding any other provision of law, no person is 
required to respond to nor shall a person be subject to a penalty for 
failure to comply with a collection of information subject to the 
requirements of the Paperwork Reduction Act unless that collection of 
information displays a currently valid Office of Management and Budget 
control number. This section constitutes the display required by 44 
U.S.C. 3512(a) and 5 CFR 1320.5(b)(2)(i) for the collection of 
information under Office of Management and Budget control number 0651-
0075 (see 5 CFR 1320.5(b)(2)(ii)(D)).

            Who May File an International Design Application



Sec.1.1011  Applicant for international design application.

    (a) Only persons who are nationals of the United States or who have 
a domicile, a habitual residence, or a real and effective industrial or 
commercial establishment in the territory of the United States may file 
international design applications through the United States Patent and 
Trademark Office.
    (b) Although the United States Patent and Trademark Office will 
accept international design applications filed by any person referred to 
in paragraph (a) of this section, an international design application 
designating the United States may be refused by the Office as a 
designated office if the applicant is not a person qualified under 35 
U.S.C. chapter 11 to be an applicant.



Sec.1.1012  Applicant's Contracting Party.

    In order to file an international design application through the 
United States Patent and Trademark Office as an office of indirect 
filing, the United States must be applicant's Contracting Party 
(Articles 4 and 1(xiv)).

[[Page 212]]

                  The International Design Application



Sec.1.1021  Contents of the international design application.

    (a) Mandatory contents. The international design application shall 
be in English, French, or Spanish (Rule 6(1)) and shall contain or be 
accompanied by:
    (1) A request for international registration under the Hague 
Agreement (Article 5(1)(i));
    (2) The prescribed data concerning the applicant (Article 5(1)(ii) 
and Rule 7(3)(i) and (ii));
    (3) The prescribed number of copies of a reproduction or, at the 
choice of the applicant, of several different reproductions of the 
industrial design that is the subject of the international design 
application, presented in the prescribed manner; however, where the 
industrial design is two-dimensional and a request for deferment of 
publication is made in accordance with Article 5(5), the international 
design application may, instead of containing reproductions, be 
accompanied by the prescribed number of specimens of the industrial 
design (Article 5(1)(iii));
    (4) An indication of the product or products that constitute the 
industrial design or in relation to which the industrial design is to be 
used, as prescribed (Article 5(1)(iv) and Rule 7(3)(iv));
    (5) An indication of the designated Contracting Parties (Article 
5(1)(v));
    (6) The prescribed fees (Article 5(1)(vi) and Rule 12(1));
    (7) The Contracting Party or Parties in respect of which the 
applicant fulfills the conditions to be the holder of an international 
registration (Rule 7(3)(iii));
    (8) The number of industrial designs included in the international 
design application, which may not exceed 100, and the number of 
reproductions or specimens of the industrial designs accompanying the 
international design application (Rule 7(3)(v));
    (9) The amount of the fees being paid and the method of payment, or 
instructions to debit the required amount of fees to an account opened 
with the International Bureau, and the identification of the party 
effecting the payment or giving the instructions (Rule 7(3)(vii)); and
    (10) An indication of applicant's Contracting Party as required 
under Rule 7(4)(a).
    (b) Additional mandatory contents required by certain Contracting 
Parties. (1) Where the international design application contains the 
designation of a Contracting Party that requires, pursuant to Article 
5(2), any of the following elements, then the international design 
application shall contain such required element(s):
    (i) Indications concerning the identity of the creator of the 
industrial design that is the subject of that application (Rule 11(1));
    (ii) A brief description of the reproduction or of the 
characteristic features of the industrial design that is the subject of 
that application (Rule 11(2));
    (iii) A claim (Rule 11(3)).
    (2) Where the international design application contains the 
designation of a Contracting Party that has made a declaration under 
Rule 8(1), then the international application shall contain the 
statement, document, oath or declaration specified in that declaration 
(Rule 7(4)(c)).
    (c) Optional contents. The international design application may 
contain:
    (1) Two or more industrial designs, subject to the prescribed 
conditions (Article 5(4) and Rule 7(7));
    (2) A request for deferment of publication (Article 5(5) and Rule 
7(5)(e)) or a request for immediate publication (Rule 17);
    (3) An element referred to in item (i) or (ii) of Article 5(2)(b) of 
the Hague Agreement or in Article 8(4)(a) of the 1960 Act even where 
that element is not required in consequence of a notification in 
accordance with Article 5(2)(a) of the Hague Agreement or in consequence 
of a requirement under Article 8(4)(a) of the 1960 Act (Rule 7(5)(a));
    (4) The name and address of applicant's representative, as 
prescribed (Rule 7(5)(b));
    (5) A claim of priority of one or more earlier filed applications in 
accordance with Article 6 and Rule 7(5)(c);
    (6) A declaration, for purposes of Article 11 of the Paris 
Convention, that

[[Page 213]]

the product or products which constitute the industrial design or in 
which the industrial design is incorporated have been shown at an 
official or officially recognized international exhibition, together 
with the place where the exhibition was held and the date on which the 
product or products were first exhibited there and, where less than all 
the industrial designs contained in the international design application 
are concerned, the indication of those industrial designs to which the 
declaration relates or does not relate (Rule 7(5)(d));
    (7) Any declaration, statement or other relevant indication as may 
be specified in the Administrative Instructions (Rule 7(5)(f));
    (8) A statement that identifies information known by the applicant 
to be material to the eligibility for protection of the industrial 
design concerned (Rule 7(5)(g));
    (9) A proposed translation of any text matter contained in the 
international design application for purposes of recording and 
publication (Rule 6(4)).
    (d) Required contents where the United States is designated. In 
addition to the mandatory requirements set forth in paragraph (a) of 
this section, an international design application that designates the 
United States shall contain or be accompanied by:
    (1) A claim (Sec. Sec.1.1021(b)(1)(iii) and 1.1025);
    (2) Indications concerning the identity of the creator (i.e., the 
inventor, see Sec.1.9(d)) in accordance with Rule 11(1); and
    (3) The inventor's oath or declaration (Sec. Sec.1.63 and 1.64). 
The requirements in Sec. Sec.1.63(b) and 1.64(b)(4) to identify each 
inventor by his or her legal name, mailing address, and residence, if an 
inventor lives at a location which is different from the mailing 
address, and the requirement in Sec.1.64(b)(2) to identify the 
residence and mailing address of the person signing the substitute 
statement will be considered satisfied by the presentation of such 
information in the international design application prior to 
international registration.



Sec.1.1022  Form and signature.

    (a) The international design application shall be presented on the 
official form (Rules 7(1) and 1(vi)).
    (b) The international design application shall be signed by the 
applicant.



Sec.1.1023  Filing date of an international design application in the 
United States.

    (a) Subject to paragraph (b) of this section, the filing date of an 
international design application in the United States is the date of 
international registration determined by the International Bureau under 
the Hague Agreement (35 U.S.C. 384 and 381(a)(5)).
    (b) Where the applicant believes the international design 
application is entitled under the Hague Agreement to a filing date in 
the United States other than the date of international registration, the 
applicant may petition the Director under this paragraph to accord the 
international design application a filing date in the United States 
other than the date of international registration. Such petition must be 
accompanied by the fee set forth in Sec.1.17(f) and include a showing 
to the satisfaction of the Director that the international design 
application is entitled to such filing date.



Sec.1.1024  The description.

    An international design application designating the United States 
must include a specification as prescribed by 35 U.S.C. 112 and 
preferably include a brief description of the reproduction pursuant to 
Rule 7(5)(a) describing the view or views of the reproductions.



Sec.1.1025  The claim.

    The specific wording of the claim in an international design 
application designating the United States shall be in formal terms to 
the ornamental design for the article (specifying name of article) as 
shown, or as shown and described. More than one claim is neither 
required nor permitted for purposes of the United States.



Sec.1.1026  Reproductions.

    Reproductions shall comply with the requirements of Rule 9 and Part 
Four of the Administrative Instructions.

[[Page 214]]



Sec.1.1027  Specimens.

    Where a request for deferment of publication has been filed in 
respect of a two-dimensional industrial design, the international design 
application may include specimens of the design in accordance with Rule 
10 and Part Four of the Administrative Instructions. Specimens are not 
permitted in an international design application that designates the 
United States or any other Contracting Party which does not permit 
deferment of publication.



Sec.1.1028  Deferment of publication.

    The international design application may contain a request for 
deferment of publication, provided the application does not designate 
the United States or any other Contracting Party which does not permit 
deferment of publication.

                                  Fees



Sec.1.1031  International design application fees.

    (a) International design applications filed through the Office as an 
office of indirect filing are subject to payment of a transmittal fee 
(35 U.S.C. 382(b) and Article 4(2)) in the amount of:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................       $30.00
By a small entity (Sec. 1.27(a)).........................        60.00
By other than a small or micro entity......................       120.00
------------------------------------------------------------------------

    (b) The Schedule of Fees annexed to the Regulations (Rule 27(1)), a 
list of individual designation fee amounts, and a fee calculator may be 
viewed on the Web site of the World Intellectual Property Organization, 
currently available at http://www.wipo.int/hague.
    (c) The following fees required by the International Bureau may be 
paid either directly to the International Bureau or through the Office 
as an office of indirect filing in the amounts specified on the World 
Intellectual Property Organization Web site described in paragraph (b) 
of this section:
    (1) International application fees (Rule 12(1)); and
    (2) Fee for descriptions exceeding 100 words (Rule 11(2)).
    (d) The fees referred to in paragraph (c) of this section may be 
paid as follows:
    (1) Directly to the International Bureau in Swiss currency (see 
Administrative Instruction 801); or
    (2) Through the Office as an office of indirect filing, provided 
such fees are paid no later than the date of payment of the transmittal 
fee required under paragraph (a) of this section. Any payment through 
the Office must be in U.S. dollars. Applicants paying the fees in 
paragraph (c) of this section through the Office may be subject to a 
requirement by the International Bureau to pay additional amounts where 
the conversion from U.S. dollars to Swiss currency results in the 
International Bureau receiving less than the prescribed amounts.
    (e) Payment of the fees referred to in Article 17 and Rule 24 for 
renewing an international registration (``renewal fees'') is not 
required to maintain a U.S. patent issuing on an international design 
application in force. Renewal fees, if required, must be submitted 
directly to the International Bureau. Any renewal fee submitted to the 
Office will not be transmitted to the International Bureau.
    (f) The designation fee for the United States shall consist of:
    (1) A first part established in Swiss currency pursuant to Hague 
Rule 28 based on the combined amounts of the basic filing fee (Sec.
1.16(b)), search fee (Sec.1.16(l)), and examination fee (Sec.
1.16(p)) for a design application. The first part is payable at the time 
of filing the international design application; and
    (2) A second part (issue fee) as provided in Sec.1.18(b). The 
second part is payable within the period specified in a notice of 
allowance (Sec.1.311).

[80 FR 17964, Apr. 2, 2015, as amended at 82 FR 52816, Nov. 14, 2017]

                             Representation



Sec.1.1041  Representation in an international design application.

    (a) The applicant may appoint a representative before the 
International Bureau in accordance with Rule 3.
    (b) Applicants of international design applications may be 
represented before the Office as an office of indirect filing

[[Page 215]]

by a practitioner registered (Sec.11.6) or granted limited recognition 
(Sec.11.9(a) or (b)) to practice before the Office in patent matters. 
Such practitioner may act pursuant to Sec.1.34 or pursuant to 
appointment by the applicant. The appointment must be in writing signed 
by the applicant, must give the practitioner power to act on behalf of 
the applicant, and must specify the name and registration number or 
limited recognition number of each practitioner. An appointment of a 
representative made in the international design application pursuant to 
Rule 3(2) that complies with the requirements of this paragraph will be 
effective as an appointment before the Office as an office of indirect 
filing.



Sec.1.1042  Correspondence respecting international design 
applications filed with the Office as an office of indirect filing.

    The applicant may specify a correspondence address for 
correspondence sent by the Office as an office of indirect filing. Where 
no such address has been specified, the Office will use as the 
correspondence address the address of applicant's appointed 
representative (Sec.1.1041) or, where no representative is appointed, 
the address as specified in Administrative Instruction 302.

  Transmittal of International Design Application to the International 
                                 Bureau



Sec.1.1045  Procedures for transmittal of international design 
application to the International Bureau.

    (a) Subject to paragraph (b) of this section and payment of the 
transmittal fee set forth in Sec.1.1031(a), transmittal of the 
international design application to the International Bureau shall be 
made by the Office as provided by Rule 13(1). At the same time as it 
transmits the international design application to the International 
Bureau, the Office shall notify the International Bureau of the date on 
which it received the application. The Office shall also notify the 
applicant of the date on which it received the application and of the 
transmittal of the international design application to the International 
Bureau.
    (b) No copy of an international design application may be 
transmitted to the International Bureau, a foreign designated office, or 
other foreign authority by the Office or the applicant, unless the 
applicable requirements of part 5 of this chapter have been satisfied.
    (c) Once transmittal of the international design application has 
been effected under paragraph (a) of this section, except for matters 
properly before the United States Patent and Trademark Office as an 
office of indirect filing or as a designated office, all further 
correspondence concerning the application should be sent directly to the 
International Bureau. The United States Patent and Trademark Office will 
generally not forward communications to the International Bureau 
received after transmittal of the application to the International 
Bureau. Any reply to an invitation sent to the applicant by the 
International Bureau must be filed directly with the International 
Bureau, and not with the Office, to avoid abandonment or other loss of 
rights under Article 8.

 Relief From Prescribed Time Limits; Conversion to a Design Application 
                       Under 35 U.S.C. Chapter 16



Sec.1.1051  Relief from prescribed time limits.

    (a) If the delay in an applicant's failure to act within prescribed 
time limits under the Hague Agreement in connection with requirements 
pertaining to an international design application was unintentional, a 
petition may be filed pursuant to this section to excuse the failure to 
act as to the United States. A grantable petition pursuant to this 
section must be accompanied by:
    (1) A copy of any invitation sent from the International Bureau 
setting a prescribed time limit for which applicant failed to timely 
act;
    (2) The reply required under paragraph (c) of this section, unless 
previously filed;
    (3) The fee as set forth in Sec.1.17(m);
    (4) A certified copy of the originally filed international design 
application,

[[Page 216]]

unless a copy of the international design application was previously 
communicated to the Office from the International Bureau or the 
international design application was filed with the Office as an office 
of indirect filing, and a translation thereof into the English language 
if it was filed in another language;
    (5) A statement that the entire delay in filing the required reply 
from the due date for the reply until the filing of a grantable petition 
pursuant to this paragraph was unintentional. The Director may require 
additional information where there is a question whether the delay was 
unintentional; and
    (6) A terminal disclaimer (and fee as set forth in Sec.1.20(d)) 
required pursuant to paragraph (d) of this section.
    (b) Any request for reconsideration or review of a decision refusing 
to excuse the applicant's failure to act within prescribed time limits 
in connection with requirements pertaining to an international design 
application upon petition filed pursuant to this section, to be 
considered timely, must be filed within two months of the decision 
refusing to excuse or within such time as set in the decision. Unless a 
decision indicates otherwise, this time period may be extended under the 
provisions of Sec.1.136.
    (c) Reply. The reply required may be:
    (1) The filing of a continuing application. If the international 
design application has not been subject to international registration, 
the reply must also include a grantable petition under Sec.1.1023(b) 
to accord the international design application a filing date; or
    (2) A grantable petition under Sec.1.1052, where the international 
design application was filed with the Office as an office of indirect 
filing.
    (d) Terminal disclaimer. Any petition pursuant to this section must 
be accompanied by a terminal disclaimer and fee as set forth in Sec.
1.321 dedicating to the public a terminal part of the term of any patent 
granted thereon equivalent to the period beginning on the due date for 
the reply for which applicant failed to timely act and ending on the 
date of filing of the reply required under paragraph (c) of this section 
and must also apply to any patent granted on a continuing design 
application that contains a specific reference under 35 U.S.C. 120, 121, 
365(c) or 386(c) to the application for which relief under this section 
is sought.



Sec.1.1052  Conversion to a design application under 35 U.S.C. 
chapter 16.

    (a) An international design application designating the United 
States filed with the Office as an office of indirect filing and meeting 
the requirements under Sec.1.53(b) for a filing date for an 
application for a design patent may, on petition under this section, be 
converted to an application for a design patent under Sec.1.53(b) and 
accorded a filing date as provided therein. A petition under this 
section must be accompanied by the fee set forth in Sec.1.17(t) and be 
filed prior to publication of the international registration under 
Article 10(3). The conversion of an international design application to 
an application for a design patent under Sec.1.53(b) will not entitle 
applicant to a refund of the transmittal fee or any fee forwarded to the 
International Bureau, or the application of any such fee toward the 
filing fee, or any other fee, for the application for a design patent 
under Sec.1.53(b). The application for a design patent resulting from 
conversion of an international design application must also include the 
basic filing fee (Sec.1.16(b)), the search fee (Sec.1.16(l)), the 
examination fee (Sec.1.16(p)), the inventor's oath or declaration 
(Sec.1.63 or 1.64), and a surcharge if required by Sec.1.16(f).
    (b) An international design application will be converted to an 
application for a design patent under Sec.1.53(b) if a decision on 
petition under this section is granted prior to transmittal of the 
international design application to the International Bureau pursuant to 
Sec.1.1045. Otherwise, a decision granting a petition under this 
section will be effective to convert the international design 
application to an application for a design patent under Sec.1.53(b) 
only for purposes of the designation of the United States.
    (c) A petition under this section will not be granted in an 
abandoned international design application absent a grantable petition 
under Sec.1.1051.
    (d) An international design application converted under this section 
is subject to the regulations applicable to

[[Page 217]]

a design application filed under 35 U.S.C. chapter 16.

        National Processing of International Design Applications



Sec.1.1061  Rules applicable.

    (a) The rules relating to applications for patents for other 
inventions or discoveries are also applicable to international design 
applications designating the United States, except as otherwise provided 
in this chapter or required by the Articles or Regulations.
    (b) The provisions of Sec.1.74, Sec.1.84, except for Sec.
1.84(c), and Sec. Sec.1.152 through 1.154 shall not apply to 
international design applications.



Sec.1.1062  Examination.

    (a) Examination. The Office shall make an examination pursuant to 
title 35, United States Code, of an international design application 
designating the United States.
    (b) Timing. For each international design application to be examined 
under paragraph (a) of this section, the Office shall, subject to Rule 
18(1)(c)(ii), send to the International Bureau within 12 months from the 
publication of the international registration under Rule 26(3) a 
notification of refusal (Sec.1.1063) where it appears that the 
applicant is not entitled to a patent under the law with respect to any 
industrial design that is the subject of the international registration.



Sec.1.1063  Notification of refusal.

    (a) A notification of refusal shall contain or indicate:
    (1) The number of the international registration;
    (2) The grounds on which the refusal is based;
    (3) A copy of a reproduction of the earlier industrial design and 
information concerning the earlier industrial design, where the grounds 
of refusal refer to similarity with an industrial design that is the 
subject of an earlier application or registration;
    (4) Where the refusal does not relate to all the industrial designs 
that are the subject of the international registration, those to which 
it relates or does not relate; and
    (5) A time period for reply under Sec. Sec.1.134 and 1.136, where 
a reply to the notification of refusal is required.
    (b) Any reply to the notification of refusal must be filed directly 
with the Office and not through the International Bureau. The 
requirements of Sec.1.111 shall apply to a reply to a notification of 
refusal.



Sec.1.1064  One independent and distinct design.

    (a) Only one independent and distinct design may be claimed in a 
nonprovisional international design application.
    (b) If the requirements under paragraph (a) of this section are not 
satisfied, the examiner shall in the notification of refusal or other 
Office action require the applicant in the reply to that action to elect 
one independent and distinct design for which prosecution on the merits 
shall be restricted. Such requirement will normally be made before any 
action on the merits but may be made at any time before the final 
action. Review of any such requirement is provided under Sec. Sec.
1.143 and 1.144.



Sec.1.1065  Corrections and other changes in the International Register.

    (a) The effects of any correction in the International Register by 
the International Bureau pursuant to Rule 22 in a pending nonprovisional 
international design application shall be decided by the Office in 
accordance with the merits of each situation, subject to such other 
requirements as may be imposed. A patent issuing from an international 
design application may only be corrected in accordance with the 
provisions of title 35, United States Code, for correcting patents. Any 
correction under Rule 22 recorded by the International Bureau with 
respect to an abandoned nonprovisional international design application 
will generally not be acted upon by the Office and shall not be given 
effect unless otherwise indicated by the Office.
    (b) A recording of a partial change in ownership in the 
International Register pursuant to Rule 21(7) concerning a transfer of 
less than all designs shall not have effect in the United States.

[[Page 218]]



Sec.1.1066  Correspondence address for a nonprovisional international 
design application.

    (a) Unless the correspondence address is changed in accordance with 
Sec.1.33(a), the Office will use as the correspondence address in a 
nonprovisional international design application the address according to 
the following order:
    (1) The correspondence address under Sec.1.1042;
    (2) The address of applicant's representative identified in the 
publication of the international registration; and
    (3) The address of the applicant identified in the publication of 
the international registration.
    (b) Reference in the rules to the correspondence address set forth 
in Sec.1.33(a) shall be construed to include a reference to this 
section for a nonprovisional international design application.



Sec.1.1067  Title, description, and inventor's oath or declaration.

    (a) The title of the design must designate the particular article. 
Where a nonprovisional international design application does not contain 
a title of the design, the Office may establish a title. No description, 
other than a reference to the drawing, is ordinarily required in a 
nonprovisional international design application.
    (b) An international design application designating the United 
States must include the inventor's oath or declaration. See Sec.
1.1021(d). If the applicant is notified in a notice of allowability that 
an oath or declaration in compliance with Sec.1.63, or substitute 
statement in compliance with Sec.1.64, executed by or with respect to 
each named inventor has not been filed, the applicant must file each 
required oath or declaration in compliance with Sec.1.63, or 
substitute statement in compliance with Sec.1.64, no later than the 
date on which the issue fee is paid to avoid abandonment. This time 
period is not extendable under Sec.1.136 (see Sec.1.136(c)).



Sec.1.1068  Statement of grant of protection.

    Upon issuance of a patent on an international design application 
designating the United States, the Office may send to the International 
Bureau a statement to the effect that protection is granted in the 
United States to those industrial design or designs that are the subject 
of the international registration and covered by the patent.



Sec.1.1070  Notification of Invalidation.

    (a) Where a design patent that was granted from an international 
design application is invalidated in the United States, and the 
invalidation is no longer subject to any review or appeal, the patentee 
shall inform the Office.
    (b) After receiving a notification of invalidation under paragraph 
(a) of this section or through other means, the Office will notify the 
International Bureau in accordance with Hague Rule 20.



Sec.1.1071  Grant of protection for an industrial design only upon
issuance of a patent.

    A grant of protection for an industrial design that is the subject 
of an international registration shall only arise in the United States 
through the issuance of a patent pursuant to 35 U.S.C. 389(d) or 171, 
and in accordance with 35 U.S.C. 153.



PART 2_RULES OF PRACTICE IN TRADEMARK CASES--Table of Contents



    Editorial Note: Part 2 is placed in the separate grouping of parts 
pertaining to trademarks regulations.



PART 3_ASSIGNMENT, RECORDING AND RIGHTS OF ASSIGNEE--Table of Contents



Sec.
3.1 Definitions.

                    Documents Eligible for Recording

3.11 Documents which will be recorded.
3.16 Assignability of trademarks prior to filing of an allegation of 
          use.

                       Requirements for Recording

3.21 Identification of patents and patent applications.
3.24 Requirements for documents and cover sheets relating to patents and 
          patent applications.
3.25 Recording requirements for trademark applications and 
          registrations.
3.26 English language requirement.

[[Page 219]]

3.27 Mailing address for submitting documents to be recorded.
3.28 Requests for recording.

                        Cover Sheet Requirements

3.31 Cover sheet content.
3.34 Correction of cover sheet errors.

                                  Fees

3.41 Recording fees.

                      Date and Effect of Recording

3.51 Recording date.
3.54 Effect of recording.
3.56 Conditional assignments.
3.58 Governmental registers.

                         Domestic Representative

3.61 Domestic representative.

                        Action Taken by Assignee

3.71 Prosecution by assignee.
3.73 Establishing right of assignee to take action.

                          Issuance to Assignee

3.81 Issue of patent to assignee.
3.85 Issue of registration to assignee.

    Authority: 15 U.S.C. 1123; 35 U.S.C. 2(b)(2).

    Source: 57 FR 29642, July 6, 1992, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 3 appear at 68 FR 
14337, Mar. 25, 2003.



Sec.3.1  Definitions.

    For purposes of this part, the following definitions shall apply:
    Application means a national application for patent, an 
international patent application that designates the United States of 
America, an international design application that designates the United 
States of America, or an application to register a trademark under 
section 1 or 44 of the Trademark Act, 15 U.S.C. 1051, or 15 U.S.C. 1126, 
unless otherwise indicated.
    Assignment means a transfer by a party of all or part of its right, 
title and interest in a patent, patent application, registered mark or a 
mark for which an application to register has been filed.
    Document means a document which a party requests to be recorded in 
the Office pursuant to Sec.3.11 and which affects some interest in an 
application, patent, or registration.
    Office means the United States Patent and Trademark Office.
    Recorded document means a document which has been recorded in the 
Office pursuant to Sec.3.11.
    Registration means a trademark registration issued by the Office.

[69 FR 29878, May 26, 2004, as amended at 80 FR 17969, Apr. 2, 2015]

                    Documents Eligible for Recording



Sec.3.11  Documents which will be recorded.

    (a) Assignments of applications, patents, and registrations, and 
other documents relating to interests in patent applications and 
patents, accompanied by completed cover sheets as specified in Sec.
3.28 and Sec.3.31, will be recorded in the Office. Other documents, 
accompanied by completed cover sheets as specified in Sec.3.28 and 
Sec.3.31, affecting title to applications, patents, or registrations, 
will be recorded as provided in this part or at the discretion of the 
Director.
    (b) Executive Order 9424 of February 18, 1944 (9 FR 1959, 3 CFR 
1943-1948 Comp., p. 303) requires the several departments and other 
executive agencies of the Government, including Government-owned or 
Government-controlled corporations, to forward promptly to the Director 
for recording all licenses, assignments, or other interests of the 
Government in or under patents or patent applications. Assignments and 
other documents affecting title to patents or patent applications and 
documents not affecting title to patents or patent applications required 
by Executive Order 9424 to be filed will be recorded as provided in this 
part.
    (c) A joint research agreement or an excerpt of a joint research 
agreement will also be recorded as provided in this part.

[62 FR 53202, Oct. 10, 1997, as amended at 70 FR 1824, Jan. 11, 2005; 70 
FR 54267, Sept. 14, 2005; 78 FR 62408, Oct. 21, 2013]



Sec.3.16  Assignability of trademarks prior to filing of an allegation
of use.

    Before an allegation of use under either 15 U.S.C. 1051(c) or 15 
U.S.C. 1051(d) is filed, an applicant may only assign an application to 
register a mark under 15 U.S.C. 1051(b) to a successor to the 
applicant's business, or portion of the

[[Page 220]]

business to which the mark pertains, if that business is ongoing and 
existing.

[64 FR 48926, Sept. 8, 1999]

                       Requirements for Recording



Sec.3.21  Identification of patents and patent applications.

    An assignment relating to a patent must identify the patent by the 
patent number. An assignment relating to a national patent application 
must identify the national patent application by the application number 
(consisting of the series code and the serial number; e.g., 07/123,456). 
An assignment relating to an international patent application which 
designates the United States of America must identify the international 
application by the international application number; e.g., PCT/US2012/
012345. An assignment relating to an international design application 
which designates the United States of America must identify the 
international design application by the international registration 
number or by the U.S. application number assigned to the international 
design application. If an assignment of a patent application filed under 
Sec.1.53(b) of this chapter is executed concurrently with, or 
subsequent to, the execution of the patent application, but before the 
patent application is filed, it must identify the patent application by 
the name of each inventor and the title of the invention so that there 
can be no mistake as to the patent application intended. If an 
assignment of a provisional application under Sec.1.53(c) of this 
chapter is executed before the provisional application is filed, it must 
identify the provisional application by the name of each inventor and 
the title of the invention so that there can be no mistake as to the 
provisional application intended.

[80 FR 17969, Apr. 2, 2015]



Sec.3.24  Requirements for documents and cover sheets relating to
patents and patent applications.

    (a) For electronic submissions: Either a copy of the original 
document or an extract of the original document may be submitted for 
recording. All documents must be submitted as digitized images in Tagged 
Image File Format (TIFF) or another form as prescribed by the Director. 
When printed to a paper size of either 21.6 by 27.9 cm (8\1/2\ by 11 
inches) or 21.0 by 29.7 cm (DIN size A4), the document must be legible 
and a 2.5 cm (one-inch) margin must be present on all sides.
    (b) For paper or facsimile submissions: Either a copy of the 
original document or an extract of the original document must be 
submitted for recording. Only one side of each page may be used. The 
paper size must be either 21.6 by 27.9 cm (8\1/2\ by 11 inches) or 21.0 
by 29.7 cm (DIN size A4), and in either case, a 2.5 cm (one-inch) margin 
must be present on all sides. For paper submissions, the paper used 
should be flexible, strong white, non-shiny, and durable. The Office 
will not return recorded documents, so original documents must not be 
submitted for recording.

[69 FR 29879, May 26, 2004]



Sec.3.25  Recording requirements for trademark applications and 
registrations.

    (a) Documents affecting title. To record documents affecting title 
to a trademark application or registration, a legible cover sheet (see 
Sec.3.31) and one of the following must be submitted:
    (1) A copy of the original document;
    (2) A copy of an extract from the document evidencing the effect on 
title; or
    (3) A statement signed by both the party conveying the interest and 
the party receiving the interest explaining how the conveyance affects 
title.
    (b) Name changes. Only a legible cover sheet is required (See Sec.
3.31).
    (c) All documents. (1) For electronic submissions: All documents 
must be submitted as digitized images in Tagged Image File Format (TIFF) 
or another form as prescribed by the Director. When printed to a paper 
size of either 21.6 by 27.9 cm (8\1/2\ by 11 inches) or 21.0 by 29.7 cm 
(DIN size A4), a 2.5 cm (one-inch) margin must be present on all sides.
    (2) For paper or facsimile submissions: All documents should be 
submitted on white and non-shiny paper that is either 8\1/2\ by 11 
inches (21.6 by 27.9 cm) or DIN size A4 (21.0 by 29.7 cm) with a one-
inch (2.5 cm) margin on all sides in either case. Only one side of each 
page may be used. The Office will not return

[[Page 221]]

recorded documents, so original documents should not be submitted for 
recording.

[69 FR 29879, May 26, 2004]



Sec.3.26  English language requirement.

    The Office will accept and record non-English language documents 
only if accompanied by an English translation signed by the individual 
making the translation.

[62 FR 53202, Oct. 10, 1997]



Sec.3.27  Mailing address for submitting documents to be recorded.

    Documents and cover sheets submitted by mail for recordation should 
be addressed to Mail Stop Assignment Recordation Services, Director of 
the United States Patent and Trademark Office, P.O. Box 1450, 
Alexandria, Virginia 22313-1450, unless they are filed together with new 
applications.

[69 FR 29879, May 26, 2004]



Sec.3.28  Requests for recording.

    Each document submitted to the Office for recording must include a 
single cover sheet (as specified in Sec.3.31) referring either to 
those patent applications and patents, or to those trademark 
applications and registrations, against which the document is to be 
recorded. If a document to be recorded includes interests in, or 
transactions involving, both patents and trademarks, then separate 
patent and trademark cover sheets, each accompanied by a copy of the 
document to be recorded, must be submitted. If a document to be recorded 
is not accompanied by a completed cover sheet, the document and the 
incomplete cover sheet will be returned pursuant to Sec.3.51 for 
proper completion, in which case the document and a completed cover 
sheet should be resubmitted.

[70 FR 56128, Sept. 26, 2005]

                        Cover Sheet Requirements



Sec.3.31  Cover sheet content.

    (a) Each patent or trademark cover sheet required by Sec.3.28 must 
contain:
    (1) The name of the party conveying the interest;
    (2) The name and address of the party receiving the interest;
    (3) A description of the interest conveyed or transaction to be 
recorded;
    (4) Identification of the interests involved:
    (i) For trademark assignments and trademark name changes: Each 
trademark registration number and each trademark application number, if 
known, against which the Office is to record the document. If the 
trademark application number is not known, a copy of the application or 
a reproduction of the trademark must be submitted, along with an 
estimate of the date that the Office received the application; or
    (ii) For any other document affecting title to a trademark or patent 
application, registration or patent: Each trademark or patent 
application number or each trademark registration number or patent 
against which the document is to be recorded, or an indication that the 
document is filed together with a patent application;
    (5) The name and address of the party to whom correspondence 
concerning the request to record the document should be mailed;
    (6) The date the document was executed;
    (7) The signature of the party submitting the document. For an 
assignment document or name change filed electronically, the person who 
signs the cover sheet must either:
    (i) Place a symbol comprised of letters, numbers, and/or punctuation 
marks between forward slash marks (e.g., /Thomas O'Malley III/) in the 
signature block on the electronic submission; or
    (ii) Sign the cover sheet using some other form of electronic 
signature specified by the Director.
    (8) For trademark assignments, the entity and citizenship of the 
party receiving the interest. In addition, if the party receiving the 
interest is a domestic partnership or domestic joint venture, the cover 
sheet must set forth the names, legal entities, and national citizenship 
(or the state or country of organization) of all general partners or 
active members that compose the partnership or joint venture.

[[Page 222]]

    (b) A cover sheet should not refer to both patents and trademarks, 
since any information, including information about pending patent 
applications, submitted with a request for recordation of a document 
against a trademark application or trademark registration will become 
public record upon recordation.
    (c) Each patent cover sheet required by Sec.3.28 seeking to record 
a governmental interest as provided by Sec.3.11(b) must:
    (1) Indicate that the document relates to a Government interest; and
    (2) Indicate, if applicable, that the document to be recorded is not 
a document affecting title (see Sec.3.41(b)).
    (d) Each trademark cover sheet required by Sec.3.28 seeking to 
record a document against a trademark application or registration should 
include, in addition to the serial number or registration number of the 
trademark, identification of the trademark or a description of the 
trademark, against which the Office is to record the document.
    (e) Each patent or trademark cover sheet required by Sec.3.28 
should contain the number of applications, patents or registrations 
identified in the cover sheet and the total fee.
    (f) Each trademark cover sheet should include the citizenship of the 
party conveying the interest.
    (g) The cover sheet required by Sec.3.28 seeking to record a joint 
research agreement or an excerpt of a joint research agreement as 
provided by Sec.3.11(c) must:
    (1) Identify the document as a ``joint research agreement'' (in the 
space provided for the description of the interest conveyed or 
transaction to be recorded if using an Office-provided form);
    (2) Indicate the name of the owner of the application or patent (in 
the space provided for the name and address of the party receiving the 
interest if using an Office-provided form);
    (3) Indicate the name of each other party to the joint research 
agreement party (in the space provided for the name of the party 
conveying the interest if using an Office-provided form); and
    (4) Indicate the date the joint research agreement was executed.
    (h) The assignment cover sheet required by Sec.3.28 for a patent 
application or patent will be satisfied by the Patent Law Treaty Model 
International Request for Recordation of Change in Applicant or Owner 
Form, Patent Law Treaty Model International Request for Recordation of a 
License/Cancellation of the Recordation of a License Form, Patent Law 
Treaty Model Certificate of Transfer Form or Patent Law Treaty Model 
International Request for Recordation of a Security Interest/
Cancellation of the Recordation of a Security Interest Form, as 
applicable, except where the assignment is also an oath or declaration 
under Sec.1.63 of this chapter. An assignment cover sheet required by 
Sec.3.28 must contain a conspicuous indication of an intent to utilize 
the assignment as an oath or declaration under Sec.1.63 of this 
chapter.

[57 FR 29642, July 6, 1992, as amended at 62 FR 53202, Oct. 10, 1997; 64 
FR 48927, Sept. 8, 1999; 67 FR 79523, Dec. 30, 2002; 69 FR 29879, May 
26, 2004; 70 FR 1824, Jan. 11, 2005; 70 FR 56128, Sept. 26, 2005; 73 FR 
67775, Nov. 17, 2008; 77 FR 48825, Aug. 14, 2012; 78 FR 62408, Oct. 21, 
2013]



Sec.3.34  Correction of cover sheet errors.

    (a) An error in a cover sheet recorded pursuant to Sec.3.11 will 
be corrected only if:
    (1) The error is apparent when the cover sheet is compared with the 
recorded document to which it pertains, and
    (2) A corrected cover sheet is filed for recordation.
    (b) The corrected cover sheet must be accompanied by a copy of the 
document originally submitted for recording and by the recording fee as 
set forth in Sec.3.41.

[69 FR 29879, May 26, 2004]

                                  Fees



Sec.3.41  Recording fees.

    (a) All requests to record documents must be accompanied by the 
appropriate fee. Except as provided in paragraph (b) of this section, a 
fee is required for each application, patent and registration against 
which the document is recorded as identified in the cover sheet. The 
recording fee is set in Sec.1.21(h) of this chapter for patents and

[[Page 223]]

in Sec.2.6(b)(6) of this chapter for trademarks.
    (b) No fee is required for each patent application and patent 
against which a document required by Executive Order 9424 is to be filed 
if:
    (1) The document does not affect title and is so identified in the 
cover sheet (see Sec.3.31(c)(2)); and
    (2) The document and cover sheet are either: Faxed or electronically 
submitted as prescribed by the Director, or mailed to the Office in 
compliance with Sec.3.27.

[63 FR 52159, Sept. 30, 1998, as amended at 69 FR 29879, May 26, 2004]

                      Date and Effect of Recording



Sec.3.51  Recording date.

    The date of recording of a document is the date the document meeting 
the requirements for recording set forth in this part is filed in the 
Office. A document which does not comply with the identification 
requirements of Sec.3.21 will not be recorded. Documents not meeting 
the other requirements for recording, for example, a document submitted 
without a completed cover sheet or without the required fee, will be 
returned for correction to the sender where a correspondence address is 
available. The returned papers, stamped with the original date of 
receipt by the Office, will be accompanied by a letter which will 
indicate that if the returned papers are corrected and resubmitted to 
the Office within the time specified in the letter, the Office will 
consider the original date of filing of the papers as the date of 
recording of the document. The procedure set forth in Sec.1.8 or Sec.
1.10 of this chapter may be used for resubmissions of returned papers to 
have the benefit of the date of deposit in the United States Postal 
Service. If the returned papers are not corrected and resubmitted within 
the specified period, the date of filing of the corrected papers will be 
considered to be the date of recording of the document. The specified 
period to resubmit the returned papers will not be extended.

[62 FR 53203, Oct. 10, 1997]



Sec.3.54  Effect of recording.

    The recording of a document pursuant to Sec.3.11 is not a 
determination by the Office of the validity of the document or the 
effect that document has on the title to an application, a patent, or a 
registration. When necessary, the Office will determine what effect a 
document has, including whether a party has the authority to take an 
action in a matter pending before the Office.



Sec.3.56  Conditional assignments.

    Assignments which are made conditional on the performance of certain 
acts or events, such as the payment of money or other condition 
subsequent, if recorded in the Office, are regarded as absolute 
assignments for Office purposes until cancelled with the written consent 
of all parties or by the decree of a court of competent jurisdiction. 
The Office does not determine whether such conditions have been 
fulfilled.



Sec.3.58  Governmental registers.

    (a) The Office will maintain a Departmental Register to record 
governmental interests required to be recorded by Executive Order 9424. 
This Departmental Register will not be open to public inspection but 
will be available for examination and inspection by duly authorized 
representatives of the Government. Governmental interests recorded on 
the Departmental Register will be available for public inspection as 
provided in Sec.1.12.
    (b) The Office will maintain a Secret Register to record 
governmental interests required to be recorded by Executive Order 9424. 
Any instrument to be recorded will be placed on this Secret Register at 
the request of the department or agency submitting the same. No 
information will be given concerning any instrument in such record or 
register, and no examination or inspection thereof or of the index 
thereto will be permitted, except on the written authority of the head 
of the department or agency which submitted the instrument and requested 
secrecy, and the approval of such authority by the Director. No 
instrument or record other than the one specified may be examined, and 
the examination must take place in the presence of a designated official 
of the Patent and

[[Page 224]]

Trademark Office. When the department or agency which submitted an 
instrument no longer requires secrecy with respect to that instrument, 
it must be recorded anew in the Departmental Register.

[62 FR 53203, Oct. 10, 1997]

                         Domestic Representative



Sec.3.61  Domestic representative.

    If the assignee of a patent, patent application, trademark 
application or trademark registration is not domiciled in the United 
States, the assignee may designate a domestic representative in a 
document filed in the United States Patent and Trademark Office. The 
designation should state the name and address of a person residing 
within the United States on whom may be served process or notice of 
proceedings affecting the application, patent or registration or rights 
thereunder.

[67 FR 79522, Dec. 30, 2002]

                        Action Taken by Assignee



Sec.3.71  Prosecution by assignee.

    (a) Patents--conducting of prosecution. One or more assignees as 
defined in paragraph (b) of this section may conduct prosecution of a 
national patent application as the applicant under Sec.1.46 of this 
title, or conduct prosecution of a supplemental examination or 
reexamination proceeding, to the exclusion of the inventor or previous 
applicant or patent owner. Conflicts between purported assignees are 
handled in accordance with Sec.3.73(c)(3).
    (b) Patents--assignee(s) who can prosecute. The assignee(s) who may 
conduct either the prosecution of a national application for patent as 
the applicant under Sec.1.46 of this title or a supplemental 
examination or reexamination proceeding are:
    (1) A single assignee. An assignee of the entire right, title and 
interest in the application or patent, or
    (2) Partial assignee(s) together or with inventor(s). All partial 
assignees, or all partial assignees and inventors who have not assigned 
their right, title and interest in the application or patent, who 
together own the entire right, title and interest in the application or 
patent. A partial assignee is any assignee having less than the entire 
right, title and interest in the application or patent. The word 
``assignee'' as used in this chapter means with respect to patent 
matters the single assignee of the entire right, title and interest in 
the application or patent if there is such a single assignee, or all of 
the partial assignees, or all of the partial assignee and inventors who 
have not assigned their interest in the application or patent, who 
together own the entire right, title and interest in the application or 
patent.
    (c) Patents--Becoming of record. An assignee becomes of record as 
the applicant in a national patent application under Sec.1.46 of this 
title, and in a supplemental examination or reexamination proceeding, by 
filing a statement in compliance with Sec.3.73(c) that is signed by a 
party who is authorized to act on behalf of the assignee.
    (d) Trademarks. The assignee of a trademark application or 
registration may prosecute a trademark application, submit documents to 
maintain a trademark registration, or file papers against a third party 
in reliance on the assignee's trademark application or registration, to 
the exclusion of the original applicant or previous assignee. The 
assignee must establish ownership in compliance with Sec.3.73(b).

[65 FR 54682, Sept. 8, 2000, as amended at 77 FR 48825, Aug. 14, 2012]



Sec.3.73  Establishing right of assignee to take action.

    (a) The original applicant is presumed to be the owner of an 
application for an original patent, and any patent that may issue 
therefrom, unless there is an assignment. The original applicant is 
presumed to be the owner of a trademark application or registration, 
unless there is an assignment.
    (b) In order to request or take action in a trademark matter, the 
assignee must establish its ownership of the trademark property of 
paragraph (a) of this section to the satisfaction of the Director. The 
establishment of ownership by the assignee may be combined with the 
paper that requests or takes the action. Ownership is established by

[[Page 225]]

submitting to the Office a signed statement identifying the assignee, 
accompanied by either:
    (1) Documentary evidence of a chain of title from the original owner 
to the assignee (e.g., copy of an executed assignment). The documents 
submitted to establish ownership may be required to be recorded pursuant 
to Sec.3.11 in the assignment records of the Office as a condition to 
permitting the assignee to take action in a matter pending before the 
Office; or
    (2) A statement specifying where documentary evidence of a chain of 
title from the original owner to the assignee is recorded in the 
assignment records of the Office (e.g., reel and frame number).
    (c)(1) In order to request or take action in a patent matter, an 
assignee who is not the original applicant must establish its ownership 
of the patent property of paragraph (a) of this section to the 
satisfaction of the Director. The establishment of ownership by the 
assignee may be combined with the paper that requests or takes the 
action. Ownership is established by submitting to the Office a signed 
statement identifying the assignee, accompanied by either:
    (i) Documentary evidence of a chain of title from the original owner 
to the assignee (e.g., copy of an executed assignment). The submission 
of the documentary evidence must be accompanied by a statement affirming 
that the documentary evidence of the chain of title from the original 
owner to the assignee was or concurrently is being submitted for 
recordation pursuant to Sec.3.11; or
    (ii) A statement specifying where documentary evidence of a chain of 
title from the original owner to the assignee is recorded in the 
assignment records of the Office (e.g., reel and frame number).
    (2) If the submission is by an assignee of less than the entire 
right, title and interest (e.g., more than one assignee exists) the 
Office may refuse to accept the submission as an establishment of 
ownership unless:
    (i) Each assignee establishes the extent (by percentage) of its 
ownership interest, so as to account for the entire right, title and 
interest in the application or patent by all parties including 
inventors; or
    (ii) Each assignee submits a statement identifying the parties 
including inventors who together own the entire right, title and 
interest and stating that all the identified parties own the entire 
right, title and interest.
    (3) If two or more purported assignees file conflicting statements 
under paragraph (c)(1) of this section, the Director will determine 
which, if any, purported assignee will be permitted to control 
prosecution of the application.
    (d) The submission establishing ownership under paragraph (b) or (c) 
of this section must show that the person signing the submission is a 
person authorized to act on behalf of the assignee by:
    (1) Including a statement that the person signing the submission is 
authorized to act on behalf of the assignee;
    (2) Being signed by a person having apparent authority to sign on 
behalf of the assignee; or
    (3) For patent matters only, being signed by a practitioner of 
record.

[77 FR 48825, Aug. 14, 2012]

                          Issuance to Assignee



Sec.3.81  Issue of patent to assignee.

    (a) With payment of the issue fee: An application may issue in the 
name of the assignee consistent with the application's assignment where 
a request for such issuance is submitted with payment of the issue fee, 
provided the assignment has been previously recorded in the Office. If 
the assignment has not been previously recorded, the request must state 
that the document has been filed for recordation as set forth in Sec.
3.11.
    (b) After payment of the issue fee: Any request for issuance of an 
application in the name of the assignee submitted after the date of 
payment of the issue fee, and any request for a patent to be corrected 
to state the name of the assignee, must state that the assignment was 
submitted for recordation as set forth in Sec.3.11 before issuance of 
the patent, and must include a request for a certificate of correction 
under Sec.1.323 of this chapter (accompanied by the fee

[[Page 226]]

set forth in Sec.1.20(a)) and the processing fee set forth in Sec.
1.17(i) of this chapter.
    (c) Partial assignees. (1) If one or more assignee, together with 
one or more inventor, holds the entire right, title, and interest in the 
application, the patent may issue in the names of the assignee and the 
inventor.
    (2) If multiple assignees hold the entire right, title, and interest 
to the exclusion of all the inventors, the patent may issue in the names 
of the multiple assignees.

[69 FR 29879, May 26, 2004]



Sec.3.85  Issue of registration to assignee.

    The certificate of registration may be issued to the assignee of the 
applicant, or in a new name of the applicant, provided that the party 
files a written request in the trademark application by the time the 
application is being prepared for issuance of the certificate of 
registration, and the appropriate document is recorded in the Office. If 
the assignment or name change document has not been recorded in the 
Office, then the written request must state that the document has been 
filed for recordation. The address of the assignee must be made of 
record in the application file.



PART 4_COMPLAINTS REGARDING INVENTION PROMOTERS--Table of Contents



Sec.
4.1 Complaints regarding invention promoters.
4.2 Definitions.
4.3 Submitting complaints.
4.4 Invention promoter reply.
4.5 Notice by publication.
4.6 Attorneys and Agents.

    Authority: 35 U.S.C. 2(b)(2) and 297.

    Source: 65 FR 3129, Jan. 20, 2000, unless otherwise noted.



Sec.4.1  Complaints regarding invention promoters.

    These regulations govern the Patent and Trademark Office's (Office) 
responsibilities under the Inventors' Rights Act of 1999, which can be 
found in the U.S. Code at 35 U.S.C. 297. The Act requires the Office to 
provide a forum for the publication of complaints concerning invention 
promoters. The Office will not conduct any independent investigation of 
the invention promoter. Although the Act provides additional civil 
remedies for persons injured by invention promoters, those remedies must 
be pursued by the injured party without the involvement of the Office.



Sec.4.2  Definitions.

    (a) Invention Promoter means any person, firm, partnership, 
corporation, or other entity who offers to perform or performs invention 
promotion services for, or on behalf of, a customer, and who holds 
itself out through advertising in any mass media as providing such 
services, but does not include--
    (1) Any department or agency of the Federal Government or of a State 
or local government;
    (2) Any nonprofit, charitable, scientific, or educational 
organization qualified under applicable State law or described under 
section 170(b)(1)(A) of the Internal Revenue Code of 1986;
    (3) Any person or entity involved in the evaluation to determine 
commercial potential of, or offering to license or sell, a utility 
patent or a previously filed nonprovisional utility patent application;
    (4) Any party participating in a transaction involving the sale of 
the stock or assets of a business; or
    (5) Any party who directly engages in the business of retail sales 
of products or the distribution of products.
    (b) Customer means any individual who enters into a contract with an 
invention promoter for invention promotion services.
    (c) Contract for Invention Promotion Services means a contract by 
which an invention promoter undertakes invention promotion services for 
a customer.
    (d) Invention Promotion Services means the procurement or attempted 
procurement for a customer of a firm, corporation, or other entity to 
develop and market products or services that include the invention of 
the customer.



Sec.4.3  Submitting complaints.

    (a) A person may submit a complaint concerning an invention promoter 
with

[[Page 227]]

the Office. A person submitting a complaint should understand that the 
complaint may be forwarded to the invention promoter and may become 
publicly available. The Office will not accept any complaint that 
requests that it be kept confidential.
    (b) A complaint must be clearly marked, or otherwise identified, as 
a complaint under these rules. The complaint must include:
    (1) The name and address of the complainant;
    (2) The name and address of the invention promoter;
    (3) The name of the customer;
    (4) The invention promotion services offered or performed by the 
invention promoter;
    (5) The name of the mass media in which the invention promoter 
advertised providing such services;
    (6) An explanation of the relationship between the customer and the 
invention promoter; and
    (7) A signature of the complainant.
    (c) The complaint should fairly summarize the action of the 
invention promoter about which the person complains. Additionally, the 
complaint should include names and addresses of persons believed to be 
associated with the invention promoter. Complaints, and any replies, 
must be addressed to: Mail Stop 24, Commissioner for Patents, P.O. Box 
1450, Alexandria, Virginia 22313-1450.
    (d) Complaints that do not provide the information requested in 
paragraphs (b) and (c) of this section will be returned. If 
complainant's address is not provided, the complaint will be destroyed.
    (e) No originals of documents should be included with the complaint.
    (f) A complaint can be withdrawn by the complainant or the named 
customer at any time prior to its publication.

[65 FR 3129, Jan. 20, 2000, as amended at 68 FR 14338, Mar. 25, 2003]



Sec.4.4  Invention promoter reply.

    (a) If a submission appears to meet the requirements of a complaint, 
the invention promoter named in the complaint will be notified of the 
complaint and given 30 days to respond. The invention promoter's 
response will be made available to the public along with the complaint. 
If the invention promoter fails to reply within the 30-day time period 
set by the Office, the complaint will be made available to the public. 
Replies sent after the complaint is made available to the public will 
also be published.
    (b) A response must be clearly marked, or otherwise identified, as a 
response by an invention promoter. The response must contain:
    (1) The name and address of the invention promoter;
    (2) A reference to a complaint forwarded to the invention promoter 
or a complaint previously published;
    (3) The name of the individual signing the response; and
    (4) The title or authority of the individual signing the response.



Sec.4.5  Notice by publication.

    If the copy of the complaint that is mailed to the invention 
promoter is returned undelivered, then the USPTO will primarily publish 
a Notice of Complaint Received on the USPTO's Internet home page at 
http://www.uspto.gov. Only where the USPTO's Web site is unavailable for 
publication will the USPTO publish the Notice of Complaint in the 
Official Gazette and/or the Federal Register. The invention promoter 
will be given 30 days from such notice to submit a reply to the Notice 
of Complaint. If the USPTO does not receive a reply from the invention 
promoter within 30 days, the complaint alone will become publicly 
available.

[68 FR 9553, Feb. 28, 2003]



Sec.4.6  Attorneys and Agents.

    Complaints against registered patent attorneys and agents will not 
be treated under this section, unless a complaint fairly demonstrates 
that invention promotion services are involved. Persons having 
complaints about registered patent attorneys or agents should contact 
the Office of Enrollment and Discipline at Mail Stop OED, Director of 
the United States Patent and Trademark Office, PO Box 1450, Alexandria, 
Virginia 22313-1450, and the

[[Page 228]]

attorney discipline section of the attorney's state licensing bar if an 
attorney is involved.

[68 FR 14338, Mar. 25, 2003]



PART 5_SECRECY OF CERTAIN INVENTIONS AND LICENSES TO EXPORT AND FILE
APPLICATIONS IN FOREIGN COUNTRIES--Table of Contents



                             Secrecy Orders

Sec.
5.1 Applications and correspondence involving national security.
5.2 Secrecy order.
5.3 Prosecution of application under secrecy orders; withholding patent.
5.4 Petition for rescission of secrecy order.
5.5 Permit to disclose or modification of secrecy order.
5.6-5.8 [Reserved]

                Licenses for Foreign Exporting and Filing

5.11 License for filing in, or exporting to, a foreign country an 
          application on an invention made in the United States or 
          technical data relating thereto.
5.12 Petition for license.
5.13 Petition for license; no corresponding application.
5.14 Petition for license; corresponding U.S. application.
5.15 Scope of license.
5.16-5.17 [Reserved]
5.18 Arms, ammunition, and implements of war.
5.19 Export of technical data.
5.20 Export of technical data relating to sensitive nuclear technology.
5.25 Petition for retroactive license.

                                 General

5.31-5.33 [Reserved]

    Authority: 35 U.S.C. 2(b)(2), 41, 181-188; 22 U.S.C. 2751 et seq.; 
42 U.S.C. 2011 et seq.; 22 U.S.C. 3201 et seq.; and the delegations to 
the Director in 15 CFR 370.10(j), 22 CFR 125.04, and 10 CFR 810.7.

    Source: 24 FR 10381, Dec. 22, 1959, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 5 appear at 68 FR 
14338, Mar. 25, 2003.

                             Secrecy Orders



Sec.5.1  Applications and correspondence involving national security.

    (a) All correspondence in connection with this part, including 
petitions, should be addressed to: Mail Stop L&R, Commissioner for 
Patents, P.O. Box 1450, Alexandria, Virginia 22313-1450.
    (b) Definitions. (1) Application as used in this part includes 
provisional applications (Sec.1.9(a)(2) of this chapter), 
nonprovisional applications (Sec.1.9(a)(3)), international 
applications (Sec.1.9(b)), or international design applications (Sec.
1.9(n)).
    (2) Foreign application as used in this part includes, for filing in 
a foreign country or in a foreign or international intellectual property 
authority (other than the United States Patent and Trademark Office 
acting as a Receiving Office for international applications (35 U.S.C. 
361, 37 CFR 1.412) or as an office of indirect filing for international 
design applications (35 U.S.C. 382, 37 CFR 1.1002)) any of the 
following: An application for patent; international application; 
international design application; or application for the registration of 
a utility model, industrial design, or model.
    (c) Patent applications and documents relating thereto that are 
national security classified (see Sec.1.9(i) of this chapter) and 
contain authorized national security markings (e.g., ``Confidential,'' 
``Secret'' or ``Top Secret'') are accepted by the Office. National 
security classified documents filed in the Office must be either hand-
carried to Licensing and Review or mailed to the Office in compliance 
with paragraph (a) of this section.
    (d) The applicant in a national security classified patent 
application must obtain a secrecy order pursuant to Sec.5.2(a). If a 
national security classified patent application is filed without a 
notification pursuant to Sec.5.2(a), the Office will set a time period 
within which either the application must be declassified, or the 
application must be placed under a secrecy order pursuant to Sec.
5.2(a), or the applicant must submit evidence of a good faith effort to 
obtain a secrecy order pursuant to Sec.5.2(a) from the relevant 
department or agency in order to prevent abandonment of the application. 
If evidence of a good faith effort to obtain a secrecy order pursuant to 
Sec.5.2(a) from the relevant department or agency is submitted by the 
applicant within the time period set by the Office, but the application 
has not been declassified or placed

[[Page 229]]

under a secrecy order pursuant to Sec.5.2(a), the Office will again 
set a time period within which either the application must be 
declassified, or the application must be placed under a secrecy order 
pursuant to Sec.5.2(a), or the applicant must submit evidence of a 
good faith effort to again obtain a secrecy order pursuant to Sec.
5.2(a) from the relevant department or agency in order to prevent 
abandonment of the application.
    (e) An application will not be published under Sec.1.211 of this 
chapter or allowed under Sec.1.311 of this chapter if publication or 
disclosure of the application would be detrimental to national security. 
An application under national security review will not be published at 
least until six months from its filing date or three months from the 
date the application was referred to a defense agency, whichever is 
later. A national security classified patent application will not be 
published under Sec.1.211 of this chapter or allowed under Sec.1.311 
of this chapter until the application is declassified and any secrecy 
order under Sec.5.2(a) has been rescinded.
    (f) Applications on inventions made outside the United States and on 
inventions in which a U.S. Government defense agency has a property 
interest will not be made available to defense agencies.

[65 FR 54682, Sept. 8, 2000, as amended at 65 FR 57060, Sept. 20, 2000; 
68 FR 14338, Mar. 25, 2003; 69 FR 29880, May 26, 2004; 80 FR 17969, Apr. 
2, 2015; 85 FR 61607, Sept. 30, 2020]



Sec.5.2  Secrecy order.

    (a) When notified by the chief officer of a defense agency that 
publication or disclosure of the invention by the granting of a patent 
would be detrimental to the national security, an order that the 
invention be kept secret will be issued by the Commissioner for Patents.
    (b) Any request for compensation as provided in 35 U.S.C. 183 must 
not be made to the Patent and Trademark Office, but directly to the 
department or agency which caused the secrecy order to be issued.
    (c) An application disclosing any significant part of the subject 
matter of an application under a secrecy order pursuant to paragraph (a) 
of this section also falls within the scope of such secrecy order. Any 
such application that is pending before the Office must be promptly 
brought to the attention of Licensing and Review, unless such 
application is itself under a secrecy order pursuant to paragraph (a) of 
this section. Any subsequently filed application containing any 
significant part of the subject matter of an application under a secrecy 
order pursuant to paragraph (a) of this section must either be hand-
carried to Licensing and Review or mailed to the Office in compliance 
with Sec.5.1(a).

[24 FR 10381, Dec. 22, 1959, as amended at 62 FR 53203, Oct. 10, 1997; 
65 FR 54683, Sept. 8, 2000]



Sec.5.3  Prosecution of application under secrecy orders; withholding 
patent.

    Unless specifically ordered otherwise, action on the application by 
the Office and prosecution by the applicant will proceed during the time 
an application is under secrecy order to the point indicated in this 
section:
    (a) National applications under secrecy order which come to a final 
rejection must be appealed or otherwise prosecuted to avoid abandonment. 
Appeals in such cases must be completed by the applicant but unless 
otherwise specifically ordered by the Commissioner for Patents will not 
be set for hearing until the secrecy order is removed.
    (b) An interference or derivation will not be instituted involving a 
national application under secrecy order. An applicant whose application 
is under secrecy order may suggest an interference (Sec.41.202(a) of 
this title), but the Office will not act on the request while the 
application remains under a secrecy order.
    (c) When the national application is found to be in condition for 
allowance except for the secrecy order the applicant and the agency 
which caused the secrecy order to be issued will be notified. This 
notice (which is not a notice of allowance under Sec.1.311 of this 
chapter) does not require reply by the applicant and places the national 
application in a condition of suspension until the secrecy order is 
removed. When the secrecy order is removed the Patent

[[Page 230]]

and Trademark Office will issue a notice of allowance under Sec.1.311 
of this chapter, or take such other action as may then be warranted.
    (d) International applications and international design applications 
under secrecy order will not be mailed, delivered, or otherwise 
transmitted to the international authorities or the applicant. 
International applications under secrecy order will be processed up to 
the point where, if it were not for the secrecy order, record and search 
copies would be transmitted to the international authorities or the 
applicant.

(Pub. L. 94-131, 89 Stat. 685)

[43 FR 20470, May 11, 1978, as amended at 53 FR 23736, June 23, 1988; 62 
FR 53203, Oct. 10, 1997; 69 FR 50002, Aug. 12, 2004; 77 FR 46629, Aug. 
6, 2012; 80 FR 17969, Apr. 2, 2015]



Sec.5.4  Petition for rescission of secrecy order.

    (a) A petition for rescission or removal of a secrecy order may be 
filed by, or on behalf of, any principal affected thereby. Such petition 
may be in letter form, and it must be in duplicate.
    (b) The petition must recite any and all facts that purport to 
render the order ineffectual or futile if this is the basis of the 
petition. When prior publications or patents are alleged the petition 
must give complete data as to such publications or patents and should be 
accompanied by copies thereof.
    (c) The petition must identify any contract between the Government 
and any of the principals, under which the subject matter of the 
application or any significant part thereof was developed, or to which 
the subject matter is otherwise related. If there is no such contract, 
the petition must so state.
    (d) Appeal to the Secretary of Commerce, as provided by 35 U.S.C. 
181, from a secrecy order cannot be taken until after a petition for 
rescission of the secrecy order has been made and denied. Appeal must be 
taken within sixty days from the date of the denial, and the party 
appealing, as well as the department or agency which caused the order to 
be issued, will be notified of the time and place of hearing.

[24 FR 10381, Dec. 22, 1959, as amended at 62 FR 53204, Oct. 10, 1997]



Sec.5.5  Permit to disclose or modification of secrecy order.

    (a) Consent to disclosure, or to the filing of an application 
abroad, as provided in 35 U.S.C. 182, shall be made by a ``permit'' or 
``modification'' of the secrecy order.
    (b) Petitions for a permit or modification must fully recite the 
reason or purpose for the proposed disclosure. Where any proposed 
disclosee is known to be cleared by a defense agency to receive 
classified information, adequate explanation of such clearance should be 
made in the petition including the name of the agency or department 
granting the clearance and the date and degree thereof. The petition 
must be filed in duplicate.
    (c) In a petition for modification of a secrecy order to permit 
filing abroad, all countries in which it is proposed to file must be 
made known, as well as all attorneys, agents and others to whom the 
material will be consigned prior to being lodged in the foreign patent 
office. The petition should include a statement vouching for the loyalty 
and integrity of the proposed disclosees and where their clearance 
status in this or the foreign country is known all details should be 
given.
    (d) Consent to the disclosure of subject matter from one application 
under secrecy order may be deemed to be consent to the disclosure of 
common subject matter in other applications under secrecy order so long 
as not taken out of context in a manner disclosing material beyond the 
modification granted in the first application.
    (e) Organizations requiring consent for disclosure of applications 
under secrecy order to persons or organizations in connection with 
repeated routine operation may petition for such consent in the form of 
a general permit. To be successful such petitions must ordinarily recite 
the security clearance status of the disclosees as sufficient for the 
highest classification of material that may be involved.

[24 FR 10381, Dec. 22, 1959, as amended at 62 FR 53204 Oct. 10, 1997]

[[Page 231]]



Sec. Sec.5.6-5.8  [Reserved]

                Licenses for Foreign Exporting and Filing



Sec.5.11  License for filing in, or exporting to, a foreign country
an application on an invention made in the United States or technical
data relating thereto.
          

    (a) A license from the Commissioner for Patents under 35 U.S.C. 184 
is required before filing any application for patent, including any 
modifications, amendments, or supplements thereto or divisions thereof, 
or for the registration of a utility model, industrial design, or model, 
in a foreign country or in a foreign or international intellectual 
property authority (other than the United States Patent and Trademark 
Office acting as a Receiving Office for international applications (35 
U.S.C. 361, 37 CFR 1.412) or as an office of indirect filing for 
international design applications (35 U.S.C. 382, 37 CFR 1.1002)), if 
the invention was made in the United States, and:
    (1) An application on the invention has been filed in the United 
States less than six months prior to the date on which the application 
is to be filed; or
    (2) No application on the invention has been filed in the United 
States.
    (b) The license from the Commissioner for Patents referred to in 
paragraph (a) of this section would also authorize the export of 
technical data abroad for purposes related to:
    (1) The preparation, filing or possible filing, and prosecution of a 
foreign application; and
    (2) The use of a World Intellectual Property Organization online 
service for preparing an international application for filing with the 
United States Patent and Trademark Office acting as a Receiving Office 
(35 U.S.C. 361, 37 CFR 1.412) without separately complying with the 
regulations contained in 22 CFR parts 120 through 130 (International 
Traffic in Arms Regulations of the Department of State), 15 CFR parts 
730 through 774 (Export Administration Regulations of the Bureau of 
Industry and Security, Department of Commerce), and 10 CFR part 810 
(Assistance to Foreign Atomic Energy Activities Regulations of the 
Department of Energy).
    (c) Where technical data in the form of a patent application, or in 
any form, are being exported for purposes related to the preparation, 
filing or possible filing and prosecution of a foreign application, 
without the license from the Commissioner for Patents referred to in 
paragraphs (a) or (b) of this section, or on an invention not made in 
the United States, the export regulations contained in 22 CFR parts 120 
through 130 (International Traffic in Arms Regulations of the Department 
of State), 15 CFR parts 730 through 774 (Export Administration 
Regulations of the Bureau of Industry and Security, Department of 
Commerce), and 10 CFR part 810 (Assistance to Foreign Atomic Energy 
Activities Regulations of the Department of Energy) must be complied 
with unless a license is not required because a United States 
application was on file at the time of export for at least six months 
without a secrecy order under Sec.5.2 being placed thereon. The term 
``exported'' means export as it is defined in 22 CFR part 120, 15 CFR 
part 734, and activities covered by 10 CFR part 810.
    (d) If a secrecy order has been issued under Sec.5.2, an 
application cannot be exported to, or filed in, a foreign country 
(including an international agency in a foreign country), except in 
accordance with Sec.5.5.
    (e) No license pursuant to paragraph (a) of this section is 
required:
    (1) If the invention was not made in the United States, or
    (2) If the corresponding United States application is not subject to 
a secrecy order under Sec.5.2, and was filed at least six months prior 
to the date on which the application is filed in a foreign country, or
    (3) For subsequent modifications, amendments, and supplements 
containing additional subject matter to, or divisions of, a foreign 
application if:
    (i) A license is not, or was not, required under paragraph (e)(2) of 
this section for the foreign application;
    (ii) The corresponding United States application was not required to 
be made available for inspection under 35 U.S.C. 181; and
    (iii) Such modifications, amendments, and supplements do not, or did 
not, change the general nature of the

[[Page 232]]

invention in a manner which would require any corresponding United 
States application to be or have been available for inspection under 35 
U.S.C. 181.
    (f) A license pursuant to paragraph (a) of this section can be 
revoked at any time upon written notification by the United States 
Patent and Trademark Office. An authorization to file a foreign 
application resulting from the passage of six months from the date of 
filing of a United States patent application may be revoked by the 
imposition of a secrecy order.

[49 FR 13461, Apr. 4, 1984, as amended at 56 FR 1928, Jan. 18, 1991; 62 
FR 53204, Oct. 10, 1997; 70 FR 56129, Sept. 26, 2005; 80 FR 17969, Apr. 
2, 2015; 85 FR 61607, Sept. 30, 2020]



Sec.5.12  Petition for license.

    (a) Filing of an application in the United States Patent and 
Trademark Office on an invention made in the United States will be 
considered to include a petition for license under 35 U.S.C. 184 for the 
subject matter of the application. The filing receipt or other official 
notice will indicate if a license is granted. If the initial automatic 
petition is not granted, a subsequent petition may be filed under 
paragraph (b) of this section.
    (b) A petition for license must include the fee set forth in Sec.
1.17(g) of this chapter, the petitioner's address, and full instructions 
for delivery of the requested license when it is to be delivered to 
other than the petitioner. The petition should be presented in letter 
form.

[48 FR 2714, Jan. 20, 1983, as amended at 49 FR 13462, Apr. 4, 1984; 62 
FR 53204, Oct. 10, 1997; 65 FR 54683, Sept. 8, 2000; 69 FR 56546, Sept. 
21, 2004; 80 FR 17970, Apr. 2, 2015; 85 FR 61607, Sept. 30, 2020]



Sec.5.13  Petition for license; no corresponding application.

    If no corresponding national, international design, or international 
application has been filed in the United States, the petition for 
license under Sec.5.12(b) must also be accompanied by a legible copy 
of the material upon which a license is desired. This copy will be 
retained as a measure of the license granted.

[80 FR 17970, Apr. 2, 2015]



Sec.5.14  Petition for license; corresponding U.S. application.

    (a) When there is a corresponding United States application on file, 
a petition for license under Sec.5.12(b) must also identify this 
application by application number, filing date, inventor, and title, but 
a copy of the material upon which the license is desired is not 
required. The subject matter licensed will be measured by the disclosure 
of the United States application.
    (b) Two or more United States applications should not be referred to 
in the same petition for license unless they are to be combined in the 
foreign or international application, in which event the petition should 
so state and the identification of each United States application should 
be in separate paragraphs.
    (c) Where the application to be filed or exported abroad contains 
matter not disclosed in the United States application or applications, 
including the case where the combining of two or more United States 
applications introduces subject matter not disclosed in any of them, a 
copy of the application as it is to be filed or exported abroad, must be 
furnished with the petition. If, however, all new matter in the 
application to be filed or exported is readily identifiable, the new 
matter may be submitted in detail and the remainder by reference to the 
pertinent United States application or applications.

(Pub. L. 94-131, 89 Stat. 685)

[43 FR 20471, May 11, 1978, as amended at 49 FR 13462, Apr. 4, 1984; 62 
FR 53204, Oct. 10, 1997; 80 FR 17970, Apr. 2, 2015]



Sec.5.15  Scope of license.

    (a) Applications or other materials reviewed pursuant to Sec. Sec.
5.12 through 5.14, which were not required to be made available for 
inspection by defense agencies under 35 U.S.C. 181, will be eligible for 
a license of the scope provided in this paragraph (a). This license 
permits subsequent modifications, amendments, and supplements containing 
additional subject matter to, or divisions of, a foreign application, if 
such changes to the application do not alter the general nature of the 
invention in a manner that would require the United States application 
to

[[Page 233]]

have been made available for inspection under 35 U.S.C. 181. Grant of 
this license authorizes the export of technical data pursuant to Sec.
5.11(b) and the filing of an application in a foreign country or with 
any foreign or international intellectual property authority when the 
technical data and the subject matter of the foreign application 
correspond to that of the application or other materials reviewed 
pursuant to Sec. Sec.5.12 through 5.14, upon which the license was 
granted. This license includes the authority:
    (1) To export and file all duplicate and formal application papers 
in foreign countries or with foreign or international intellectual 
property authorities;
    (2) To make amendments, modifications, and supplements, including 
divisions, changes or supporting matter consisting of the illustration, 
exemplification, comparison, or explanation of subject matter disclosed 
in the application; and
    (3) To take any action in the prosecution of the foreign application 
provided that the adding of subject matter or taking of any action under 
paragraph (a)(1) or (2) of this section does not change the general 
nature of the invention disclosed in the application in a manner that 
would require such application to have been made available for 
inspection under 35 U.S.C. 181 by including technical data pertaining 
to:
    (i) Defense services or articles designated in the United States 
Munitions List applicable at the time of foreign filing, the unlicensed 
exportation of which is prohibited pursuant to the Arms Export Control 
Act, as amended, and 22 CFR parts 120 through 130; or
    (ii) Restricted Data, sensitive nuclear technology or technology 
useful in the production or utilization of special nuclear material or 
atomic energy, dissemination of which is subject to restrictions of the 
Atomic Energy Act of 1954, as amended, and the Nuclear Non-Proliferation 
Act of 1978, as implemented by the regulations for Assistance to Foreign 
Atomic Energy Activities, 10 CFR part 810, in effect at the time of 
foreign filing.
    (b) Applications or other materials that were required to be made 
available for inspection under 35 U.S.C. 181 will be eligible for a 
license of the scope provided in this paragraph (b). Grant of this 
license authorizes the export of technical data pursuant to Sec.
5.11(b) and the filing of an application in a foreign country or with 
any foreign or international intellectual property authority. Further, 
this license includes the authority to export and file all duplicate and 
formal papers in foreign countries or with foreign or international 
intellectual property authorities and to make amendments, modifications, 
and supplements to; file divisions of; and take any action in the 
prosecution of the foreign application, provided subject matter 
additional to that covered by the license is not involved.
    (c) A license granted under Sec.5.12(b) pursuant to Sec.5.13 or 
Sec.5.14 shall have the scope indicated in paragraph (a) of this 
section, if it is so specified in the license. A petition, accompanied 
by the required fee (Sec.1.17(g) of this chapter), may also be filed 
to change a license having the scope indicated in paragraph (b) of this 
section to a license having the scope indicated in paragraph (a) of this 
section. No such petition will be granted if the copy of the material 
filed pursuant to Sec.5.13 or any corresponding United States 
application was required to be made available for inspection under 35 
U.S.C. 181. The change in the scope of a license will be effective as of 
the date of the grant of the petition.
    (d) In those cases in which no license is required to file or export 
the foreign application, no license is required to file papers in 
connection with the prosecution of the foreign application not involving 
the disclosure of additional subject matter.
    (e) Any paper filed abroad or transmitted to a foreign or 
international intellectual property authority following the filing of a 
foreign application that changes the general nature of the subject 
matter disclosed at the time of filing in a manner that would require 
such application to have been made available for inspection under 35 
U.S.C. 181 or that involves the disclosure of subject matter listed in 
paragraph (a)(3)(i) or (ii) of this section must be separately licensed 
in the same manner as a foreign application. Further, if no

[[Page 234]]

license has been granted under Sec.5.12(a) after filing the 
corresponding United States application, any paper filed abroad or with 
a foreign or international intellectual property authority that involves 
the disclosure of additional subject matter must be licensed in the same 
manner as a foreign application.
    (f) Licenses separately granted in connection with two or more 
United States applications may be exercised by combining or dividing the 
disclosures, as desired, provided:
    (1) Subject matter which changes the general nature of the subject 
matter disclosed at the time of filing or which involves subject matter 
listed in paragraph (a)(3) (i) or (ii) of this section is not 
introduced, and
    (2) In the case where at least one of the licenses was obtained 
under Sec.5.12(b), additional subject matter is not introduced.
    (g) A license does not apply to acts done before the license was 
granted. See Sec.5.25 for petitions for retroactive licenses.

[49 FR 13462, Apr. 4, 1984, as amended at 56 FR 1928, Jan. 18, 1991; 62 
FR 53204, Oct. 10, 1997; 69 FR 56546, Sept. 21, 2004; 80 FR 17970, Apr. 
2, 2015; 85 FR 61607, Sept. 30, 2020]



Sec. Sec.5.16-5.17  [Reserved]



Sec.5.18  Arms, ammunition, and implements of war.

    (a) The exportation of technical data relating to arms, ammunition, 
and implements of war generally is subject to the International Traffic 
in Arms Regulations of the Department of State (22 CFR parts 120 through 
130); the articles designated as arms, ammunitions, and implements of 
war are enumerated in the U.S. Munitions List (22 CFR part 121). 
However, if a patent applicant complies with regulations issued by the 
Commissioner for Patents under 35 U.S.C. 184, no separate approval from 
the Department of State is required unless the applicant seeks to export 
technical data exceeding that used to support a patent application in a 
foreign country. This exemption from Department of State regulations is 
applicable regardless of whether a license from the Commissioner for 
Patents is required by the provisions of Sec. Sec.5.11 and 5.12 (22 
CFR part 125).
    (b) When a patent application containing subject matter on the 
Munitions List (22 CFR part 121) is subject to a secrecy order under 
Sec.5.2 and a petition is made under Sec.5.5 for a modification of 
the secrecy order to permit filing abroad, a separate request to the 
Department of State for authority to export classified information is 
not required (22 CFR part 125).

[62 FR 53205, Oct. 10, 1997]



Sec.5.19  Export of technical data.

    (a) Under regulations (15 CFR 734.3(b)(1)(v)) established by the 
Department of Commerce, a license is not required in any case to file a 
patent application or part thereof in a foreign country if the foreign 
filing is in accordance with the regulations (Sec. Sec.5.11 through 
5.25) of the U.S. Patent and Trademark Office.
    (b) An export license is not required for data contained in a patent 
application prepared wholly from foreign-origin technical data where 
such application is being sent to the foreign inventor to be executed 
and returned to the United States for subsequent filing in the U.S. 
Patent and Trademark Office (15 CFR 734.10(a)).

[70 FR 56129, Sept. 26, 2005]



Sec.5.20  Export of technical data relating to sensitive nuclear
technology.

    Under regulations (10 CFR 810.7) established by the United States 
Department of Energy, an application filed in accordance with the 
regulations (Sec. Sec.5.11 through 5.25) of the Patent and Trademark 
Office and eligible for foreign filing under 35 U.S.C. 184, is 
considered to be information available to the public in published form 
and a generally authorized activity for the purposes of the Department 
of Energy regulations.

[62 FR 53205, Oct. 10, 1997]



Sec.5.25  Petition for retroactive license.

    (a) A petition for a retroactive license under 35 U.S.C. 184 shall 
be presented in accordance with Sec.5.13 or Sec.5.14(a), and shall 
include:
    (1) A listing of each of the foreign countries in which the 
unlicensed patent application material was filed,

[[Page 235]]

    (2) The dates on which the material was filed in each country,
    (3) A verified statement (oath or declaration) containing:
    (i) An averment that the subject matter in question was not under a 
secrecy order at the time it was filed aboard, and that it is not 
currently under a secrecy order,
    (ii) A showing that the license has been diligently sought after 
discovery of the proscribed foreign filing, and
    (iii) An explanation of why the material was filed abroad through 
error without the required license under Sec.5.11 first having been 
obtained, and
    (4) The required fee (Sec.1.17(g) of this chapter).
    (b) The explanation in paragraph (a) of this section must include a 
showing of facts rather than a mere allegation of action through error. 
The showing of facts as to the nature of the error should include 
statements by those persons having personal knowledge of the acts 
regarding filing in a foreign country and should be accompanied by 
copies of any necessary supporting documents such as letters of 
transmittal or instructions for filing. The acts which are alleged to 
constitute error should cover the period leading up to and including 
each of the proscribed foreign filings.
    (c) If a petition for a retroactive license is denied, a time period 
of not less than thirty days shall be set, during which the petition may 
be renewed. Failure to renew the petition within the set time period 
will result in a final denial of the petition. A final denial of a 
petition stands unless a petition is filed under Sec.1.181 within two 
months of the date of the denial. If the petition for a retroactive 
license is denied with respect to the invention of a pending application 
and no petition under Sec.1.181 has been filed, a final rejection of 
the application under 35 U.S.C. 185 will be made.

[49 FR 13463, Apr. 4, 1984, as amended at 56 FR 1929, Jan. 18, 1991; 62 
FR 53206, Oct. 10, 1997; 69 FR 56546, Sept. 21, 2004; 77 FR 48826, Aug. 
14, 2012]

                                 General



Sec. Sec.5.31-5.33  [Reserved]



PART 6_CLASSIFICATION OF GOODS AND SERVICES UNDER THE TRADEMARK ACT--
Table of Contents



    Editorial Note: Part 6 is placed in the separate grouping of parts 
pertaining to trademarks regulations.



PART 7_RULES OF PRACTICE IN FILINGS PURSUANT TO THE PROTOCOL RELATING
TO THE MADRID AGREEMENT CONCERNING THE INTERNATIONAL REGISTRATION OF 
MARKS--Table of Contents



    Editorial Note: Part 7 is placed in the separate grouping of parts 
pertaining to trademarks regulations.

[[Page 237]]

                    INDEX I_RULES RELATING TO PATENTS

  Editorial Note: This listing is provided for information purposes 
only. It is compiled and kept up-to-date by the Department of Commerce. 
This index is updated as of July 1, 2021.

                                                                 Section

                                 A

Abandoned applications:
Abandonment by failure to prosecute................................1.135
Abandonment during interference................................41.127(b)
Abandonment for failure to pay issue fee...........................1.316
Express abandonment................................................1.138
To avoid publication............................................1.138(c)
Referred to in issued patents.......................................1.14
Revival of.........................................................1.137
When open for public inspection.....................................1.14
Abandonment of application. (See Abandoned applications)
Abstract of the disclosure.(content, physical requirements)......1.72(b)
Separate sheet required for commencement of..........1.52(b)(4), 1.72(b)
Arrangement in overall application...........................1.77, 1.163
Access to pending applications (limited)............................1.14
Action by applicant.............................1.111-1.116, 1.121-1.138
Address, Correspondence, only one recognized by Office...........1.33(c)
Address for notice to Director of appeal to Fed. Cir................90.2
Address of Solicitor's Office..................................1.1(a)(3)
Address of the Patent and Trademark Office...........................1.1
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), 1.1(c)(4)
Mail Stop Inter Partes Reexam..................................1.1(c)(2)
Mail Stop Interference..........................................41.10(b)
Mail Stop OED.............................................1.1(a)(5), 4.6
Mail Stop Patent Ext..............................................1.1(e)
Mail Stop PCT.....................................................1.1(b)
Mail Stop Supplemental Examination.............................1.1(c)(3)
Adjustment of patent term. (See Patent term adjustment)
Administrator, executor, or other legal representative may make 
application and receive patent................................1.42, 1.43
In an international application....................................1.422
Oath or declaration.................................................1.64
Admission to practice. (See Attorneys and agents)
Affidavit (see also Oath in patent application):
After appeal....................................................41.33(d)
In support of application for reissue..............................1.175
To disqualify commonly owned patent as prior art................1.131(c)
To overcome cited patent or publication............................1.131
Traversing grounds of rejection....................................1.132
Agents. (See Attorneys and agents)
Allowance and issue of patent:
Amendment after allowance (before or with issue fee)...............1.312
Deferral of issuance...............................................1.314
Delivery of patent.................................................1.315

[[Page 238]]

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..........................1.314
Reasons for.....................................................1.104(e)
Withdrawal from issue..............................................1.313
Amendment:
Adding or substituting claims...............................1.111, 1.121
After appeal.........................................1.116, 41.33, 41.63
After decision on appeal, based on new rejection of Patent Trial 
and Appeal Board................................................41.50(b)
After final action..........................................1.116, 41.33
After final action (transitional procedures).......................1.129
After notice of allowance..........................................1.312
By patent owner....................................................1.530
Copying claim of another application for interference.............41.202
Copying claim of issued patent....................................41.202
Deletions and insertions...........................................1.121
Drawings............................................1.84, 1.85, 1.121(d)
Manner of making...................................................1.121
May be required....................................................1.121
New matter prohibited.................................1.121(f), 1.173(a)
Numbering of claims................................................1.126
Of amendments......................................................1.121
Of claims...................................................1.111, 1.121
Of disclosure......................................................1.121
Of drawing......................................................1.121(d)
Of specification...................................................1.121
Paper and writing...................................................1.52
Preliminary........................................................1.115
Proposed during interference..............................41.121, 41.208
Provisional application................................1.53(c), 1.121(k)
Reexamination proceedings.........................1.121(j), 1.530, 1.941
Reissue...............................................1.121(i), 1.173(b)
Requisites of........................1.33(b), 1.111, 1.116, 1.121, 1.125
Right to amend................................1.111, 1.114, 1.116, 1.121
Signature to.....................................................1.33(b)
Substitute specification...........................................1.125
Time for...........................................................1.134
To applications in interference...........................41.121, 41.208
To correct inaccuracies.........................................1.121(e)
To correspond to original drawing or specification..............1.121(e)
To reissues..............................................1.121(i), 1.173
To save from abandonment...........................................1.135
America Invents Act Post-Grant Proceedings (See Inter partes review, 
post-grant review, covered business method review, and derivation 
proceeding)
Amino Acid Sequences. (See Nucleotide and/or Amino Acid Sequences)
Appeal to Court of Appeals for the Federal Circuit:
Fee provided by rules of court......................................90.2
From Patent Trial and Appeal Board.............................90.1-90.3
Notice and reasons of appeal........................................90.2
Reexamination, inter partes proceeding.............................1.983
Time for............................................................90.3
Appeal to Patent Trial and Appeal Board:
Action following decision..........................................41.54
Affidavits after appeal.........................................41.33(d)
Brief..............................................................41.37
Decision by Board...............................................41.50(b)

[[Page 239]]

Examiner's answer..................................................41.39
Fees........................................................41.20, 41.45
Hearing of.........................................................41.47
New grounds for rejecting a claim...............................41.50(b)
Notice of appeal...................................................41.31
Reexamination, inter partes proceeding.............................1.959
Rehearing..........................................................41.52
Reopening after decision...........................................1.198
Reply brief........................................................41.41
Statement of grounds for rejecting, by Patent Trial and Appeal 
Board..............................................................41.50
Applicant for patent.........................................1.42, 1.421
Change.......................................................1.46, 1.472
Deceased or legally incapacitated inventor...................1.43, 1.422
Executor or administrator...........................................1.43
Informed of application number...................................1.54(b)
Letters for, sent to attorney or agent...........................1.33(a)
May be represented by patent practitioner...........................1.31
Must be represented by patent practitioner if juristic entity.......1.31
Personal attendance unnecessary......................................1.2
Required to conduct business with decorum and courtesy...............1.3
Required to report assistance received............................1.4(g)
Application data sheet..............................................1.76
Application for patent (see also Abandoned applications, Claims, 
Drawing, Examination of application Reissues, Provisional applications, 
Specification):
Access to...........................................................1.14
Acknowledgement of filing........................................1.54(b)
Alteration after execution.......................................1.52(c)
Alteration before execution......................................1.52(c)
Applicant...........................................................1.42
Application number and filing date..................................1.54
Arrangement...........................................1.77, 1.154, 1.163
Continuation or division, reexecution not required...............1.63(d)
Continued Prosecution Application (CPA), Design..................1.53(d)
Copies of, furnished to applicants...............................1.59(c)
Cross-references to related applications............................1.78
Deceased or legally incapacitated inventor....................1.43, 1.64
International phase................................................1.422
Declaration in lieu of oath.........................................1.68
Duty of disclosure..................................................1.56
Elements of, order and arrangement of.................1.77, 1.154, 1.163
Filed apparently without all figures of drawing:
Petition and filing of missing figures seeking new filing date.....1.182
Petition asserting all figures of drawing were filed.............1.53(e)
Filed apparently without all pages of specification, petition 
asserting all pages were filed...................................1.53(e)
Filed apparently without any drawing, petition asserting drawing 
was filed, or was not necessary, or adding drawing and seeking new 
filing date......................................................1.53(e)
Filed by other than inventor............................1.42, 1.43, 1.46
Filed by reference...............................................1.57(a)
International phase......................................1.421(c), 1.422
Filing and national fees..............................1.16, 1.445, 1.492
Filing date.........................................................1.53
International application.......................................1.431(b)
Foreign language oath or declaration................................1.69
Formulas and tables.................................................1.58
General requisites..................................................1.51

[[Page 240]]

Identification required in letters concerning........................1.5
Incomplete application not forwarded for examination................1.53
Language, paper, writing, margin....................................1.52
Later completion of nonprovisional application...................1.53(f)
Must be made by actual inventor, with exceptions........1.42, 1.46, 1.64
Names of all inventors required...............................1.41, 1.53
Non-English language......................................1.52(b)(1)(ii)
Nonprovisional application forwarded for examination only when 
complete............................................................1.53
Nonprovisional filing of petition to convert to a provisional 
application...................................................1.53(c)(2)
Owned by Government.............................................1.103(f)
Papers forming part of original disclosure not to be expunged 
                                                              1.59(a)(2)
Parts filed separately..............................................1.54
Parts of application desirably filed together.......................1.54
Parts of complete application.......................................1.51
Processing fees.....................................................1.17
Provisional application............1.9(a)(2), 1.51(c), 1.53(c), 1.121(k)
Publication. (See Publication of applications)
Relating to atomic energy........................................1.14(d)
Reservation for future application not permitted....................1.79
Secrecy order....................................................5.1-5.5
Tables and formulas.................................................1.58
To be made to Director of the U.S. Patent and Trademark Office......1.51
To claim one independent and distinct invention....................1.141
Two or more by same party with patentably indistinct claims.....1.78(f), 
                                                                     (g)
Application number..............................1.5(a), 1.53(a), 1.54(b)
Application size fee....................................1.16(s), 1.52(f)
Arbitration award filing...........................................1.335
Arbitration in interference.......................................41.126
Assertion of micro entity status....................................1.29
Assertion of small entity status.................................1.27(c)
Assignee:
Correspondence held with assignee of entire interest..........3.71, 3.73
Establishing ownership...........................................3.73(b)
If of entire interest, patent may issue to....................1.46, 3.81
If of undivided part interest, correspondence will be held with 
inventor............................................................1.33
If of undivided part interest, must assent to application for 
reissue of patent..................................................1.172
If of undivided part interest, patent may issue jointly.......1.46, 3.81
May conduct prosecution of application........................3.71, 3.73
May take action in interference.....................................41.9
Assignments and recording:
Abstracts of title, fee for......................................1.19(b)
Conditional assignments.............................................3.56
Correction of Cover Sheet errors....................................3.34
Cover Sheet required..........................................3.28, 3.31
Date of receipt is date of record...................................3.51
Effect of recording.................................................3.54
Fees.......................................................1.21(h), 3.41
If recorded before payment of issue fee, patent may issue to 
assignee............................................................3.81
Impact on entitlement to micro entity status........................1.29
Impact on entitlement to small entity status........................1.27
May serve as inventor's oath or declaration......................1.63(e)
Must be recorded in Patent and Trademark Office to issue patent to 
assignee............................................................3.81

[[Page 241]]

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
Atomic energy applications reported to Department of Energy.........1.14
Attorneys and agents:
Acting in a representative capacity...........................1.33, 1.34
Assignment will not operate as a revocation of power................1.36
Certificate of good standing..................................1.21(a)(4)
Office cannot aid in selection of...................................1.31
Personal interviews with examiners.................................1.133
Power of attorney...................................................1.32
Privileged communications..........................................42.57
Registration fees................................................1.21(a)
Representation in international application........................1.455
Representative capacity.......................................1.33, 1.34
Required to conduct business with decorum and courtesy...............1.3
Revocation of power..............................................1.36(a)
Withdrawal of..............................................1.36(b), 41.5
Authorization of agents. (See Attorneys and agents)
Award in arbitration...............................................1.335

                                 B

Balance in deposit account..........................................1.25
Basic filing fee....................................................1.16
Basic national fee.................................................1.492
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 (renamed as Patent Trial and 
Appeal Board). (See Appeal to Patent Trial and Appeal Board, Patent 
Trial and Appeal Board, Inter Partes Review, Post-Grant Review, 
Derivation Proceeding, Patent Trial Practice and Procedure, and 
Interferences)
Briefs:
In petitions to Director...........................................1.181
On appeal to Patent Trial and Appeal Board.........................41.37
Business to be conducted with decorum and courtesy...................1.3
Business to be transacted in writing.................................1.2

                                 C

Certificate of correction...................................1.322, 1.323
Fee..............................................................1.20(a)
Mistakes not corrected.............................................1.325
Certificate of mailing (as first class mail) or transmission.........1.8
Certificate, reexamination.........................................1.570
Certified copies of records, papers, etc....................1.4(f), 1.13
Chemical and mathematical formulas and tables.......................1.58
Citation of prior art in patent....................................1.501
Citation of references by examiner..............................1.104(d)
Civil action...................................................90.1-90.3
Claims (see also Examination of applications):
Amendment of.......................................................1.121
Dependent...........................................................1.75
Design patent......................................................1.153

[[Page 242]]

International.....................................................1.1025
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
Patentably indistinct, same applicant or owner..............1.78(f), (g)
Plant patent.......................................................1.164
Rejection of....................................................1.104(c)
Required............................................................1.75
Separate Sheet required for commencement of claim(s)....1.52(b), 1.75(h)
Twice or finally rejected before appeal.........................41.31(a)
Color drawing.................................................1.84(a)(2)
Color photographs.............................................1.84(b)(2)
Common Ownership, statement by assignee may be required.............1.78
Compact disc submissions:
Computer program listings...........................................1.96
Requirements.....................................................1.52(e)
Sequence listings...............................................1.821(c)
Tables..............................................................1.58
Complaints against examiners, how presented..........................1.3
Composition of matter, specimens of ingredients may be required.....1.93
Computer program listings...........................................1.96
Concurrent office proceedings......................................1.565
Conduct of ex parte reexamination proceedings......................1.550
Continued examination, request for.................................1.114
Continued Prosecution Application (CPA), Design..................1.53(d)
Continuing application for invention disclosed and claimed in 
prior application................................................1.53(b)
Copies of patents, published applications, records, etc......1.11, 1.12, 
                                                                    1.13
Copies of records, fees....................................1.19(b), 1.59
Copyright notice in drawings.....................................1.84(s)
Copyright notice in specification................................1.71(d)
Corrected publication of application...............................1.221
Correction, certificate of..................................1.322, 1.323
Correction of inventorship...................................1.48, 1.324
Correspondence:
Address, only one recognized.....................................1.33(c)
Addresses for non-trademark correspondence...........................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
Facsimile transmissions...........................................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 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(c)
Signature requirements............................................1.4(d)
When no attorney or agent...........................................1.33
With attorney or agent after power or authorization is filed........1.33

[[Page 243]]

Court of Appeals for the Federal Circuit, appeal to. (See Appeal to 
Court of Appeals for the Federal Circuit)
CPA (Continued Prosecution Application), Design..................1.53(d)
Credit card payment.................................................1.23
Covered Business Method Patent Review. (See also Patent Trial Practice 
and Procedure; Post-Grant Review):
General....................................................42.300-42.304
Procedure; pendency...............................................42.300
Definitions.......................................................42.301
Content of petition...............................................42.304
Time for filing...................................................42.303
Who may petition..................................................42.302
Customer Number:
Defined.......................................................1.32(a)(5)
Required to establish a Fee Address.............................1.363(c)

                                 D

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, 1.9(h)
Daytime telephone number.........................................1.33(a)
Death or legal incapacitation of inventor...........................1.43
In an international application....................................1.422
Decision on appeal by the Patent Trial and Appeal Board............41.50
Action following decision..........................................41.54
Declaration (See also Oath in patent application).
Foreign language....................................................1.69
In lieu of oath.....................................................1.68
In patent application...............................................1.68
Requirements to enter the U.S. national phase......................1.497
Deferral of examination............................................1.103
Definitions:
Applicant...........................................................1.42
Assignment...........................................................3.1
Customer Number...............................................1.32(a)(5)
Document.............................................................3.1
Effective filing date of a claimed invention.......................1.109
Federal holiday within the District of Columbia...................1.9(h)
Inventorship................................................1.9(d), 1.41
Joint Research Agreement..........................................1.9(e)
Micro entity........................................................1.29
National and international applications..............................1.9
National security classified......................................1.9(i)
Nonprofit organization(for small entity purposes).............1.27(a)(3)
Nonprovisional application.....................................1.9(a)(3)
Paper.............................................................1.9(k)
Person (for small entity purposes)............................1.27(a)(1)
Power of attorney.............................................1.32(a)(2)
Principal.....................................................1.32(a)(3)
Provisional application........................................1.9(a)(2)
Published application.............................................1.9(c)
Recorded document....................................................3.1
Revocation....................................................1.32(a)(4)
Service of process.....................................15 C.F.R. Part 15
Small business concern (for small entity purposes)............1.27(a)(2)
Small entity.....................................................1.27(a)
Terms under Patent Cooperation Treaty..............................1.401

[[Page 244]]

Delivery of patent.................................................1.315
Deposit accounts....................................................1.25
Fees.............................................................1.21(b)
Deposit of computer program listings................................1.96
Deposit of biological material:
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
Depositions (See also Testimony in interferences):
Certificate of officer to accompany............................41.157(e)
Formalities to be observed in preparing...........................41.157
Person before whom taken..........................................41.157
Description of invention. (See Specification)
Design Patent Applications:
Arrangement of specification.......................................1.154
Claim...........................................................1.153(a)
Description.....................................................1.153(a)
Drawing............................................................1.152
Expedited Examination..............................................1.155
Filing fee.......................................................1.16(b)
International. (See Hague Agreement)
Issue fee........................................................1.18(b)
Oath............................................................1.153(b)
Rules applicable...................................................1.151
Title...........................................................1.153(a)
Determination of request for ex parte reexamination................1.515
Derivation Proceeding (See also Patent Trial Practice and Procedure)
General....................................................42.400-42.407
Procedure; pendency...............................................42.400
Definitions.......................................................42.401
Who may petition..................................................42.402
Time for filing...................................................42.403
Derivation Fee.............................................42.15, 42.404
Content of petition...............................................42.405
Service of petition...............................................42.406
Filing date.......................................................42.407
Institution of derivation proceeding..............................42.408
After Institution..........................................42.409-42.412
Settlement agreement..............................................42.409
Arbitration.......................................................42.410
Common interests in the invention.................................42.411
Public availability of Board records..............................42.412
Director of the USPTO (See also Petition to the Director):
Address of...........................................................1.1
Availability of decisions by........................................1.14
Cases decided by Board reopened only by............................1.198
Initiates ex parte reexamination...................................1.520
Disclaimer, statutory:
During interference............................................41.127(b)
Fee..............................................................1.20(d)
Requirements of....................................................1.321
Terminal...........................................................1.321

[[Page 245]]

Discovery in interferences........................................41.150
Division. (See Restriction of application)
Division of patent on reissue......................................1.177
Document supply fees................................................1.19
Drawing:
Amendment of....................................................1.121(d)
Annotated drawings..............................................1.121(d)
Arrangement of views.............................................1.84(i)
Arrows...........................................................1.84(r)
Character of lines...............................................1.84(l)
Color.........................................................1.84(a)(2)
Content of drawing..................................................1.83
Conventional features............................................1.83(a)
Copyright notice.................................................1.84(s)
Correction....................................1.84(w), 1.85(c), 1.121(d)
Cost of copies of...................................................1.19
Description, brief and detailed.....................................1.74
Design application.................................................1.152
Figure for front page................................1.76(b)(3), 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(b)
Incorporation by reference to prior application.....................1.57
In international applications......................................1.437
Ink...........................................................1.84(a)(1)
Lead lines.......................................................1.84(q)
Legends..........................................................1.84(o)
Letters..........................................................1.84(p)
Location of names................................................1.84(c)
Margin...........................................................1.84(g)
Mask work notice.................................................1.84(s)
Must show every feature of the invention.........................1.83(a)
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(b)
Photographs......................................................1.84(b)
Plant patent application.....................................1.81, 1.165
Printed and published by the Office when patented...................1.84
Reference letters, numerals, and characters................1.74, 1.84(p)
Reissue......................................................1.173(a)(2)
Release not permitted............................................1.85(b)
Replacement drawings............................................1.121(d)
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....................................................1.84(f)
Standards for drawings..............................................1.84
Symbols..........................................................1.84(n)
Views............................................................1.84(h)
When necessary, part of complete application........................1.51

[[Page 246]]

Duplicate copies..................................................1.4(b)
Duty of disclosure....................................1.56, 1.555, 1.933
Patent term extension..............................................1.765

                                 E

Early publication of application...................................1.219
Eighteen-month publication of applications. (See Publication of 
applications)
Election of species................................................1.146
Electronic documents.............................................1.52(e)
Application size fee....................................1.16(s), 1.52(f)
Non-electronic filing fee........................................1.16(t)
Electronic filing of application...................1.6(a)(4), 1.52(a)(5)
Establishing micro entity status....................................1.29
Establishing small entity status..............................1.27, 1.28
Evidence. (See Testimony in interferences)
Ex parte reexamination. (See Reexamination)
Examination of applications:
Advancement of examination.........................................1.102
As to form...................................................1.104(a)(1)
Citation of references..........................................1.104(d)
Completeness of examiner's action...............................1.104(b)
Deferral of........................................................1.103
Examiner's action...............................................1.104(a)
International-type search....................................1.104(a)(3)
Nature of examination...........................................1.104(a)
Prioritized examination.........................................1.102(e)
Reasons for allowance...........................................1.104(e)
Reconsideration after rejection if requested.......................1.111
Reissue............................................................1.176
Rejection of claims.............................................1.104(c)
Request for continued examination(RCE).............................1.114
Requirement for information by examiner............................1.105
Suspension of action by the Office.................................1.103
Examiners:
Answers on appeal..................................................41.39
Complaints against...................................................1.3
Interviews with.............................................1.133, 1.560
Executors..............................................1.42, 1.64, 1.422
Exhibits. (See Models and exhibits)
Expedited examination of design applications.......................1.155
Export of technical data..........................5.11, 5.15, 5.19, 5.20
Express abandonment................................................1.138
To avoid publication............................................1.138(c)
 Priority Mail Express[supreg]......................................1.10
Date of receipt of...................................................1.6
Petition in regard to...............................................1.10
Expungement of information..........................................1.59
Extension of patent term. (See also Patent term adjustment):
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

[[Page 247]]

Veterinary biological product......................................1.779
Certificate........................................................1.780
Conditions for.....................................................1.720
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...........................................1.760, 1.790
Multiple applications..............................................1.785
Patents subject to.................................................1.710
Signature requirements for application.............................1.730
Withdrawal of application..........................................1.770
Extension of time..................................................1.136
Fees.............................................................1.17(a)
Interference proceedings............................................41.4
Reexamination proceedings.......................................1.550(c)

                                 F

Facsimile transmissions......................................1.6(d), 1.8
Federal Holiday, time for taking action......................1.7, 1.9(h)
Fees and payment of money:
Credit card......................................................1.23(b)
Deposit account.....................................................1.25
Document supply fees................................................1.19
Extension of time................................................1.17(a)
Fee on appeal to the Court of Appeals for the Federal Circuit 
provided by rules of court..........................................90.2
Fees payable in advance..........................................1.22(a)
For international-type search report.............................1.21(e)
Foreign filing license petition..................................1.17(g)
Itemization required.............................................1.22(b)
Method of payment...................................................1.23
Money by mail at risk of sender..................................1.23(a)
Money paid by mistake or in excess..................................1.26
Necessary for application to be complete............................1.51
Petition fees........................1.17(f), 1.17(g), 1.17(h), 41.20(a)
Prioritized examination..........................................1.17(c)
Processing fees..................................................1.17(i)
Publication of application.............................1.18(d), 1.211(e)
Reexamination request............................................1.20(c)
Refunds.......................................................1.26, 1.28
Relating to international applications......................1.445, 1.492
Schedule of fees and charges...................................1.16-1.21
Files open to the public......................................1.11, 1.14
Filing, search and examination fees.................................1.16
Filing date of application..........................................1.53
Filing of interference settlement agreements......................41.205
Final rejection:
Appeal from........................................................41.31
Response to...................................1.113, 1.114, 1.116, 1.129
When and how given.................................................1.113
First Class Mail.....................................................1.8
Foreign application.................................................1.55
License to file................................................5.11-5.25
Foreign country:
Taking oath in......................................................1.66

[[Page 248]]

Taking testimony in.......................................41.156, 41.157
Foreign mask work protection....................................Part 150
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
Formulas and tables in patent applications..........................1.58
Fraud practiced or attempted on Office.......1.27(h), 1.56, 1.555, 1.765
Freedom of Information Act......................................Part 102

                                 G

Gazette. (See Official Gazette)
General authorization to charge deposit account.....................1.25
General information and correspondence.....................1.1-1.8, 1.10
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

                                 H

Hague Agreement:
International design applications..........................1.1001-1.1071
Access to........................................................1.14(j)
Applied for by person/entity other than inventor.................1.46(b)
Benefit claim in........................................1.78(d), 1.78(e)
Definition of.....................................................1.9(n)
Deposit account usage in............................................1.25
Drawing corrections in..........................................1.121(d)
Expedited examination of...........................................1.155
Incorporation by reference as to inadvertently omitted portion of 
specification or drawing(s)......................................1.57(b)
Inventorship in..................................................1.41(f)
Priority claim in................................................1.55(m)
Hearings:
Before the Patent Trial and Appeal Board...........................41.47
Fee for appeal hearing.............................................41.20
In disciplinary proceedings.......................................11. 44
Of motions in interferences.......................................41.124
Holiday, time for action expiring on............................1.6, 1.7

                                 I

Identification of application, patent or registration................1.5
Incorporation by Reference..........................................1.57
Information disclosure statement:
At time of filing application....................................1.51(d)
Content of..........................................................1.98
Not permitted in provisional applications........................1.51(d)
Reexamination...............................................1.555, 1.902
To comply with duty of disclosure...................................1.97
Information, Public.............................................Part 102
Inter partes reexamination. (See Reexamination)
Interferences. (See also Depositions, Notice, Statement in 
interferences, Testimony in interferences):
Abandonment of the contest.....................................41.127(b)

[[Page 249]]

Access to applications............................................41.109
Action by examiner after interference.............................41.127
Addition of new party by judge....................................41.203
Amendment during..........................................41.121, 41.208
Appeal to the Court of Appeals for the Federal Circuit.........90.1-90.3
Applicant requests................................................41.202
Arbitration.......................................................41.126
Burden of proof................................................41.121(b)
Civil action...................................................90.1-90.3
Concession of priority.........................................41.127(b)
Correspondence.....................................................41.10
Decision on motions...............................................41.125
Declaration of interference.......................................41.203
Definition................................................41.100, 41.201
Disclaimer to avoid interference...............................41.127(b)
Discovery.........................................................41.150
Extensions of time..................................................41.4
Identifying claim from patent.....................................41.202
In what cases declared............................................41.203
Inspection of cases of opposing parties...........................41.109
Interference with a patent........................................41.202
Judgment..........................................................41.127
Junior party fails to overcome filing date of senior party........41.204
Jurisdiction of interference......................................41.103
Manner of service of papers.......................................41.106
Motions...........................................41.121, 41.155, 41.208
Notice and access to applications of opposing parties.............41.109
Notice of basis for relief................................41.120, 41.204
Notice of reexamination, reissue, protest or litigation.............41.8
Notice to file civil action.........................................90.2
Oral argument.....................................................41.124
Ownership of applications or patents involved.....................41.206
Petitions...........................................................41.3
Preparation for...................................................41.202
Priority statement................................................41.204
Prosecution by assignee.............................................41.9
Recommendation by Patent Trial and Appeal Board...................41.127
Record and exhibits.......................................41.106, 41.154
Records of, when open to public...............................1.11, 41.6
Reissue filed by patentee during..................................41.203
Request by applicant..............................................41.202
Return of unauthorized papers.....................................41.128
Review of decision by civil action.............................90.1-90.3
Same party........................................................41.206
Sanctions for failure to comply with rules or order...............41.128
Sanctions for taking and maintaining a frivolous position.........41.128
Secrecy order cases...............................................5.3(b)
Service of papers.................................................41.106
Status of claims of defeated applicant after interference.........41.127
Statutory disclaimer by patentee during........................41.127(b)
Suggestion of claims for interference.............................41.202
Suspension of other proceedings...................................41.103
Testimony copies..................................................41.157
Time period for completion........................................41.200
Times for discovery and taking testimony..........41.150, 41.156, 41.157
Translation of document in foreign language.......................41.154
International application. (See Patent Cooperation Treaty)

[[Page 250]]

International Bureau...............................................1.415
International design application. (See Hague Agreement)
International Preliminary Examining Authority, United States as....1.416
International Searching Authority, United States as................1.413
Interview summary..................................................1.133
Interviews with examiner....................................1.133, 1.560
Inter Partes Review. (See also Patent Trial Practice and Procedure):
General....................................................42.100-42.107
Procedure; pendency...............................................42.100
Who may petition..................................................42.101
Time for filing...................................................42.102
Fee........................................................42.15, 42.103
Content of petition...............................................42.104
Service of petition...............................................42.105
Filing date.......................................................42.106
Preliminary response..............................................42.107
Instituting a review..............................................42.108
After Institution..........................................42.120-42.123
Patent owner response.............................................42.120
Motion to amend...................................................42.121
Multiple proceedings; joinder.....................................42.122
Supplemental information..........................................42.123
Invention promoters:
Complaints regarding.............................................4.1-4.6
Publication of.............................................4.1, 4.3, 4.5
Reply to.............................................................4.4
Submission of........................................................4.3
Withdrawal of........................................................4.4
Definition...........................................................4.2
Inventor (see also Oath in patent application):
Death or legal incapacity of........................................1.43
In international application......................................1.422,
May apply for patent................................................1.42
Unavailable or refuses to sign application..........................1.64
Inventor's certificate priority benefit.............................1.55
Inventorship and date of invention of the subject matter of 
individual claims..................................................1.110
Issue fee...........................................................1.18
Issue of patent. (See Allowance and issue of patent)
                                 J

Joinder of inventions in one application.....................1.141-1.146
Joint inventors........................1.45, 1.47, 1.48, 1.324, 1.421(b)
Joint patent to inventor and assignee.........................1.46, 3.81
Jurisdiction:
After decision by Patent Trial and Appeal Board.............1.197, 1.198
After notice of allowance...................................1.312, 1.313
Of involved files in contested case...............................41.103

                                 L

Law School Clinic Certification Program......................11.16-11.17
Legal representative of deceased or incapacitated inventor...1.42, 1.43, 
                                                                    1.64
In international application.......................................1.422
Legal Processes.................................................Part 104
Legibility of papers which are to become part of the permanent 
Office records...................................................1.52(a)
Letters to the Office. (See Correspondence)

[[Page 251]]

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
Lost files.........................................................1.251

                                 M

Mail Stops
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), 1.1(c)(4)
Mail Stop Inter partes Reexam..................................1.1(c)(2)
Mail Stop Interference..........................................41.10(b)
Mail Stop OED.............................................1.1(a)(5), 4.6
Mail Stop Patent Ext..............................................1.1(e)
Mail Stop PCT..........................1.1(b), 1.417, 1.434(a), 1.480(b)
Mail Stop Supplemental Examination.............................1.1(c)(3)
Maintenance fees.............................................1.20(e)-(h)
Acceptance of delayed payment of...................................1.378
Address for payments and correspondence...........................1.1(d)
Fee address for....................................................1.363
Review of decision refusing to accept..............................1.377
Submission of......................................................1.366
Time for payment of................................................1.362
Mask work notice in specification................................1.71(d)
Mask work notice on drawing......................................1.84(s)
Mask work protection, foreign...................................Part 150
Microorganisms. (See Deposit of Biological Material)
Minimum balance in deposit accounts.................................1.25
Misjoinder of inventor.............................1.48, 1.324, 1.497(d)
Missing pages when application filed
Petition alleging there were no missing pages....................1.53(e)
Petition with new oath or declaration and later submission of 
missing pages seeking new filing date..............................1.182
Mistake in patent, certificate thereof issued...............1.322, 1.323
Models and exhibits:
Copies of...........................................................1.95
Disposal unless return arrangements made............................1.94
In contested cases................................................41.154
May be required if deemed necessary in examination of application 
                                                                 1.91(b)
Model not generally admitted as part of 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(b)
Money. (See Fees and payment of money)
Motions in interference...........................41.121, 41.155, 41.208
To take testimony in foreign country......................41.156, 41.157

                                 N

Name of applicant...................................................1.41
New matter inadmissible in application.................1.53(b), 1.121(f)
New matter inadmissible in reexamination..............1.530(d), 1.552(b)
New matter inadmissible in reissue.................................1.173
Non-English language specification fee...........................1.17(i)
Nonprofit organization:
Definition (for small entity purposes)........................1.27(a)(3)

[[Page 252]]

Nonpublication request.............................................1.213
Notice:
Of allowance of application........................................1.311
Of appeal to the Court of Appeals for the Federal Circuit......90.1-90.3
Of arbitration award...............................................1.335
Of defective reexamination request..............................1.510(c)
Of interference...........................................41.101, 41.203
Of oral hearings on appeals before Patent Trial and Appeal Board 
                                                                   41.47
Of rejection of an application..................................1.104(a)
Nucleotide and/or Amino Acid Sequences:
Amendments to......................................................1.825
Disclosure in patent application...................................1.821
Fee amounts for submitting very lengthy sequence listings........1.21(o)
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

                                 O

Oath or declaration (inventor's) in patent application:
Assignment may serve as..........................................1.63(e)
Apostilles..........................................................1.66
Before whom taken in foreign countries..............................1.66
Before whom taken in the United States..............................1.66
By administrator or executor..................1.42, 1.63, 1.64, 1.497(b)
Certificate of Officer administering................................1.66
Continuation-in-part.............................................1.63(e)
Declaration in lieu of oath.........................................1.68
Foreign language....................................................1.69
Identification of specification to which it is directed.............1.63
International application, National Stage..........................1.497
Inventor's Certificate..............................................1.63
Made by inventor........................................1.41, 1.63, 1.64
Officers authorized to administer oaths.............................1.66
Part of complete application........................................1.51
Person making.................................................1.63, 1.64
Plant patent application...........................................1.162
Requirements of.....................................................1.63
Sealed..............................................................1.66
Signature to.......................................1.4, 1.63, 1.64, 1.67
Substitute Statement................................................1.64
Supplemental........................................................1.67
To acknowledge duty of disclosure...................................1.63
When taken abroad to seal all papers................................1.66
Oath or declaration in reissue application..................1.172, 1.175
Object of the invention.............................................1.73
Office action time for reply.......................................1.134
Office fees. (See Fees and payment of money)
Official action, based exclusively upon the written record...........1.2
Official business, should be transacted in writing...................1.2
Official Gazette:
Announces request for reexamination................1.11(c), 1.525, 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
Service of notices in.............................................41.101

[[Page 253]]

Oral statements......................................................1.2
Order to reexamine.................................................1.525
Ownership, statement establishing by assignee....................3.73(b)

                                 P

Paper, definition of..............................................1.9(k)
Papers (requirements to become part of Office permanent records) 
                                                                    1.52
Handwritten, not permitted.......................................1.52(a)
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:
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 and address, where filed.........1.421(f), 1.472
Claim content and format in an international application...........1.436
Commencement of the national stage..............................1.491(a)
Conduct of international preliminary examination...................1.484
Definition of terms................................................1.401
Delays in meeting time limits......................................1.468
Demand for international preliminary examination...................1.480
Designation of States..............................................1.432
Election of States..............................................1.480(d)
Entry into national stage................................1.491(b), 1.495
Examination at national stage......................................1.496
Fees:
Due within one month of filing international application........1.431(c)
Failure to pay results in withdrawal of application......1.431(d), 1.432
Filing and processing fees.........................................1.445
International preliminary examination.......................1.481, 1.482
National stage.....................................................1.492
Refunds............................................1.26, 1.446, 1.480(c)
Filing by other than inventor............................1.421(c), 1.422
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
Inventor deceased...........................................1.422, 1.497
Inventor insane or legally incapacitated...........................1.497
Inventors, joint.........................................1.421(b), 1.497
National stage examination.........................................1.496
Oath or declaration at national stage..............................1.497
Priority, claim for.........................................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
Translation:
Of international application for U.S. national phase...............1.495
Of publication of international application for provisional rights
                                                                   1.417
United States as:

[[Page 254]]

Designated or Elected Office.......................................1.414
International Preliminary Examining Authority......................1.416
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
Withdrawal of international application, designations, priority 
claims, demands and elections.........................1.421(g), 1.431(d)
Patent Law Treaty:
Model International Forms..................................1.76, 3.31(h)
Patent term adjustment due to examination delay..............1.702-1.705
Application for....................................................1.705
Determination......................................................1.705
Grounds for........................................................1.702
Period of adjustment...............................................1.703
Reduction of period of adjustment..................................1.704
Patent term extension due to examination delay.....................1.701
Patent term extension due to regulatory review period. (See Extension of 
patent term due to regulatory review period (35 U.S.C. 156))
Patentee notified of interference.........................41.101, 41.203
Patents. (see also Allowance and issue of Patent):
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
Obtainable by civil action.....................................90.1-90.3
Price of copies.....................................................1.19
Records of, open to public..........................................1.11
Reissuing of, when defective.................................1.171-1.178
Payment of fees.....................................................1.23
Person, definition for small entity purposes..................1.27(a)(1)
Personal attendance unnecessary......................................1.2
Petition for reissue........................................1.171, 1.172
Patent Trial and Appeal Board. (See Appeal to Patent Trial and Appeal 
Board, Inter Partes Review, Post-Grant Review, Derivation Proceeding, 
Patent Trial Practice and Procedure, and Interferences)
Patent Trial Practice and Procedure (see also inter partes review, post-
grant review, covered business method patent review, and derivation 
proceeding)
General.......................................................42.1-42.14
Policy..............................................................42.1
Definitions.........................................................42.2
Jurisdiction........................................................42.3
Notice of trial.....................................................42.4
Conduct of the proceeding...........................................42.5
Filing of documents, including exhibits; service....................42.6
Management of the record............................................42.7
Mandatory notices...................................................42.8
 Action by patent owner.............................................42.9
Counsel............................................................42.10
 Duty of candor; signing papers; representations to the Board; 
sanctions..........................................................42.11
 Sanctions.........................................................42.12
 Citation of authority.............................................42.13

[[Page 255]]

 Public availability...............................................42.14
Fees...............................................................42.15
Petition and Motion Practice.................................42.20-42.25
General............................................................42.20
Notice of basis for relief.........................................42.21
Content of petitions and motions...................................42.22
Oppositions and replies............................................42.23
Type-volume or page and word count limits for petitions, motions, 
oppositions and replies............................................42.24
Default filing times...............................................42.25
Testimony and Production.....................................42.51-42.65
Discovery..........................................................42.51
Compelling testimony and production................................42.52
Taking testimony...................................................42.53
Protective order...................................................42.54
Confidential information in a petition.............................42.55
Expungement of confidential information............................42.56
Admissibility......................................................42.61
Applicability of the Federal Rules of Evidence.....................42.62
Form of evidence...................................................42.63
Objection; motion to exclude.......................................42.64
Expert testimony; tests and data...................................42.65
Oral Argument, Decision, and Settlement.........................42.70-74
Oral argument......................................................42.70
Decision on petitions or motions...................................42.71
Termination of trial...............................................42.72
Judgment...........................................................42.73
Settlement.........................................................42.74
Certificate........................................................42.80
Petition to the Director:
Fees................................................................1.17
For delayed payment of issue fee...................................1.137
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................................................1.515(c)
Petition to accept an unintentionally delayed claim for domestic 
benefit.............................................................1.78
 Petition to accept an unintentionally delayed claim for foreign 
priority............................................................1.55
Questions not specifically provided for............................1.182
Suspension of rules................................................1.183
To exercise supervisory authority..................................1.181
To make special....................................................1.102
Plant patent applications:
Applicant....................................................1.42, 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)
Latin named genus and species....................1.76(b)(3), 1.163(c)(4)

[[Page 256]]

Oath...............................................................1.162
Rules applicable...................................................1.161
Specification......................................................1.163
Specimens..........................................................1.166
Post issuance fees..................................................1.20
Post Office receipt as filing date..................................1.10
Postal emergency or interruption.............................1.10(g)-(i)
Post-Grant Review. (See also Patent Trial Practice and Procedure):
General....................................................42.200-42.207
Procedure; pendency...............................................42.200
Who may petition..................................................42.201
Time for filing...................................................42.202
Fee........................................................42.15, 42.203
Content of petition...............................................42.204
Service of petition...............................................42.205
Filing date.......................................................42.206
Preliminary response..............................................42.207
Instituting a review..............................................42.208
After Institution..........................................42.220-42.224
Patent owner response.............................................42.220
Motion to amend...................................................42.221
Multiple proceedings; joinder.....................................42.222
Supplemental information..........................................42.223
Discovery.........................................................42.224
Power of attorney. (See Attorneys and agents)
Preliminary amendments.............................................1.115
Preserved in confidence, applications.........................1.12, 1.14
Exceptions (status, access or copies available).....................1.14
Prior art citation in patent files.................................1.501
Prior art statement:
Content of..........................................................1.98
In reexamination............................................1.555, 1.933
To comply with duty of disclosure...................................1.97
Prior art submission by third party:
In patent application..............................................1.290
In patent file.....................................................1.501
In protest against pending unpublished application.................1.291
Prior Invention, affidavit or declaration of, to overcome 
rejection..........................................................1.131
Prior public disclosure, affidavit or declaration of, to overcome 
rejection..........................................................1.130
Prioritized examination.........................................1.102(e)
Priority, international applications...............................1.451
Priority, right of, under treaty or law.............................1.55
Priority statement in interferences:
Contents of.......................................................41.204
Correction of statement on motion.................................41.120
Effect of statement...............................................41.204
Failure to file...................................................41.204
In case of motion to amend interference...........................41.208
May be amended if defective.......................................41.120
Reliance on prior application.....................................41.204
Requirement for...................................................41.204
Service on opposing parties.......................................41.204
When opened to inspection.........................................41.204
Proclamation as to protection of foreign mask works.............Part 150
Protests to grant of patent........................................1.291
Provisional patent applications:
Claiming the benefit of.............................................1.78

[[Page 257]]

Converting a nonprovisional to a provisional..................1.53(c)(2)
Converting a provisional to a nonprovisional..................1.53(c)(3)
Filing date.........................................................1.53
Filing fee.......................................................1.16(d)
General requisites...............................................1.51(c)
Later filing of filing fee and cover sheet.......................1.53(g)
Names of all inventors required............................1.41, 1.53(c)
No right of priority..........................................1.53(c)(4)
No examination...................................................1.53(i)
Papers concerning, must identify provisional applications as such, 
and by application number.........................................1.5(f)
Parts of complete provisional application........................1.51(c)
Processing fees..................................................1.17(i)
Revival of.........................................................1.137
When abandoned...................................................1.53(i)
Public information..............................................Part 102
Fee..............................................................1.17(j)
Publication:
Of reexamination certificate..........................1.570(f), 1.997(f)
Publication of application.........................................1.211
Early publication..................................................1.219
Express abandonment to avoid publication........................1.138(c)
Fee.................................................................1.18
Nonpublication request.............................................1.213
Publication of redacted copy.......................................1.217
Republication......................................................1.221
Voluntary publication..............................................1.221
Published application
Access to.....................................................1.11, 1.14
Certified copies....................................................1.13
Contents...........................................................1.215
Definition of published application...............................1.9(c)
Records of, open to public....................................1.11, 1.12
Republication of...................................................1.221
Third party submission in..........................................1.290

                                 R

RCE (Request for continued examination)............................1.114
Reasons for allowance...........................................1.104(e)
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
Redacted publication of application................................1.217
Reexamination:
Amendments, manner of making....................................1.121(c)
Announcement in Official Gazette.................................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..............................................90.1-90.3
Civil action under 35 U.S.C. 145...............................90.1-90.3
Concurrent with interference, reissue, other reexamination, 
litigation or office proceedings(s)................................1.565
Conduct of.........................................................1.550

[[Page 258]]

Duty of disclosure in..............................................1.555
Examiner's determination to grant or refuse request for............1.515
Extensions of time..............................................1.550(c)
Fees.............................................................1.20(c)
Initiated by the Director..........................................1.520
Interviews in......................................................1.560
Issuance of certificate at conclusion of...........................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 charged to deposit account......................................1.25
Identification in letter..........................................1.5(d)
Inter partes proceedings.......................................1.902-907
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.................90.1-90.3
Concurrent with interference, reissue, other reexamination, 
litigation or office proceedings(s).........................1.565, 1.985
Conduct of.........................................................1.937
Duty of disclosure in.......................................1.555, 1.933
Examiner's determination to grant or refuse request for......1.923-1.927
Extensions of time.................................................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 termination examination.................................1.137
Reference characters in drawings...........................1.74, 1.84(p)
References cited on examination.................................1.104(d)
Refund of international application filing and processing fees.....1.446
Refund of money paid by mistake.....................................1.26
Register of Government interest in patents..........................3.58
Rehearing:
Of appeal decisions by Patent Trial and Appeal Board...............41.52
Request for, time for appeal after action on........................90.3
Reissues:
Amendments.........................................................1.173
Applicants, assignees..............................................1.172

[[Page 259]]

Application for reissue............................................1.171
Application made and sworn to by inventor, if living...............1.172
Declaration........................................................1.175
Drawings........................................1.173(a)(2), 1.173(b)(3)
Examination of reissue.............................................1.176
Filed during interference.................................41.202, 41.203
Filing during reexamination.................................1.565, 1.985
Filing fee..........................................................1.16
Filing of announced in Official Gazette..........................1.11(b)
Grounds for and requirements....................1.171-1.173, 1.175-1.178
Issue fee........................................................1.18(a)
Oath...............................................................1.175
Open to public......................................................1.11
Original claims subject to reexamination...........................1.176
Original patent surrendered........................................1.178
Reissue in divisions...............................................1.177
Restriction........................................................1.176
Specification......................................................1.173
Take precedence in order of examination............................1.176
To contain no new matter........................................1.173(a)
What must accompany application.............................1.171, 1.172
Rejection:
After two rejections appeal may be taken from examiner to Board of 
Appeals.....................................................1.191, 41.31
Applicant will be notified of rejection with reasons and 
references...................................................1.104(a)(2)
Examiner may rely on admissions by applicant or patent owner, or 
facts within examiner's knowledge............................1.104(c)(3)
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(c)
Requisites of notice of............................................1.104
Reply brief........................................................41.41
Reply by applicant or patent owner.................................1.111
Reply by requester..........................................1.535, 1.947
Representative capacity..........................................1.34(a)
Request for continued examination(RCE).............................1.114
Request for reconsideration........................................1.112
Request for ex parte reexamination.................................1.510
Request for inter partes reexamination.......................1.913-1.927
Requirement for information........................................1.105
Response time to Office action.....................................1.134
Restriction of application...................................1.141-1.146
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
Reissue............................................................1.176
Requirement for....................................................1.142
Subsequent presentation of claims for different invention..........1.145
Transitional procedures............................................1.129
Return of correspondence..........................................1.5(a)
Revival of abandoned application or terminated or limited 
reexamination proceeding...........................................1.137
Unintentional abandonment fee....................................1.17(m)
Revocation of power of attorney or authorization of agent........1.36(a)

[[Page 260]]

Rules of Practice:
                                 S

Saturday, when last day falls on.............................1.7, 1.9(h)
Scope of reexamination proceedings..........................1.552, 1.906
Secrecy order....................................................5.1-5.5
Serial number of application (see also Application Number)....1.5, 1.53, 
                                                                 1.54(b)
Service of notices:
For taking testimony..............................................41.157
In contested cases................................................41.101
Of appeal to the Court of Appeals for the Federal Circuit......90.1-90.3
Service of papers..................................................1.248
Shortened period for reply.........................................1.134
Signature:
Handwritten....................................................1.4(d)(1)
Implicit certifications....................................1.4(d), 11.18
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
S-Signature....................................................1.4(d)(2)
Small business concern:
Definition (for small entity purposes)........................1.27(a)(2)
Small entity:
Definition.......................................................1.27(a)
Federal Government Use License Exceptions.....................1.27(a)(4)
Status establishment..........................................1.27, 1.28
Status update..............................................1.27(g), 1.28
Written assertion................................................1.27(c)
Solicitor's address............................................1.1(a)(3)
Species of invention claimed................................1.141, 1.146
Specification (see also Application for patent, Claims):
Abstract............................................................1.72
Amendments to...............................................1.121, 1.125
Arrangement of........................................1.77, 1.154, 1.163
Best mode...........................................................1.71
Claim...............................................................1.75
Contents of....................................................1.71-1.75
Copyright notice.................................................1.71(d)
Cross-references to other applications..............................1.78
Description of the invention........................................1.71
Filed by reference...............................................1.57(a)
If defective, reissue to correct.............................1.171-1.178
Incorporation by reference of prior filed application............1.57(b)
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(b)(6)
Part of complete application........................................1.51

[[Page 261]]

Reference to drawings...............................................1.74
Requirements of................................................1.71-1.75
Substitute.........................................................1.125
Summary of the invention............................................1.73
Title of the invention...........................................1.72(a)
To be rewritten, if necessary......................................1.125
Specimens. (See Models and exhibits)
Specimens of composition of matter to be furnished when required 
                                                                    1.93
Specimens of plants................................................1.166
Statutory disclaimer fee.........................................1.20(d)
Sufficient funds in deposit account.................................1.25
Suit in equity. (See Civil action)
Summary of invention................................................1.73
Sunday, when last day falls on...............................1.7. 1.9(h)
Supervisory authority, petition to Director to exercise............1.181
Supplemental oath/declaration.......................................1.67
Supplemental Examination of Patents:
Conclusion of......................................................1.625
Conduct of.........................................................1.620
Content of request.................................................1.610
Filing of papers in supplemental examination.......................1.601
Format of papers filed.............................................1.615
Procedure after conclusion.........................................1.625
Publication of certificate.........................................1.625
Surcharge for completion of nonprovisional application after 
filing date.............................................1.16(f), 1.53(f)
Suspension of action by Office.....................................1.103
CPA, Design.....................................................1.103(b)
Deferral of examination.........................................1.103(d)
For cause.......................................................1.103(a)
RCE.............................................................1.103(c)
Suspension of ex parte prosecution during interference............41.103
Suspension of rules................................................1.183
Symbols for drawings.............................................1.84(n)
Symbols for nucleotide and/or amino acid sequence data.............1.822

                                 T

Tables in patent applications.......................................1.58
Technological Invention...........................................42.301
Terminal disclaimer................................................1.321
Testimony by Office employees.........................15 C.F.R. Part 15a
Testimony in interferences:
Additional time for taking..........................................41.4
Assignment of times for taking....................................41.157
Certification and filing by officer...............................41.157
Copies of.........................................................41.157
Depositions must be filed.........................................41.157
Discovery.........................................................41.150
Effect of errors and irregularities in deposition.........41.155, 41.157
Evidence must comply with rules...................................41.152
Examination of witnesses..........................................41.157
Form of deposition................................................41.157
Formal objections to......................................41.155, 41.157
Formalities in preparing depositions..............................41.157
In foreign countries......................................41.156, 41.157
Manner of taking testimony of witnesses...........................41.157
Notice of examination of witnesses................................41.157

[[Page 262]]

Objections noted in depositions...........................41.155, 41.157
Objections to formal matters..............................41.155, 41.157
Officer's certificate.............................................41.157
Persons before whom depositions may be taken......................41.157
Service of notice.................................................41.157
Stipulations or agreements concerning.............................41.157
Taken by depositions..............................................41.157
Time for taking...................................................41.157
Third-party submission in published application....................1.290
Time expiring on Saturday, Sunday, or holiday................1.7, 1.9(h)
Time for payment of issue fee......................................1.311
Time for reply by applicant.................................1.134, 1.136
Time for reply by patent owner..............................1.530, 1.945
Time for reply by requester.................................1.535, 1.947
Time for reply to Office action.............................1.134, 1.136
Time, periods of.....................................................1.7
Timely filing of correspondence................................1.8, 1.10
Title of invention...............................................1.72(a)
Title reports, fee for........................................1.19(b)(4)
Transitional procedures............................................1.129

                                 U

Unintentional abandonment..........................................1.137
Unintentional delay in reexamination.....................1.550(e), 1.958
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
Unlocatable files..................................................1.251
Unsigned continuation or divisional application...............1.53, 1.63
Use of file of parent application................................1.53(d)

                                 V

Voluntary publication of application...............................1.221

                                 W

Waiver of confidentiality.....................................1.53(d)(6)
Withdrawal from issue..............................................1.313
Withdrawal of attorney or agent.....................................1.36

[[Page 263]]









PART 1_RULES OF PRACTICE IN PATENT CASES--Table of Contents



    Editorial Note: Part 1 is placed in the separate grouping of parts 
pertaining to patents regulations.



TRADEMARKS--Table of Contents





PART 2_RULES OF PRACTICE IN TRADEMARK CASES--Table of Contents



Sec.
2.1 [Reserved]
2.2 Definitions.
2.6 Trademark fees.
2.7 Fastener recordal fees.

         Representation by Attorneys or Other Authorized Persons

2.11 Requirement for representation.
2.12-2.16 [Reserved]
2.17 Recognition for representation.
2.18 Correspondence, with whom held.
2.19 Revocation or withdrawal of attorney.

                              Declarations

2.20 Declarations in lieu of oaths.

                      Application for Registration

2.21 Requirements for receiving a filing date.
2.22 Requirements for a TEAS Plus application.
2.23 Requirement to correspond electronically with the Office and duty 
          to monitor status.
2.24 Designation and revocation of domestic representative by foreign 
          applicant.
2.25 Documents not returnable.
2.27 Pending trademark application index; access to applications.

                         The Written Application

2.31 [Reserved]
2.32 Requirements for a complete trademark or service mark application.
2.33 Verified statement for a trademark or service mark.
2.34 Bases for filing a trademark or service mark application.
2.35 Adding, deleting, or substituting bases.
2.36 Identification of prior registrations.
2.37 Description of mark.
2.38 Use by predecessor or by related companies.
2.39 [Reserved]
2.41 Proof of distinctiveness under section 2(f).
2.42 Concurrent use.
2.43 Service mark.
2.44 Requirements for a complete collective mark application.
2.45 Requirements for a complete certification mark application; 
          restriction on certification mark application.
2.46 Principal Register.
2.47 Supplemental Register.
2.48 Office does not issue duplicate registrations.

                                 Drawing

2.51 Drawing required.
2.52 Types of drawings and format for drawings.
2.53 Requirements for drawings filed through the TEAS.
2.54 Requirements for drawings submitted on paper.

                                Specimens

2.56 Specimens.
2.57-2.58 [Reserved]
2.59 Filing substitute specimen(s).

           Examination of Application and Action by Applicants

2.61 Action by examiner.
2.62 Procedure for submitting response.
2.63 Action after response.
2.64 Reinstatement of applications and registrations abandoned, 
          cancelled, or expired due to Office error.
2.65 Abandonment.
2.66 Revival of applications abandoned in full or in part due to 
          unintentional delay.
2.67 Suspension of action by the Patent and Trademark Office.
2.68 Express abandonment (withdrawal) of application.
2.69 Compliance with other laws.

                        Amendment of Application

2.71 Amendments to correct informalities.
2.72 Amendments to description or drawing of the mark.
2.73 Amendment to recite concurrent use.
2.74 Form and signature of amendment.
2.75 Amendment to change application to different register.
2.76 Amendment to allege use.
2.77 Amendments between notice of allowance and statement of use.

                    Publication and Post Publication

2.80 Publication for opposition.
2.81 Post publication.
2.82 Marks on Supplemental Register published only upon registration.
2.83 Conflicting marks.

[[Page 264]]

2.84 Jurisdiction over published applications.

                             Classification

2.85 Classification schedules.
2.86 Multiple-class applications.
2.87 Dividing an application.

                        Post Notice of Allowance

2.88 Statement of use after notice of allowance.
2.89 Extensions of time for filing a statement of use.

                       Concurrent use proceedings

2.91-2.98 [Reserved]
2.99 Application to register as concurrent user.

                               Opposition

2.101 Filing an opposition.
2.102 Extension of time for filing an opposition.
2.103 [Reserved]
2.104 Contents of opposition.
2.105 Notification to parties of opposition proceeding(s).
2.106 Answer.
2.107 Amendment of pleadings in an opposition proceeding.

                              Cancellation

2.111 Filing petition for cancellation.
2.112 Contents of petition for cancellation.
2.113 Notification of cancellation proceeding.
2.114 Answer.
2.115 Amendment of pleadings in a cancellation proceeding.

                  Procedure in Inter Partes Proceedings

2.116 Federal Rules of Civil Procedure.
2.117 Suspension of proceedings.
2.118 Undelivered Office notices.
2.119 Service and signing.
2.120 Discovery.
2.121 Assignment of times for taking testimony and presenting evidence.
2.122 Matters in evidence.
2.123 Trial testimony in inter partes cases.
2.124 Depositions upon written questions.
2.125 Filing and service of testimony.
2.126 Form of submissions to the Trademark Trial and Appeal Board.
2.127 Motions.
2.128 Briefs at final hearing.
2.129 Oral argument; reconsideration.
2.130 New matter suggested by the trademark examining attorney.
2.131 Remand after decision in inter partes proceeding.
2.132 Involuntary dismissal for failure to take testimony.
2.133 Amendment of application or registration during proceedings.
2.134 Surrender or voluntary cancellation of registration.
2.135 Abandonment of application or mark.
2.136 Status of application or registration on termination of 
          proceeding.

                                 Appeals

2.141 Ex parte appeals from action of trademark examining attorney.
2.142 Time and manner of ex parte appeals.
2.143 [Reserved]
2.144 Reconsideration of decision on ex parte appeal.
2.145 Appeal to court and civil action.

                  Petitions and Action by the Director

2.146 Petitions to the Director.
2.147 Petition to the Director to accept a paper submission.
2.148 Director may suspend certain rules.
2.149 Letters of protest against pending applications.

                               Certificate

2.151 Certificate.

             Publication of Marks Registered Under 1905 Act

2.153 Publication requirements.
2.154 Publication inOfficial Gazette.
2.155 Notice of publication.
2.156 Not subject to opposition; subject to cancellation.

           Reregistration of Marks Registered Under Prior Acts

2.158 Reregistration of marks registered under Acts of 1881, 1905, and 
          1920.

 Cancellation for Failure To File Affidavit or Declaration During Sixth 
                                  Year

2.160 Affidavit or declaration of continued use or excusable nonuse 
          required to avoid cancellation of registration.
2.161 Requirements for a complete affidavit or declaration of use in 
          commerce or excusable nonuse; requirement for the submission 
          of additional information, exhibits, affidavits or 
          declarations, and specimens; and fee for deletions of goods, 
          services, and/or classes from a registration.
2.162 Notice to registrant.
2.163 Acknowledgment of receipt of affidavit or declaration.
2.164 Correcting deficiencies in affidavit or declaration.
2.165 Petition to Director to review refusal.
2.166 Affidavit of continued use or excusable nonuse combined with 
          renewal application.

                Affidavit or Declaration Under Section 15

2.167 Affidavit or declaration under section 15.

[[Page 265]]

2.168 Affidavit or declaration under section 15 combined with affidavit 
          or declaration under sections 8 or 71, or with renewal 
          application.

                 Correction, Disclaimer, Surrender, Etc.

2.171 New certificate on change of ownership.
2.172 Surrender for cancellation.
2.173 Amendment of registration.
2.174 Correction of Office mistake.
2.175 Correction of mistake by owner.
2.176 Consideration of above matters.

                            Term and Renewal

2.181 Term of original registrations and renewals.
2.182 Time for filing renewal application.
2.183 Requirements for a complete renewal application.
2.184 Refusal of renewal.
2.185 Correcting deficiencies in renewal application.
2.186 Petition to Director to review refusal of renewal.
2.187 [Reserved]

        General Information and Correspondence in Trademark Cases

2.188 [Reserved]
2.189 Requirement to provide domicile address.
2.190 Addresses for trademark correspondence with the United States 
          Patent and Trademark Office.
2.191 Action of the Office based on the written record.
2.192 Business to be conducted with decorum and courtesy.
2.193 Trademark correspondence and signature requirements.
2.194 Identification of trademark application or registration.
2.195 Filing date of trademark correspondence.
2.196 Times for taking action: Expiration on Saturday, Sunday or Federal 
          holiday.
2.197 Certificate of mailing.
2.198 Filing of correspondence by Priority Mail Express[supreg].

     Trademark Records and Files of the Patent and Trademark Office

2.200 Assignment records open to public inspection.
2.201 Copies and certified copies.

              Fees and Payment of Money in Trademark Cases

2.206 Trademark fees payable in advance.
2.207 Methods of payment.
2.208 Deposit accounts.
2.209 Refunds.

    Authority: 15 U.S.C. 1113, 1123; 35 U.S.C. 2; sec. 10, Pub. L. 112-
29, 125 Stat. 284, unless otherwise noted. Sec. 2.99 also issued under 
secs. 16, 17, 60 Stat. 434; 15 U.S.C. 1066, 1067.

    Source: 30 FR 13193, Oct. 16, 1965, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 2 appear at 68 FR 
14337, Mar. 25, 2003.



Sec.2.1  [Reserved]



Sec.2.2  Definitions.

    (a) The Act as used in this part means the Trademark Act of 1946, 60 
Stat. 427, as amended, codified in 15 U.S.C. 1051 et seq.
    (b) Entity as used in this part includes both natural and juristic 
persons.
    (c) Director as used in this chapter, except for part 11, means the 
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
    (d) Federal holiday within the District of Columbia means any day, 
except Saturdays and Sundays, when the United States Patent and 
Trademark Office is officially closed for business for the entire day.
    (e) The term Office or abbreviation USPTO means the United States 
Patent and Trademark Office.
    (f) The acronym TEAS means the Trademark Electronic Application 
System and, as used in this part, includes all related electronic 
systems required to complete an electronic submission through TEAS.
    (g) The acronym ESTTA means the Electronic System for Trademark 
Trials and Appeals and, as used in this part, includes all related 
electronic systems required to complete an electronic submission through 
ESTTA.
    (h) The term international application as used in this part means, 
in addition to the definition in section 60 of the Act, an application 
seeking an extension of protection of an international registration in 
an initial designation filed under the Protocol Relating to the Madrid 
Agreement Concerning the International Registration of Marks.
    (i) The term subsequent designation as used in this part means a 
request for extension of protection of an international registration 
made after the International Bureau registers the mark on the 
International Register.

[[Page 266]]

    (j) The term holder as used in this part means, in addition to the 
definition of a ``holder of an international registration'' in section 
60 of the Act, the natural or juristic person in whose name an 
international registration seeking an extension of protection to the 
United States is recorded on the International Register.
    (k) The term use in commerce or use of the mark in commerce as used 
in this part means, in addition to the definition of ``use in commerce'' 
in section 45 of the Act:
    (1) For a trademark or service mark, use of the mark in commerce by 
an applicant, owner, or holder on or in connection with the goods or 
services specified in a U.S. application, amendment to allege use, 
statement of use, or affidavit or declaration of use or excusable 
nonuse;
    (2) For a collective trademark or collective service mark, use of 
the mark in commerce by members on or in connection with the goods or 
services specified in a U.S. application, amendment to allege use, 
statement of use, or affidavit or declaration of use or excusable 
nonuse;
    (3) For a collective membership mark, use of the mark in commerce by 
members to indicate membership in the collective organization as 
specified in a U.S. application, amendment to allege use, statement of 
use, or affidavit or declaration of use or excusable nonuse; and
    (4) For a certification mark, use of the mark in commerce by 
authorized users on or in connection with the goods or services 
specified in a U.S. application, amendment to allege use, statement of 
use, or affidavit or declaration of use or excusable nonuse.
    (l) The term bona fide intention to use the mark in commerce as used 
in this part means, for a trademark or service mark, that an applicant 
or holder has a bona fide intention to use the mark in commerce on or in 
connection with the goods or services specified in a U.S. application or 
international application/subsequent designation.
    (m) The term bona fide intention, and is entitled, to exercise 
legitimate control over the use of the mark in commerce as used in this 
part means:
    (1) For a collective trademark or collective service mark, that an 
applicant or holder has a bona fide intention, and is entitled, to 
exercise legitimate control over the use of the mark in commerce by 
members on or in connection with the goods or services specified in a 
U.S. application or international application/subsequent designation;
    (2) For a collective membership mark, that an applicant or holder 
has a bona fide intention, and is entitled, to exercise legitimate 
control over the use of the mark in commerce by members to indicate 
membership in the collective organization as specified in a U.S. 
application or international application/subsequent designation; and
    (3) For a certification mark, that an applicant or holder has a bona 
fide intention, and is entitled, to exercise legitimate control over the 
use of the mark in commerce by authorized users on or in connection with 
the goods or services specified in a U.S. application or international 
application/subsequent designation.
    (n) The term verified statement, and the terms verify, verified, or 
verification as used in this part refers to a statement that is sworn 
to, made under oath or in an affidavit, or supported by a declaration 
under Sec.2.20 or 28 U.S.C. 1746, and signed in accordance with the 
requirements of Sec.2.193.
    (o) The term domicile as used in this part means the permanent legal 
place of residence of a natural person or the principal place of 
business of a juristic entity.
    (p) The term principal place of business as used in this part means 
the location of a juristic entity's headquarters where the entity's 
senior executives or officers ordinarily direct and control the entity's 
activities and is usually the center from where other locations are 
controlled.
    (q) The acronym ETAS means the Electronic Trademark Assignment 
System and, as used in this part, includes all related electronic 
systems required to complete an electronic submission through ETAS.
    (r) Eastern Time means Eastern Standard Time or Eastern Daylight 
Time, as appropriate.

[[Page 267]]

    (s) The term electronic submission as used in this part refers to 
any submission made through an electronic filing system available on the 
Office's website, but not through email or facsimile transmission.
    (t) The abbreviation USPS as used in this part means the U.S. Postal 
Service.

[54 FR 37588, Sept. 11, 1989, as amended at 68 FR 48289, Aug. 13, 2003; 
68 FR 55762, Sept. 26, 2003; 73 FR 47685, Aug. 14, 2008; 78 FR 20197, 
Apr. 3, 2013; 80 FR 33178, June 11, 2015; 84 FR 31510, July 2, 2019; 84 
FR 37093, July 31, 2019]



Sec.2.6  Trademark fees.

    (a) Trademark process fees.
(1) Application filing fees.
(i) For filing an application on paper, per class................$750.00
(ii) For filing an application under section 66(a) of the Act, per 
class--$500.00
(iii) For filing a TEAS Standard application, per class..........$350.00
(iv) For filing a TEAS Plus application under Sec.2.22, per class 
                                                                 $250.00
(v) Additional processing fee under Sec.2.22(c), per class.....$100.00
(2) Amendment to allege use. (i) For filing an amendment to allege use 
under section 1(c) of the Act on paper, per class................$200.00
(ii) For filing an amendment to allege use under section 1(c) of the Act 
through TEAS, per class..........................................$100.00
(3) Statement of use. (i) For filing a statement of use under section 
1(d)(1) of the Act on paper, per class...........................$200.00
(ii) For filing a statement of use under section 1(d)(1) of the Act 
through TEAS, per class..........................................$100.00
(4) Extension of time for filing statement of use. (i) For filing a 
request under section 1(d)(2) of the Act for a six-month extension of 
time for filing a statement of use under section 1(d)(1) of the Act on 
paper, per class.................................................$225.00
(ii) For filing a request under section 1(d)(2) of the Act for a six-
month extension of time for filing a statement of use under section 
1(d)(1) of the Act through TEAS, per class.......................$125.00
(5) Application for renewal of a registration fees. (i) For filing an 
application for renewal of a registration on paper, per class....$500.00
(ii) For filing an application for renewal of a registration through 
TEAS, per class..................................................$300.00
(6) Renewal during grace period. (i) Additional fee for filing a renewal 
application during the grace period on paper, per class..........$200.00
(ii) Additional fee for filing a renewal application during the grace 
period through TEAS, per class...................................$100.00
(7) Publishing mark under section 12(c). (i) For filing to publish a 
mark under section 12(c) on paper, per class.....................$200.00
(ii) For filing to publish a mark under section 12(c) through TEAS, per 
class............................................................$100.00
(8) New certificate of registration. (i) For issuing a new certificate 
of registration upon request of registrant, request filed on paper 
                                                                 $200.00
(ii) For issuing a new certificate of registration upon request of 
registrant, request filed through TEAS...........................$100.00
(9) Certificate of correction of registrant's error. (i) For a 
certificate of correction of registrant's error, request filed on paper 
                                                                 $200.00
(ii) For a certificate of correction of registrant's error, request 
filed through TEAS...............................................$100.00
(10) Disclaimer to a registration. (i) For filing a disclaimer to a 
registration, on paper...........................................$200.00
(ii) For filing a disclaimer to a registration, through TEAS or ESTTA 
                                                                 $100.00
(11) Amendment of registration. (i) For filing an amendment to a 
registration, on paper...........................................$200.00
(ii) For filing an amendment to a registration, through TEAS or ESTTA 
                                                                 $100.00
(iii) For filing an amendment to a registration prior to submission of 
an affidavit under section 8 or section 71 of the Act and consisting 
only of the deletion of goods, services, and/or classes............$0.00
(12) Affidavit under section 8. (i) For filing an affidavit under 
section 8 of the Act on paper, per class.........................$325.00
(ii) For filing an affidavit under section 8 of the Act through TEAS, 
per class........................................................$225.00
(iii) For deleting goods, services, and/or classes after submission and 
prior to acceptance of an affidavit under section 8 of the Act on paper, 
per class........................................................$350.00
(iv) For deleting goods, services, and/or classes after submission and 
prior to acceptance of an affidavit under section 8 of the Act through 
TEAS, per class..................................................$250.00
(13) Affidavit under section 15. (i) For filing an affidavit under 
section 15 of the Act on paper, per class........................$300.00
(ii) For filing an affidavit under section 15 of the Act through TEAS,

[[Page 268]]

per class........................................................$200.00
(14) Filing section 8 affidavit during grace period. (i) Additional fee 
for filing a section 8 affidavit during the grace period on paper, per 
class............................................................$200.00
(ii) Additional fee for filing a section 8 affidavit during the grace 
period through TEAS, per class...................................$100.00
(15) Petitions to the Director. (i) For filing a petition under Sec.
2.146 or Sec.2.147 on paper....................................$350.00
(ii) For filing a petition under Sec.2.146 or Sec.2.147 through TEAS
                                                                 $250.00
(iii) For filing a petition under Sec.2.66 on paper............$250.00
(iv) For filing a petition under Sec.2.66 through TEAS.........$150.00
(16) Petition to cancel. (i) For filing a petition to cancel on paper, 
per class........................................................$700.00
(ii) For filing a petition to cancel through ESTTA, per class....$600.00
(17) Notice of opposition. (i) For filing a notice of opposition on 
paper, per class.................................................$700.00
(ii) For filing a notice of opposition through ESTTA, per class 
                                                                 $600.00
(18) Ex parte appeal. (i) For filing an ex parte appeal to the Trademark 
Trial and Appeal Board on paper, per class.......................$325.00
(ii) For filing an ex parte appeal to the Trademark Trial and Appeal 
Board through ESTTA, per class...................................$225.00
(iii) For filing a first request for an extension of time to file an 
    appeal brief, per application.....................................--
                                                                   $0.00
(iv) For filing a second or subsequent request for an extension of time 
to file an appeal brief on paper, per application................$200.00
(v) For filing a second or subsequent request for an extension of time 
to file an appeal brief through ESTTA, per application...........$100.00
(vi) For filing an appeal brief on paper, per class..............$300.00
(vii) For filing an appeal brief through ESTTA, per class........$200.00
(19) Dividing an application. (i) Request to divide an application filed 
on paper, per new application created............................$200.00
(ii) Request to divide an application filed through TEAS, per new 
application created..............................................$100.00
(20) Correcting deficiency in section 8 affidavit. (i) For correcting a 
deficiency in a section 8 affidavit via paper filing.............$200.00
(ii) For correcting a deficiency in a section 8 affidavit via TEAS 
filing...........................................................$100.00
(21) Correcting deficiency in renewal application. (i) For correcting a 
deficiency in a renewal application via paper filing.............$200.00
(ii) For correcting a deficiency in a renewal application via TEAS 
filing...........................................................$100.00
(22) Extension of time for filing a notice of opposition under Sec.
2.102(c)(1)(ii) or (c)(2). (i) For filing a request for an extension of 
time to file a notice of opposition under Sec.2.102(c)(1)(ii) or 
(c)(2) on paper..................................................$400.00
(ii) For filing a request for an extension of time to file a notice of 
opposition under Sec.2.102(c)(1)(ii) or (c)(2) through ESTTA...$200.00
(23) Extension of time for filing a notice of opposition under Sec.
2.102(c)(3). (i) For filing a request for an extension of time to file a 
notice of opposition under Sec.2.102(c)(3) on paper............$500.00
(ii) For filing a request for an extension of time to file a notice of 
opposition under Sec.2.102(c)(3) through ESTTA.................$400.00
(24) Oral hearing. For filing a request for an oral hearing before the 
Trademark Trial and Appeal Board, per proceeding.................$500.00
(25) Letter of protest. For filing a letter of protest, per subject 
application.......................................................$50.00

    (b) Trademark service fees.

(1) For printed copy of registered mark, copy only. Service includes 
preparation of copies by the Office within two to three business days 
and delivery by United States Postal Service; and preparation of copies 
by the Office within one business day of receipt and delivery to an 
Office Box or by electronic means (e.g., facsimile, electronic mail) 
                                                                   $3.00
(2) Certified or uncertified copy of trademark application as filed 
processed within seven calendar days..............................$15.00
(3) Certified or uncertified copy of a trademark-related official record
                                                                  $50.00

(4) Certified copy of a registered mark, showing title and/or status:

(i) Regular service...............................................$15.00
(ii) Expedited local service......................................$30.00
(5) Certified or uncertified copy of trademark records, per document 
except as otherwise provided in this section......................$25.00
(6) For recording each trademark assignment, agreement or other document 
relating to the property in a registration or application
(i) First property in a document..................................$40.00
(ii) For each additional property in

[[Page 269]]

the same document.................................................$25.00
(7) For assignment records, abstract of title and certification, per 
registration......................................................$25.00
(8) Additional Fee for Overnight Delivery.........................$40.00
(9) Additional Fee for Expedited Service.........................$160.00
(10) For processing each payment refused (including a check returned 
``unpaid'') or charged back by a financial institution............$50.00
(11) Deposit account service charge for each month when the balance at 
the end of the month is below $1,000..............................$25.00

[81 FR 72706, Oct. 21, 2016, as amended at 84 FR 37093, July 31, 2019; 
85 FR 73215, Nov. 17, 2020; 85 FR 81123, Dec. 15, 2020]



Sec.2.7  Fastener recordal fees.

(a) Application fee for recordal of insignia......................$20.00
(b) Renewal of insignia recordal..................................$20.00
(c) Surcharge for late renewal of insignia recordal...............$20.00

[61 FR 55223, Oct. 25, 1996]

         Representation by Attorneys or Other Authorized Persons

    Authority: Secs. 2.11 to 2.19 also issued under 35 U.S.C. 31, 32.



Sec.2.11  Requirement for representation.

    (a) An applicant, registrant, or party to a proceeding whose 
domicile is not located within the United States or its territories must 
be represented by an attorney, as defined in Sec.11.1 of this chapter, 
who is qualified to practice under Sec.11.14 of this chapter. The 
Office cannot aid in the selection of an attorney.
    (b) The Office may require an applicant, registrant, or party to a 
proceeding to furnish such information or declarations as may be 
reasonably necessary to the proper determination of whether the 
applicant, registrant, or party is subject to the requirement in 
paragraph (a) of this section.
    (c) An applicant, registrant, or party to a proceeding may be 
required to state whether assistance within the scope of Sec.
11.5(b)(2) of this chapter was received in a trademark matter before the 
Office and, if so, to disclose the name(s) of the person(s) providing 
such assistance and whether any compensation was given or charged.
    (d) Failure to respond to requirements issued pursuant to paragraphs 
(a) through (c) of this section is governed by Sec.2.65.
    (e) Providing false, fictitious, or fraudulent information in 
connection with the requirements of paragraphs (a) through (c) of this 
section shall be deemed submitting a paper for an improper purpose, in 
violation of Sec.11.18(b) of this chapter, and subject to the 
sanctions and actions provided in Sec.11.18(c).
    (f) Notwithstanding Sec.2.63(b)(2)(ii), if an Office action 
maintains only requirements under paragraphs (a), (b), and/or (c) of 
this section, or only requirements under paragraphs (a), (b), and/or (c) 
of this section and the requirement for a processing fee under Sec.
2.22(c), the requirements may be reviewed only by filing a petition to 
the Director under Sec.2.146.

[84 FR 31510, July 2, 2019]



Sec. Sec.2.12-2.16  [Reserved]



Sec.2.17  Recognition for representation.

    (a) Authority to practice in trademark cases. Only an individual 
qualified to practice under Sec.11.14 of this chapter may represent an 
applicant, registrant, or party to a proceeding before the Office in a 
trademark case.
    (b)(1) Recognition of practitioner as representative. To be 
recognized as a representative in a trademark case, a practitioner 
qualified under Sec.11.14 of this chapter may:
    (i) File a power of attorney that meets the requirements of 
paragraph (c) of this section;
    (ii) Sign a document on behalf of an applicant, registrant, or party 
to a proceeding who is not already represented by a practitioner 
qualified under Sec.11.14 of this chapter from a different firm; or
    (iii) Appear by being identified as the representative in a document 
submitted to the Office on behalf of an applicant, registrant, or party 
to a proceeding who is not already represented by a practitioner 
qualified under Sec.11.14 of this chapter from a different firm.
    (2) Authorization to represent. When a practitioner qualified under 
Sec.11.14 of this chapter signs a document or appears pursuant to 
paragraph (b) of this

[[Page 270]]

section, his or her signature or appearance shall constitute a 
representation to the Office that he or she is authorized to represent 
the person or entity on whose behalf he or she acts. The Office may 
require further proof of authority to act in a representative capacity.
    (3) Bar information required. A practitioner qualified under Sec.
11.14(a) of this chapter will be required to provide the name of a 
State, as defined in Sec.11.1 of this chapter, in which he or she is 
an active member in good standing, the date of admission to the bar of 
the named State, and the bar license number, if one is issued by the 
named State. The practitioner may be required to provide evidence that 
he or she is an active member in good standing of the bar of the 
specified State.
    (c) Requirements for power of attorney. A power of attorney must:
    (1) Designate by name at least one practitioner meeting the 
requirements of Sec.11.14 of this chapter; and
    (2) Be signed by the individual applicant, registrant, or party to a 
proceeding pending before the Office, or by someone with legal authority 
to bind the applicant, registrant, or party (e.g., a corporate officer 
or general partner of a partnership). In the case of joint applicants or 
joint registrants, all must sign. Once the applicant, registrant, or 
party has designated a practitioner(s) qualified to practice under Sec.
11.14 of this chapter, that practitioner may sign an associate power of 
attorney appointing another qualified practitioner(s) as an additional 
person(s) authorized to represent the applicant, registrant, or party. 
If the applicant, registrant, or party revokes the original power of 
attorney (Sec.2.19(a)), the revocation discharges any associate power 
signed by the practitioner whose power has been revoked. If the 
practitioner who signed an associate power withdraws (Sec.2.19(b)), 
the withdrawal discharges any associate power signed by the withdrawing 
practitioner upon acceptance of the request for withdrawal by the 
Office.
    (d) Power of attorney relating to multiple applications or 
registrations. The owner of an application or registration may appoint a 
practitioner(s) qualified to practice under Sec.11.14 of this chapter 
to represent the owner for all existing applications or registrations 
that have the identical owner name.
    (e) Foreign attorneys and agents. Recognition to practice before the 
Office in trademark matters is governed by Sec.11.14(c) of this 
chapter.
    (f) Non-lawyers. A non-lawyer may not act as a representative except 
in the limited circumstances set forth in Sec.11.14(b) of this 
chapter. Before any non-lawyer who meets the requirements of Sec.
11.14(b) of this chapter may take action of any kind with respect to an 
application, registration or proceeding, a written authorization must be 
filed, signed by the applicant, registrant, or party to the proceeding, 
or by someone with legal authority to bind the applicant, registrant, or 
party (e.g., a corporate officer or general partner of a partnership).
    (g) Duration of recognition. (1) The Office considers recognition as 
to a pending application to end when the mark registers, when ownership 
changes, or when the application is abandoned.
    (2) The Office considers recognition obtained after registration to 
end when the mark is cancelled or expired, or when ownership changes. If 
a practitioner was recognized as the representative in connection with 
an affidavit under section 8, 12(c), 15, or 71 of the Act, renewal 
application under section 9 of the Act, or request for amendment or 
correction under section 7 of the Act, recognition is deemed to end upon 
acceptance or final rejection of the filing.

[84 FR 31510, July 2, 2019, as amended at 84 FR 37093, July 31, 2019]



Sec.2.18  Correspondence, with whom held.

    (a) Establishing the correspondent. The Office will send 
correspondence as follows:
    (1) If the applicant, registrant, or party to a proceeding is not 
represented by an attorney qualified to practice before the Office under 
Sec.11.14(a) of this chapter, the Office will send correspondence to 
the applicant, registrant, or party to the proceeding.
    (2) If an attorney is recognized as a representative pursuant to 
Sec.2.17(b)(1), the Office will correspond only with that attorney. A 
request to change the

[[Page 271]]

correspondence address does not revoke a power of attorney. Except for 
service of a cancellation petition, the Office will not correspond 
directly with the applicant, registrant, or a party to a proceeding, or 
with another attorney from a different firm, unless:
    (i) The applicant or registrant files a revocation of the power of 
attorney under Sec.2.19(a) and/or a new power of attorney that meets 
the requirements of Sec.2.17(c);
    (ii) The attorney has been suspended or excluded from practicing in 
trademark matters before the USPTO; or
    (iii) Recognition of the attorney has ended pursuant to Sec.
2.17(g).
    (b) Ex parte matters. Only one correspondence address may be 
designated in an ex parte matter.
    (c) Maintaining and changing the correspondence addresses. The 
applicant, registrant, or party to a proceeding must maintain current 
and accurate correspondence addresses, as required by Sec.2.23, for 
itself and its attorney, if one is designated. If any of these addresses 
change, a request to change the address, signed in accordance with Sec.
2.193(e)(9), must be promptly filed.
    (d) Post registration filings under sections 7, 8, 9, 12(c), 15, and 
71 of the Act. Even if there is no new power of attorney or written 
request to change the correspondence address, the Office will change the 
correspondence address upon the examination of an affidavit under 
section 8, 12(c), 15, or 71 of the Act, renewal application under 
section 9 of the Act, or request for amendment or correction under 
section 7 of the Act, if a new address is provided, in accordance with 
paragraph (a) of this section.

[84 FR 37093, July 31, 2019]



Sec.2.19  Revocation or withdrawal of attorney.

    (a) Revocation. (1) Authority to represent an applicant, registrant 
or party to a proceeding before the Office may be revoked at any stage 
in the proceedings of a trademark case, upon written notification signed 
by the applicant, registrant, or party to the proceeding, or by someone 
with legal authority to bind the applicant, registrant, or party (e.g., 
a corporate officer or general partner of a partnership). In the case of 
joint applicants or joint registrants, all must sign.
    (2) When a power of attorney is revoked, the Office will communicate 
directly with the applicant, registrant, or party to the proceeding, or 
with the new attorney or domestic representative if appropriate.
    (3) A request to change the correspondence address does not revoke a 
power of attorney.
    (4) A new power of attorney that meets the requirements of Sec.
2.17(c) will be treated as a revocation of the previous power.
    (b) Withdrawal of attorney. If the requirements of Sec.11.116 of 
this chapter are met, a practitioner authorized to represent an 
applicant, registrant, or party to a proceeding in a trademark case may 
withdraw upon application to and approval by the Director or, when 
applicable, upon motion granted by the Trademark Trial and Appeal Board. 
The practitioner should file the request to withdraw soon after the 
practitioner notifies the client of his/her intent to withdraw. The 
request must include the following:
    (1) The application serial number, registration number, or 
proceeding number;
    (2) A statement of the reason(s) for the request to withdraw; and
    (3) Either
    (i) A statement that the practitioner has given notice to the client 
that the practitioner is withdrawing from employment and will be filing 
the necessary documents with the Office; that the client was given 
notice of the withdrawal at least two months before the expiration of 
the response period, if applicable; that the practitioner has delivered 
to the client all documents and property in the practitioner's file 
concerning the application, registration or proceeding to which the 
client is entitled; and that the practitioner has notified the client of 
any responses that may be due, and of the deadline for response; or
    (ii) If more than one qualified practitioner is of record, a 
statement that representation by co-counsel is ongoing.

[74 FR 54907, Oct. 26, 2009, as amended at 80 FR 2310, Jan. 16, 2015]

[[Page 272]]

                              Declarations



Sec.2.20  Declarations in lieu of oaths.

    Instead of an oath, affidavit, or sworn statement, the language of 
28 U.S.C. 1746, or the following declaration language, may be used:

The signatory being warned that willful false statements and the like 
are punishable by fine or imprisonment, or both, under 18 U.S.C. 1001, 
and that such willful false statements and the like may jeopardize the 
validity of the application or submission or any registration resulting 
therefrom, declares that all statements made of his/her own knowledge 
are true and all statements made on information and belief are believed 
to be true.

[80 FR 33178, June 11, 2015]

                      Application for Registration

    Authority: Secs. 2.21 to 2.47 also issued under sec. 1, 60 Stat. 
427; 15 U.S.C. 1051.



Sec.2.21  Requirements for receiving a filing date.

    (a) The Office will grant a filing date to an application under 
section 1 or section 44 of the Act that is filed through TEAS, is 
written in the English language, and contains all of the following:
    (1) The name, address, and email address of each applicant;
    (2) If the applicant is represented by a practitioner qualified 
under Sec.11.14 of this chapter, the practitioner's name, postal 
address, and email address;
    (3) A clear drawing of the mark;
    (4) A listing of the goods or services; and
    (5) The filing fee required under Sec.2.6 for at least one class 
of goods or services.
    (b) If the applicant does not satisfy all the elements required in 
paragraph (a) of this section, the Office will deny a filing date to the 
application unless the applicant meets the requirements of paragraph (c) 
of this section.
    (c) If the applicant is a national of a country that has acceded to 
the Trademark Law Treaty, but not to the Singapore Treaty on the Law of 
Trademarks, the requirements of paragraph (a) of this section to file 
through TEAS and provide an email address do not apply.

[84 FR 37093, July 31, 2019, as amended at 84 FR 68046, Dec. 13, 2019]



Sec.2.22  Requirements for a TEAS Plus application.

    (a) A trademark/service mark application for registration on the 
Principal Register under section 1 and/or section 44 of the Act that 
meets the requirements for a filing date under Sec.2.21 will be 
entitled to a reduced filing fee under Sec.2.6(a)(1)(iv) if it 
includes:
    (1) The applicant's name and domicile address;
    (2) The applicant's legal entity;
    (3) The citizenship of each individual applicant, or the state or 
country of incorporation or organization of each juristic applicant;
    (4) If the applicant is a domestic partnership, the names and 
citizenship of the general partners, or if the applicant is a domestic 
joint venture, the names and citizenship of the active members of the 
joint venture;
    (5) If the applicant is a sole proprietorship, the state of 
organization of the sole proprietorship and the name and citizenship of 
the sole proprietor;
    (6) One or more bases for filing that satisfy all the requirements 
of Sec.2.34. If more than one basis is set forth, the applicant must 
comply with the requirements of Sec.2.34 for each asserted basis;
    (7) Correctly classified goods and/or services, with an 
identification of goods and/or services from the Office's Acceptable 
Identification of Goods and Services Manual, available through the TEAS 
Plus form. In an application based on section 44 of the Act, the scope 
of the goods and/or services covered by the section 44 basis may not 
exceed the scope of the goods and/or services in the foreign application 
or registration;
    (8) If the application contains goods and/or services in more than 
one class, compliance with Sec.2.86;
    (9) A filing fee for each class of goods and/or services, as 
required by Sec.2.6(a)(1)(iv);
    (10) A verified statement that meets the requirements of Sec.2.33, 
dated and signed by a person properly authorized

[[Page 273]]

to sign on behalf of the owner pursuant to Sec.2.193(e)(1);
    (11) If the applicant does not claim standard characters, the 
applicant must attach a digitized image of the mark. If the mark 
includes color, the drawing must show the mark in color;
    (12) If the mark is in standard characters, a mark comprised only of 
characters in the Office's standard character set, typed in the 
appropriate field of the TEAS Plus form;
    (13) If the mark includes color, a statement naming the color(s) and 
describing where the color(s) appears on the mark, and a claim that the 
color(s) is a feature of the mark;
    (14) If the mark is not in standard characters, a description of the 
mark;
    (15) If the mark includes non-English wording, an English 
translation of that wording;
    (16) If the mark includes non-Latin characters, a transliteration of 
those characters;
    (17) If the mark includes an individual's name or portrait, either 
(i) a statement that identifies the living individual whose name or 
likeness the mark comprises and written consent of the individual, or 
(ii) a statement that the name or portrait does not identify a living 
individual (see section 2(c) of the Act).
    (18) If the applicant owns one or more registrations for the same 
mark, and the owner(s) last listed in Office records of the prior 
registration(s) for the same mark differs from the owner(s) listed in 
the application, a claim of ownership of the registration(s) identified 
by the registration number(s), pursuant to Sec.2.36;
    (19) If the application is a concurrent use application, compliance 
with Sec.2.42; and
    (20) An applicant whose domicile is not located within the United 
States or its territories must designate an attorney as the applicant's 
representative, pursuant to Sec.2.11(a), and include the attorney's 
name, postal address, email address, and bar information.
    (b) In addition to the filing requirements under paragraph (a) of 
this section, the applicant must comply with Sec.2.23(a) and (b).
    (c) If an application does not fulfill the requirements of paragraph 
(a) of this section, the applicant must pay the processing fee required 
by Sec.2.6(a)(1)(v).
    (d) The following types of applications cannot be filed as TEAS Plus 
applications:
    (1) Applications for certification marks (see Sec.2.45);
    (2) Applications for collective trademarks and service marks (see 
Sec.2.44);
    (3) Applications for collective membership marks (see Sec.2.44); 
and
    (4) Applications for registration on the Supplemental Register (see 
Sec.2.47).

[84 FR 37093, July 31, 2019, as amended at 84 FR 68046, Dec. 13, 2019]



Sec.2.23  Requirement to correspond electronically with the Office 
and duty to monitor status.

    (a) Unless stated otherwise in this chapter, all trademark 
correspondence must be submitted through TEAS.
    (b) Applicants, registrants, and parties to a proceeding must 
provide and maintain a valid email address for correspondence.
    (c) If the applicant or registrant is a national of a country that 
has acceded to the Trademark Law Treaty, but not to the Singapore Treaty 
on the Law of Trademarks, the requirements of paragraphs (a) and (b) of 
this section do not apply.
    (d) Notices issued or actions taken by the USPTO are displayed in 
the USPTO's publicly available electronic systems. Applicants and 
registrants are responsible for monitoring the status of their 
applications and registrations in the USPTO's electronic systems during 
the following time periods:
    (1) At least every six months between the filing date of the 
application and issuance of a registration; and
    (2) After filing an affidavit of use or excusable nonuse under 
section 8 or section 71 of the Act, or a renewal application under 
section 9 of the Act, at least every six months until the registrant 
receives notice that the affidavit or renewal application has been 
accepted.

[84 FR 37094, July 31, 2019]

[[Page 274]]



Sec.2.24  Designation and revocation of domestic representative by 
foreign applicant.

    (a) An applicant or registrant that is not domiciled in the United 
States may designate a domestic representative (i.e., a person residing 
in the United States on whom notices or process in proceedings affecting 
the mark may be served).
    (b) The designation, or a request to change or revoke a designation, 
must set forth the name, email address, and postal address of the 
domestic representative and be signed pursuant to Sec.2.193(e)(8).
    (c) The mere designation of a domestic representative does not 
authorize the person designated to represent the applicant or 
registrant.

[84 FR 37094, July 31, 2019]



Sec.2.25  Documents not returnable.

    Except as provided in Sec.2.27(e), documents filed in the Office 
by the applicant or registrant become part of the official record and 
will not be returned or removed.

[73 FR 67768, Nov. 17, 2008]



Sec.2.27  Pending trademark application index; access to applications.

    (a) An index of pending applications including the name and address 
of the applicant, a reproduction or description of the mark, the goods 
or services with which the mark is used, the class number, the dates of 
use, and the serial number and filing date of the application will be 
available for public inspection as soon as practicable after filing.
    (b) Except as provided in paragraph (e) of this section, access to 
the file of a particular pending application will be permitted prior to 
publication under Sec.2.80 upon written request.
    (c) Decisions of the Director and the Trademark Trial and Appeal 
Board in applications and proceedings relating thereto are published or 
available for inspection or publication.
    (d) Except as provided in paragraph (e) of this section, the 
official records of applications and all proceedings relating thereto 
are available for public inspection and copies of the documents may be 
furnished upon payment of the fee required by Sec.2.6.
    (e) Anything ordered to be filed under seal pursuant to a protective 
order issued or made by any court or by the Trademark Trial and Appeal 
Board in any proceeding involving an application or a registration shall 
be kept confidential and shall not be made available for public 
inspection or copying unless otherwise ordered by the court or the 
Board, or unless the party protected by the order voluntarily discloses 
the matter subject thereto. When possible, only confidential portions of 
filings with the Board shall be filed under seal.

[36 FR 25406, Dec. 31, 1971, as amended at 48 FR 23134, May 23, 1983; 48 
FR 27225, June 14, 1983; 73 FR 67768, Nov. 17, 2008]

                         The Written Application



Sec.2.31  [Reserved]



Sec.2.32  Requirements for a complete trademark or service mark 
application.

    (a) The application must be in English and include the following:
    (1) A request for registration;
    (2) The name, domicile address, and email address of each applicant. 
If the applicant is a national of a country that has acceded to the 
Trademark Law Treaty, but not to the Singapore Treaty on the Law of 
Trademarks, the requirement to provide an email address does not apply;
    (3)(i) The legal entity type and citizenship of the applicant(s); 
and
    (ii) If the applicant is a corporation, association, partnership or 
other juristic person, the jurisdiction (usually state or nation) under 
the laws of which the applicant is organized;
    (iii) If the applicant is a domestic partnership, the names and 
citizenship of the general partners;
    (iv) If the applicant is a domestic joint venture, the names and 
citizenship of the active members of the joint venture; or
    (v) If the applicant is a sole proprietorship, the state of 
organization of the sole proprietorship and the name and citizenship of 
the sole proprietor.
    (4) When the applicant is, or must be, represented by an attorney, 
as defined in Sec.11.1 of this chapter, who is qualified to practice 
under Sec.11.14 of this chapter,

[[Page 275]]

the attorney's name, postal address, email address, and bar information;
    (5) One or more bases, as required by Sec.2.34(a);
    (6) A list of the particular goods or services on or in connection 
with which the applicant uses or intends to use the mark. In a U.S. 
application filed under section 44 of the Act, the scope of the goods or 
services covered by the section 44 basis may not exceed the scope of the 
goods or services in the foreign application or registration;
    (7) The international class of goods or services, if known. See 
Sec.6.1 of this chapter for a list of the international classes of 
goods and services.
    (8) If the mark is not in standard characters, a description of the 
mark;
    (9) If the mark includes non-English wording, an English translation 
of that wording; and
    (10) If the mark includes non-Latin characters, a transliteration of 
those characters, and either a translation of the transliterated term in 
English, or a statement that the transliterated term has no meaning in 
English.
    (b) The application must include a verified statement that meets the 
requirements of Sec.2.33.
    (c) The application must include a drawing that meets the 
requirements of Sec.2.51 and Sec.2.52.
    (d) The application must include the fee required by Sec.2.6 for 
each class of goods or services.
    (e) For the requirements of a multiple-class application, see Sec.
2.86.
    (f) For the requirements of all collective mark applications, see 
Sec.2.44.
    (g) For the requirements of a certification mark application, see 
Sec.2.45.

[64 FR 48918, Sept. 8, 1999, as amended at 73 FR 13784, Mar. 14, 2008; 
73 FR 67768, Nov. 17, 2008; 80 FR 33178, June 11, 2015; 84 FR 31511, 
July 2, 2019; 84 FR 37094, July 31, 2019]



Sec.2.33  Verified statement for a trademark or service mark.

    (a) The application must include a verified statement.
    (b)(1) In an application under section 1(a) of the Act, the verified 
statement must allege:

That the applicant believes the applicant is the owner of the mark; that 
the mark is in use in commerce; that to the best of the signatory's 
knowledge and belief, no other person has the right to use the mark in 
commerce, either in the identical form or in such near resemblance as to 
be likely, when applied to the goods or services of such other person, 
to cause confusion or mistake, or to deceive; that the specimen shows 
the mark as used on or in connection with the goods or services; and 
that the facts set forth in the application are true.

    (2) In an application under section 1(b) or 44 of the Act, the 
verified statement must allege:

That the applicant has a bona fide intention to use the mark in 
commerce; that the applicant believes the applicant is entitled to use 
the mark in commerce on or in connection with the goods or services 
specified in the application; that to the best of the signatory's 
knowledge and belief, no other person has the right to use the mark in 
commerce, either in the identical form or in such near resemblance as to 
be likely, when applied to the goods or services of such other person, 
to cause confusion or mistake, or to deceive; and that the facts set 
forth in the application are true.

    (c) If the verified statement in paragraph (b)(1) or (2) of this 
section is not filed within a reasonable time after it is signed, the 
Office may require the applicant to submit a substitute verified 
statement attesting that the mark was in use in commerce as of the 
application filing date, or the applicant had a bona fide intention to 
use the mark in commerce as of the application filing date.
    (d) [Reserved]
    (e) In an application under section 66(a) of the Act, the verified 
statement, which is part of the international registration on file with 
the International Bureau, must allege that:

    (1) The applicant/holder has a bona fide intention to use the mark 
in commerce that the U.S. Congress can regulate on or in connection with 
the goods or services specified in the international application/
subsequent designation;
    (2) The signatory is properly authorized to execute the declaration 
on behalf of the applicant/holder;
    (3) The signatory believes the applicant/holder to be entitled to 
use the mark in commerce that the U.S. Congress can regulate on or in 
connection with the goods or services specified in the international 
application/subsequent designation; and
    (4) To the best of his/her knowledge and belief, no other person, 
firm, corporation, association, or other legal entity has the right to 
use the mark in commerce that the U.S.

[[Page 276]]

Congress can regulate either in the identical form thereof or in such 
near resemblance thereto as to be likely, when used on or in connection 
with the goods or services of such other person, firm, corporation, 
association, or other legal entity, to cause confusion, or to cause 
mistake, or to deceive.

    (f) In an application for concurrent use under Sec.2.42, the 
verified statement in paragraph (b)(1) of this section must be modified 
to indicate that no other person except as specified in the application 
has the right to use the mark in commerce.

[80 FR 33178, June 11, 2015]



Sec.2.34  Bases for filing a trademark or service mark application.

    (a) An application for a trademark or service mark must include one 
or more of the following five filing bases:
    (1) Use in commerce under section 1(a) of the Act. The requirements 
for an application under section 1(a) of the Act are:
    (i) The applicant's verified statement that the mark is in use in 
commerce. If the verified statement is not filed with the initial 
application, the verified statement must also allege that the mark was 
in use in commerce as of the application filing date;
    (ii) The date of the applicant's first use of the mark anywhere on 
or in connection with the goods or services;
    (iii) The date of the applicant's first use of the mark in commerce;
    (iv) One specimen showing how the applicant uses the mark in 
commerce; and
    (v) If the application specifies more than one item of goods or 
services in a class, the dates of use in paragraphs (a)(1)(ii) and (iii) 
of this section are required for only one item of goods or services 
specified in that class.
    (2) Intent-to-use under section 1(b) of the Act. In an application 
under section 1(b) of the Act, the applicant must verify that the 
applicant has a bona fide intention to use the mark in commerce. If the 
verified statement is not filed with the initial application, the 
verified statement must also allege that the applicant had a bona fide 
intention to use the mark in commerce as of the application filing date.
    (3) Registration of a mark in a foreign applicant's country of 
origin under section 44(e) of the Act. The requirements for an 
application under section 44(e) of the Act are:
    (i) The applicant's verified statement that the applicant has a bona 
fide intention to use the mark in commerce. If the verified statement is 
not filed with the initial application, the Office will require 
submission of the verified statement, which must also allege that the 
applicant had a bona fide intention to use the mark in commerce as of 
the application filing date.
    (ii) A true copy, a photocopy, a certification, or a certified copy 
of a registration in the applicant's country of origin showing that the 
mark has been registered in that country, and that the registration is 
in full force and effect. The certification or copy of the foreign 
registration must show the name of the owner, the mark, and the goods or 
services for which the mark is registered. If the foreign registration 
is not in the English language, the applicant must submit a translation.
    (iii) If the record indicates that the foreign registration will 
expire before the U.S. registration will issue, the applicant must 
submit a true copy, a photocopy, a certification, or a certified copy of 
a proof of renewal from the applicant's country of origin to establish 
that the foreign registration has been renewed and will be in full force 
and effect at the time the U.S. registration will issue. If the proof of 
renewal is not in the English language, the applicant must submit a 
translation.
    (4) Claim of priority, based upon an earlier-filed foreign 
application, under section 44(d) of the Act. The requirements for an 
application under section 44(d) of the Act are:
    (i) A claim of priority, filed within six months of the filing date 
of the foreign application. Before publication or registration on the 
Supplemental Register, the applicant must either:
    (A) Specify the filing date, serial number and country of the first 
regularly filed foreign application; or
    (B) State that the application is based upon a subsequent regularly 
filed application in the same foreign country, and that any prior-filed 
application has been withdrawn, abandoned, or otherwise disposed of, 
without having been laid open to public inspection

[[Page 277]]

and without having any rights outstanding, and has not served as a basis 
for claiming a right of priority.
    (ii) The applicant's verified statement that the applicant has a 
bona fide intention to use the mark in commerce. If the verified 
statement is not filed with the initial application, the Office will 
require submission of the verified statement, which must also allege 
that the applicant had a bona fide intention to use the mark in commerce 
as of the application filing date.
    (iii) Before the application can be approved for publication, or for 
registration on the Supplemental Register, the applicant must establish 
a basis under section 1 or 44 of the Act.
    (5) Extension of protection of an international registration under 
section 66(a) of the Act. In an application under section 66(a) of the 
Act, the international application/subsequent designation must contain a 
signed declaration that meets the requirements of Sec.2.33(a), (e).
    (b) More than one basis. In an application under section 1 or 44 of 
the Act, an applicant may claim more than one basis, provided the 
applicant satisfies all requirements for the bases claimed. In such 
case, the applicant must specify each basis and the goods or services to 
which that basis applies. An applicant must specify the goods or 
services covered by more than one basis. Section 1(a) and 1(b) of the 
Act may not both be claimed for identical goods or services in the same 
application. A basis under section 66(a) of the Act may not be combined 
with another basis.

[64 FR 48919, Sept. 8, 1999, as amended at 67 FR 79522, Dec. 30, 2002; 
68 FR 55763, Sept. 26, 2003; 73 FR 67768, Nov. 17, 2008; 77 FR 30207, 
May 22, 2012; 80 FR 33179, June 11, 2015]



Sec.2.35  Adding, deleting, or substituting bases.

    (a) In an application under section 66(a) of the Act, an applicant 
may not add, substitute or delete a basis, unless the applicant meets 
the requirements for transformation under section 70(c) of the Act and 
Sec.7.31 of this chapter.
    (b) In an application under section 1 or section 44 of the Act:
    (1) Before publication for opposition, an applicant may add or 
substitute a basis, if the applicant meets all requirements for the new 
basis, as stated in Sec.2.34, Sec.2.44, or Sec.2.45. The applicant 
may delete a basis at any time.
    (2) After publication, an applicant may add or substitute a basis in 
an application that is not the subject of an inter partes proceeding 
before the Trademark Trial and Appeal Board, but only with the express 
permission of the Director, after consideration on petition. 
Republication will be required. The amendment of an application that is 
the subject of an inter partes proceeding before the Board is governed 
by Sec.2.133(a).
    (3) When an applicant substitutes one basis for another, the Office 
will presume that there was a continuing valid basis, unless there is 
contradictory evidence in the record, and the application will retain 
the original filing date, including a priority filing date under section 
44(d), if appropriate.
    (4) If an applicant properly claims a section 44(d) basis in 
addition to another basis, the applicant will retain the priority filing 
date under section 44(d) no matter which basis the applicant perfects.
    (5) The applicant may add or substitute a section 44(d) basis only 
within the six-month priority period following the filing date of the 
foreign application.
    (6) When the applicant adds or substitutes a basis, the applicant 
must list each basis and specify the goods, services, or collective 
membership organization to which that basis applies.
    (7) When the applicant deletes a basis, the applicant must also 
delete any goods, services, or collective membership organization 
covered solely by the deleted basis.
    (8) Once an applicant claims a section 1(b) basis as to any or all 
of the goods or services, or a collective membership organization, the 
applicant may not amend the application to seek registration under 
section 1(a) of the Act for identical goods or services or the same 
collective membership organization, unless the applicant files an 
allegation of use under section 1(c) or section 1(d) of the Act.

[68 FR 55763, Sept. 26, 2003, as amended at 80 FR 33180, June 11, 2015]

[[Page 278]]



Sec.2.36  Identification of prior registrations.

    Prior registrations of the same or similar marks owned by the 
applicant should be identified in the application if the owner(s) last 
listed in Office records of the prior registrations differs from the 
owner(s) listed in the application.

[80 FR 2310, Jan. 16, 2015]



Sec.2.37  Description of mark.

    A description of the mark must be included if the mark is not in 
standard characters. In an application where the mark is in standard 
characters, a description may be included and must be included if 
required by the trademark examining attorney.

[73 FR 13784, Mar. 14, 2008]



Sec.2.38  Use by predecessor or by related companies.

    (a) If the first use of the mark was by a predecessor in title or by 
a related company (sections 5 and 45 of the Act), and the use inures to 
the benefit of the applicant, the dates of first use (Sec. Sec.
2.34(a)(1) (ii) and (iii)) may be asserted with a statement that first 
use was by the predecessor in title or by the related company, as 
appropriate.
    (b) The Office may require such details concerning the nature of the 
relationship and such proofs as may be necessary and appropriate for the 
purpose of showing that the use by related companies inures to the 
benefit of the applicant and does not affect the validity of the mark.

(Sec. 5, 60 Stat. 429; 15 U.S.C. 1055)

[30 FR 13193, Oct. 16, 1965, as amended at 54 FR 37589, Sept. 11, 1989; 
64 FR 48920, Sept. 8, 1999; 80 FR 2310, Jan. 16, 2015]



Sec.2.39  [Reserved]



Sec.2.41  Proof of distinctiveness under section 2(f).

    (a) For a trademark or service mark--(1) Ownership of prior 
registration(s). In appropriate cases, ownership of one or more active 
prior registrations on the Principal Register or under the Trademark Act 
of 1905 of the same mark may be accepted as prima facie evidence of 
distinctiveness if the goods or services are sufficiently similar to the 
goods or services in the application; however, further evidence may be 
required.
    (2) Five years substantially exclusive and continuous use in 
commerce. In appropriate cases, if a trademark or service mark is said 
to have become distinctive of the applicant's goods or services by 
reason of the applicant's substantially exclusive and continuous use of 
the mark in commerce for the five years before the date on which the 
claim of distinctiveness is made, a showing by way of verified 
statements in the application may be accepted as prima facie evidence of 
distinctiveness; however, further evidence may be required.
    (3) Other evidence. In appropriate cases, where the applicant claims 
that a mark has become distinctive in commerce of the applicant's goods 
or services, the applicant may, in support of registrability, submit 
with the application, or in response to a request for evidence or to a 
refusal to register, verified statements, depositions, or other 
appropriate evidence showing duration, extent, and nature of the use in 
commerce and advertising expenditures in connection therewith 
(identifying types of media and attaching typical advertisements), and 
verified statements, letters or statements from the trade or public, or 
both, or other appropriate evidence of distinctiveness.
    (b) For a collective trademark or collective service mark--(1) 
Ownership of prior registration(s). See the requirements of paragraph 
(a)(1) of this section.
    (2) Five years substantially exclusive and continuous use in 
commerce. In appropriate cases, if a collective trademark or collective 
service mark is said to have become distinctive of the members' goods or 
services by reason of the members' substantially exclusive and 
continuous use of the mark in commerce for the five years before the 
date on which the claim of distinctiveness is made, a showing by way of 
verified statements in the application may be accepted as prima facie 
evidence of distinctiveness; however, further evidence may be required.
    (3) Other evidence. In appropriate cases, where the applicant claims 
that a mark has become distinctive in commerce of the members' goods or 
services, the applicant may, in support of

[[Page 279]]

registrability, submit with the application, or in response to a request 
for evidence or to a refusal to register, verified statements, 
depositions, or other appropriate evidence showing duration, extent, and 
nature of the use in commerce, and advertising expenditures in 
connection therewith (identifying types of media and attaching typical 
advertisements), and verified statements, letters or statements from the 
trade or public, or both, or other appropriate evidence of 
distinctiveness.
    (c) For a collective membership mark--(1) Ownership of prior 
registration(s). In appropriate cases, ownership of one or more active 
prior registrations on the Principal Register or under the Act of 1905 
of the same mark may be accepted as prima facie evidence of 
distinctiveness if the goods, services, or nature of the collective 
membership organization are sufficiently similar to the collective 
membership organization in the application; however, further evidence 
may be required.
    (2) Five years substantially exclusive and continuous use in 
commerce. In appropriate cases, if a collective membership mark is said 
to have become distinctive of indicating membership in the applicant's 
collective membership organization by reason of the members' 
substantially exclusive and continuous use of the mark in commerce for 
the five years before the date on which the claim of distinctiveness is 
made, a showing by way of verified statements in the application may be 
accepted as prima facie evidence of distinctiveness; however, further 
evidence may be required.
    (3) Other evidence. In appropriate cases, where the applicant claims 
that a mark has become distinctive in commerce of indicating membership 
in the applicant's collective membership organization, the applicant 
may, in support of registrability, submit with the application, or in 
response to a request for evidence or to a refusal to register, verified 
statements, depositions, or other appropriate evidence showing duration, 
extent, and nature of the members' use in commerce, and advertising 
expenditures in connection therewith (identifying types of media and 
attaching typical advertisements), and verified statements, letters or 
statements from the trade or public, or both, or other appropriate 
evidence of distinctiveness.
    (d) For a certification mark--(1) Ownership of prior certification 
mark registration(s). In appropriate cases, ownership of one or more 
active prior certification mark registrations on the Principal Register 
or under the Act of 1905 of the same mark may be accepted as prima facie 
evidence of distinctiveness if the authorized users' goods or services 
are sufficiently similar to the goods or services certified in the 
application, subject to the limitations of the statement set forth in 
Sec.2.45(a)(4)(i)(C); however, further evidence may be required.
    (2) Five years substantially exclusive and continuous use in 
commerce. In appropriate cases, if a certification mark is said to have 
become distinctive of the certified goods or services by reason of the 
authorized users' substantially exclusive and continuous use of the mark 
in commerce for the five years before the date on which the claim of 
distinctiveness is made, a showing by way of verified statements in the 
application may be accepted as prima facie evidence of distinctiveness; 
however, further evidence may be required.
    (3) Other evidence. In appropriate cases, where the applicant claims 
that a mark has become distinctive of the certified goods or services 
program, the applicant may, in support of registrability, submit with 
the application, or in response to a request for evidence or to a 
refusal to register, verified statements, depositions, or other 
appropriate evidence showing duration, extent, and nature of the 
authorized users' use in commerce and advertising expenditures in 
connection therewith (identifying types of media and attaching typical 
advertisements), and verified statements, letters or statements from the 
trade or public, or both, or other appropriate evidence of 
distinctiveness.
    (e) Certification marks with geographical matter. Paragraph (d) of 
this section does not apply to geographical matter in a certification 
mark certifying regional origin because section

[[Page 280]]

2(e)(2) of the Act does not apply to certification marks that are 
indications of regional origin.

[80 FR 33180, June 11, 2015]



Sec.2.42  Concurrent use.

    (a) Prior to seeking concurrent use, an application for registration 
on the Principal Register under the Act must assert use in commerce and 
include all the application elements required by the preceding sections, 
in addition to Sec.2.44 or Sec.2.45, if applicable.
    (b) The applicant must also include a verified statement that 
indicates the following, to the extent of the applicant's knowledge:
    (1) For a trademark or service mark, the geographic area in which 
the applicant is using the mark in commerce; for a collective mark or 
certification mark, the geographic area in which the applicant's members 
or authorized users are using the mark in commerce;
    (2) For a trademark or service mark, the applicant's goods or 
services; for a collective trademark, collective service mark, or 
certification mark, the applicant's members' or authorized users' goods 
or services; for a collective membership mark, the nature of the 
applicant's collective membership organization;
    (3) The mode of use for which the applicant seeks registration;
    (4) The concurrent users' names and addresses;
    (5) The registrations issued to or applications filed by such 
concurrent users, if any;
    (6) For a trademark or service mark, the geographic areas in which 
the concurrent user is using the mark in commerce; for a collective mark 
or certification mark, the geographic areas in which the concurrent 
user's members or authorized users are using the mark in commerce;
    (7) For a trademark or service mark, the concurrent user's goods or 
services; for a collective trademark, collective service mark, or 
certification mark, the concurrent user's members' or authorized users' 
goods or services; for a collective membership mark, the nature of the 
concurrent user's collective membership organization;
    (8) The mode of use by the concurrent users or the concurrent users' 
members or authorized users; and
    (9) The time periods of such use by the concurrent users or the 
concurrent users' members or authorized users.
    (c) For the requirements to amend an application to concurrent use, 
see Sec.2.73.
    (d) For the requirements of a concurrent use proceeding, see Sec.
2.99.

[80 FR 33181, June 11, 2015]



Sec.2.43  Service mark.

    In an application to register a service mark, the application shall 
specify and contain all the elements required by the preceding sections 
for trademarks, but shall be modified to relate to services instead of 
to goods wherever necessary.

(Sec. 3, 60 Stat. 429; 15 U.S.C. 1052)



Sec.2.44  Requirements for a complete collective mark application.

    (a) A complete application to register a collective trademark, 
collective service mark, or collective membership mark must include the 
following:
    (1) The requirements specified in Sec.2.32(a) introductory text 
through (a)(4), (a)(8) through (10), (c), and (d);
    (2)(i) For a collective trademark or collective service mark, a list 
of the particular goods or services on or in connection with which the 
applicant's members use or intend to use the mark; or
    (ii) For a collective membership mark, a description of the nature 
of the membership organization such as by type, purpose, or area of 
activity of the members; and
    (iii) In a U.S. application filed under section 44 of the Act, the 
scope of the goods or services or the nature of the membership 
organization covered by the section 44 basis may not exceed the scope of 
the goods or services or nature of the membership organization in the 
foreign application or registration.
    (3)(i) For a collective trademark or collective service mark 
application, the international class of goods or services, if known. See 
Sec.6.1 of this chapter for a list of the international classes of 
goods and services; or

[[Page 281]]

    (ii) For a collective membership mark application filed under 
sections 1 or 44 of the Act, classification in U.S. Class 200; and for a 
collective membership mark application filed under section 66(a) of the 
Act, the international class(es) assigned by the International Bureau in 
the corresponding international registration.
    (4) One or more of the following five filing bases:
    (i) Use in commerce under section 1(a) of the Act. The requirements 
for an application under section 1(a) of the Act are:
    (A) A statement specifying the nature of the applicant's control 
over the use of the mark by the members;
    (B) For a collective trademark or collective service mark, the date 
of the applicant's member's first use of the mark anywhere on or in 
connection with the goods or services and the date of the applicant's 
member's first use of the mark in commerce; or for a collective 
membership mark, the date of the applicant's member's first use anywhere 
to indicate membership in the collective organization and the date of 
the applicant's member's first use in commerce. If the application 
specifies more than one item of goods or services in a class, the dates 
of use are required for only one item of goods or services specified in 
that class;
    (C) One specimen showing how a member uses the mark in commerce; and
    (D) A verified statement alleging:
    That the applicant believes the applicant is the owner of the mark; 
that the mark is in use in commerce; that the applicant is exercising 
legitimate control over the use of the mark in commerce; that to the 
best of the signatory's knowledge and belief, no other persons except 
members have the right to use the mark in commerce, either in the 
identical form or in such near resemblance as to be likely, when used on 
or in connection with the goods, services, or collective membership 
organization of such other persons to cause confusion or mistake, or to 
deceive; that the specimen shows the mark as used in commerce by the 
applicant's members; and that the facts set forth in the application are 
true.
    (ii) Intent-to-use under section 1(b) of the Act. The requirement 
for an application based on section 1(b) of the Act is a verified 
statement alleging:
    That the applicant has a bona fide intention, and is entitled, to 
exercise legitimate control over the use of the mark in commerce; that 
to the best of the signatory's knowledge and belief, no other persons, 
except members, have the right to use the mark in commerce, either in 
the identical form or in such near resemblance as to be likely, when 
used on or in connection with the goods, services, or collective 
membership organization of such other persons, to cause confusion or 
mistake, or to deceive; and that the facts set forth in the application 
are true.
    (iii) Registration of a mark in a foreign applicant's country of 
origin under section 44(e) of the Act. The requirements for an 
application under section 44(e) of the Act are:
    (A) The requirements of Sec.2.34(a)(3)(ii) and (iii); and
    (B) A verified statement in accordance with paragraph (a)(4)(ii) of 
this section.
    (iv) Claim of priority, based upon an earlier-filed foreign 
application, under section 44(d) of the Act. The requirements for an 
application under section 44(d) of the Act are:
    (A) The requirements of Sec.2.34(a)(4)(i) and (iii); and
    (B) A verified statement in accordance with paragraph (a)(4)(ii) of 
this section.
    (v) Extension of protection of an international registration under 
section 66(a) of the Act. The requirement for an application under 
section 66(a) of the Act is a verified statement alleging that the 
applicant/holder has a bona fide intention, and is entitled, to exercise 
legitimate control over the use of the mark in commerce that the U.S. 
Congress can regulate on or in connection with the goods or services 
specified in the international application/subsequent designation; that 
the signatory is properly authorized to execute the declaration on 
behalf of the applicant/holder; and that to the best of his/her 
knowledge and belief, no other person, firm, corporation, association, 
or other legal entity, except members, has the right to use the mark in 
commerce

[[Page 282]]

that the U.S. Congress can regulate either in the identical form thereof 
or in such near resemblance thereto as to be likely, when used on or in 
connection with the goods, services, or collective membership 
organization of such other person, firm, corporation, association, or 
other legal entity, to cause confusion, or to cause mistake, or to 
deceive.
    (b) Verification not filed within reasonable time or omitted. (1) If 
the verified statement in paragraph (a)(4)(i)(D), (a)(4)(ii), 
(a)(4)(iii)(B), or (a)(4)(iv)(B) of this section is not filed within a 
reasonable time after it is signed, the Office may require the applicant 
to submit a substitute verified statement attesting that, as of the 
application filing date, the mark was in use in commerce and the 
applicant was exercising legitimate control over the use of the mark in 
commerce; or, as of the application filing date, the applicant had a 
bona fide intention, and was entitled, to exercise legitimate control 
over the use of the mark in commerce; or
    (2) If the verified statement in paragraph (a)(4)(i)(D), (a)(4)(ii), 
(a)(4)(iii)(B), (a)(4)(iv)(B), or (a)(4)(v) of this section is not filed 
with the initial application, the verified statement must also allege 
that, as of the application filing date, the mark was in use in commerce 
and the applicant was exercising legitimate control over the use of the 
mark in commerce; or, as of the application filing date, the applicant 
had a bona fide intention, and was entitled, to exercise legitimate 
control over the use of the mark in commerce.
    (c) More than one basis. In an application under section 1 or 44 of 
the Act, an applicant may claim more than one basis, provided the 
applicant satisfies all requirements for the bases claimed. In such 
case, the applicant must specify each basis, followed by the goods, 
services, or collective membership organization to which that basis 
applies. An applicant must specify the goods, services, or collective 
membership organization covered by more than one basis. Section 1(a) and 
1(b) of the Act may not both be claimed for identical goods, or 
services, or the same collective membership organization in one 
application. A basis under section 66(a) of the Act may not be combined 
with another basis.
    (d) In an application for concurrent use under Sec.2.42, the 
verified statement in paragraph (a)(4)(i)(D) of this section must be 
modified to indicate that no other persons except members and the 
concurrent users as specified in the application have the right to use 
the mark in commerce.
    (e) Multiple-class applications. For the requirements of a multiple-
class application, see Sec.2.86.

[80 FR 33181, June 11, 2015]



Sec.2.45  Requirements for a complete certification mark application;
restriction on certification mark application.

    (a) A complete application to register a certification mark must 
include the following:
    (1) The requirements specified in Sec.2.32(a) introductory text 
through (a)(4), (a)(8) through (10), (c), and (d);
    (2) A list of the particular goods or services on or in connection 
with which the applicant's authorized users use or intend to use the 
mark. In an application filed under section 44 of the Act, the scope of 
the goods or services covered by the section 44 basis may not exceed the 
scope of the goods or services in the foreign application or 
registration;
    (3) For applications filed under section 1 or 44 of the Act, 
classification in U.S. Class A for an application certifying goods and 
U.S. Class B for an application certifying services. For applications 
filed under section 66(a) of the Act, the international class(es) of 
goods or services assigned by the International Bureau in the 
corresponding international registration;
    (4) One or more of the following five filing bases:
    (i) Use in commerce under section 1(a) of the Act. The requirements 
for an application under section 1(a) of the Act are:
    (A) A statement specifying what the applicant is certifying about 
the goods or services in the application;
    (B) A copy of the certification standards governing use of the 
certification mark on or in connection with the goods or services 
specified in the application;

[[Page 283]]

    (C) A statement that the applicant is not engaged in the production 
or marketing of the goods or services to which the mark is applied, 
except to advertise or promote recognition of the certification program 
or of the goods or services that meet the certification standards of the 
applicant;
    (D) The date of the applicant's authorized user's first use of the 
mark anywhere on or in connection with the goods or services and the 
date of the applicant's authorized user's first use of the mark in 
commerce. If the application specifies more than one item of goods or 
services in a class, the dates of use are required for only one item of 
goods or services specified in that class;
    (E) One specimen showing how an authorized user uses the mark in 
commerce; and
    (F) A verified statement alleging:
    That the applicant believes the applicant is the owner of the mark; 
that the mark is in use in commerce; that the applicant is exercising 
legitimate control over the use of the mark in commerce; that to the 
best of the signatory's knowledge and belief, no other persons except 
authorized users have the right to use the mark in commerce, either in 
the identical form or in such near resemblance as to be likely, when 
used on or in connection with the goods or services of such other 
persons, to cause confusion or mistake, or to deceive; that the specimen 
shows the mark as used in commerce by the applicant's authorized users; 
and that the facts set forth in the application are true.
    (ii) Intent-to-use under section 1(b) of the Act. The requirements 
for an application based on section 1(b) of the Act are:
    (A) A statement specifying what the applicant will be certifying 
about the goods or services in the application;
    (B) A statement that the applicant will not engage in the production 
or marketing of the goods or services to which the mark is applied, 
except to advertise or promote recognition of the certification program 
or of the goods or services that meet the certification standards of the 
applicant; and
    (C) A verified statement alleging:
    That the applicant has a bona fide intention, and is entitled, to 
exercise legitimate control over the use of the mark in commerce; that 
to the best of the signatory's knowledge and belief, no other persons, 
except authorized users, have the right to use the mark in commerce, 
either in the identical form or in such near resemblance as to be 
likely, when used on or in connection with the goods or services of such 
other persons, to cause confusion or mistake, or to deceive; and that 
the facts set forth in the application are true.
    (iii) Registration of a mark in a foreign applicant's country of 
origin under section 44(e) of the Act. The requirements for an 
application under section 44(e) of the Act are:
    (A) The requirements of Sec.2.34(a)(3)(ii) and (iii);
    (B) The requirements in paragraphs (a)(4)(ii)(A) and (B) of this 
section; and
    (C) A verified statement in accordance with paragraph (a)(4)(ii)(C) 
of this section.
    (iv) Claim of priority, based upon an earlier-filed foreign 
application, under section 44(d) of the Act. The requirements for an 
application under section 44(d) of the Act are:
    (A) The requirements of Sec.2.34(a)(4)(i) and (iii);
    (B) The requirements in paragraphs (a)(4)(ii)(A) and (B) of this 
section; and
    (C) A verified statement in accordance with paragraph (a)(4)(ii)(C) 
of this section.
    (v) Extension of protection of an international registration under 
section 66(a) of the Act. The requirements for an application under 
section 66(a) of the Act are:
    (A) The requirements of paragraphs (a)(4)(ii)(A) and (B) of this 
section; and
    (B) A verified statement alleging that the applicant/holder has a 
bona fide intention, and is entitled, to exercise legitimate control 
over the use of the mark in commerce that the U.S. Congress can regulate 
on or in connection with the goods or services specified in the 
international application/subsequent designation; that the signatory is 
properly authorized to execute the declaration on behalf of the 
applicant/holder; and that to the best of his/

[[Page 284]]

her knowledge and belief, no other person, firm, corporation, 
association, or other legal entity, except authorized users, has the 
right to use the mark in commerce that the U.S. Congress can regulate 
either in the identical form thereof or in such near resemblance thereto 
as to be likely, when used on or in connection with the goods or 
services of such other person, firm, corporation, association, or other 
legal entity, to cause confusion, or to cause mistake, or to deceive.
    (b) Verification not filed within reasonable time or omitted. (1) If 
the verified statement in paragraph (a)(4)(i)(F), (a)(4)(ii)(C), 
(a)(4)(iii)(C), or (a)(4)(iv)(C) of this section is not filed within a 
reasonable time after it is signed, the Office may require the applicant 
to submit a substitute verified statement attesting that, as of the 
application filing date, the mark was in use in commerce and the 
applicant was exercising legitimate control over the use of the mark in 
commerce; or, as of the application filing date, the applicant had a 
bona fide intention, and was entitled, to exercise legitimate control 
over the use of the mark in commerce; or
    (2) If the verified statement in paragraph (a)(4)(i)(F), 
(a)(4)(ii)(C), (a)(4)(iii)(C), (a)(4)(iv)(C), or (a)(4)(v)(B) of this 
section is not filed with the initial application, the verified 
statement must also allege that, as of the application filing date, the 
mark was in use in commerce and the applicant was exercising legitimate 
control over the use of the mark in commerce; or, as of the application 
filing date, the applicant had a bona fide intention, and was entitled, 
to exercise legitimate control over the use of the mark in commerce.
    (c) More than one basis. In an application under section 1 or 44 of 
the Act, an applicant may claim more than one basis, provided the 
applicant satisfies all requirements for the bases claimed. In such 
case, the applicant must specify each basis, followed by the goods or 
services to which that basis applies. An applicant must specify the 
goods or services covered by more than one basis. Section 1(a) and 1(b) 
of the Act may not both be claimed for identical goods or services in 
the same application. A basis under section 66(a) of the Act may not be 
combined with another basis.
    (d) Concurrent use. In an application for concurrent use under Sec.
2.42, the verified statement in paragraph (a)(4)(i)(F) of this section 
must be modified to indicate that no other persons except authorized 
users and concurrent users as specified in the application have the 
right to use the mark in commerce.
    (e) Multiple-class applications. For the requirements of a multiple-
class application, see Sec.2.86.
    (f) Restriction on certification mark application. A single 
application may not include a certification mark and another type of 
mark. The same mark for the same goods or services is not registrable as 
both a certification mark and another type of mark. See sections 4 and 
14(5)(B) of the Act.

[80 FR 33182, June 11, 2015]



Sec.2.46  Principal Register.

    All applications will be treated as seeking registration on the 
Principal Register unless otherwise stated in the application. Service 
marks, collective marks, and certification marks, registrable in 
accordance with the applicable provisions of section 2 of the Act, are 
registered on the Principal Register.



Sec.2.47  Supplemental Register.

    (a) In an application to register on the Supplemental Register under 
section 23 of the Act, the application shall so indicate and shall 
specify that the mark has been in use in commerce.
    (b) In an application to register on the Supplemental Register under 
section 44 of the Act, the application shall so indicate. The statement 
of lawful use in commerce may be omitted.
    (c) An application under section 66(a) of the Act is not eligible 
for registration on the Supplemental Register.
    (d) A mark in an application to register on the Principal Register 
under section 1(b) of the Act is eligible for registration on the 
Supplemental Register only after an acceptable amendment to allege use 
under Sec.2.76 or statement of use under Sec.2.88 has been timely 
filed.

[[Page 285]]

    (e) An application for registration on the Supplemental Register 
must conform to the requirements for registration on the Principal 
Register under section 1(a) of the Act, so far as applicable.

[54 FR 37590, Sept. 11, 1989, as amended at 68 FR 55763, Sept. 26, 2003; 
73 FR 67769, Nov. 17, 2008]



Sec.2.48  Office does not issue duplicate registrations.

    If two applications on the same register would result in 
registrations that are exact duplicates, the Office will permit only one 
application to mature into registration, and will refuse registration in 
the other application.

[73 FR 67769, Nov. 17, 2008]

                                 Drawing

    Authority: Secs. 2.51 to 2.55 also issued under sec. 1, 60 Stat. 
427; 15 U.S.C. 1051.



Sec.2.51  Drawing required.

    (a) In an application under section 1(a) of the Act, the drawing of 
the mark must be a substantially exact representation of the mark as 
used on or in connection with the goods and/or services.
    (b) In an application under section 1(b) of the Act, the drawing of 
the mark must be a substantially exact representation of the mark as 
intended to be used on or in connection with the goods and/or services 
specified in the application, and once an amendment to allege use under 
Sec.2.76 or a statement of use under Sec.2.88 has been filed, the 
drawing of the mark must be a substantially exact representation of the 
mark as used on or in connection with the goods and/or services.
    (c) In an application under section 44 of the Act, the drawing of 
the mark must be a substantially exact representation of the mark as it 
appears in the drawing in the registration certificate of a mark duly 
registered in the applicant's country of origin.
    (d) In an application under section 66(a) of the Act, the drawing of 
the mark must be a substantially exact representation of the mark as it 
appears in the international registration.

[68 FR 55763, Sept. 26, 2003]



Sec.2.52  Types of drawings and format for drawings.

    A drawing depicts the mark sought to be registered. The drawing must 
show only one mark. The applicant must include a clear drawing of the 
mark when the application is filed. There are two types of drawings:
    (a) Standard character (typed) drawing. Applicants who seek to 
register words, letters, numbers, or any combination thereof without 
claim to any particular font style, size, or color must submit a 
standard character drawing that shows the mark in black on a white 
background. An applicant may submit a standard character drawing if:
    (1) The application includes a statement that the mark is in 
standard characters and no claim is made to any particular font style, 
size, or color;
    (2) The mark does not include a design element;
    (3) All letters and words in the mark are depicted in Latin 
characters;
    (4) All numerals in the mark are depicted in Roman or Arabic 
numerals; and
    (5) The mark includes only common punctuation or diacritical marks.
    (b) Special form drawing. Applicants who seek to register a mark 
that includes a two or three-dimensional design; color; and/or words, 
letters, or numbers or the combination thereof in a particular font 
style or size must submit a special form drawing. The drawing should 
show the mark in black on a white background, unless the mark includes 
color.
    (1) Marks that include color. If the mark includes color, the 
drawing must show the mark in color, and the applicant must name the 
color(s), describe where the color(s) appear on the mark, and submit a 
claim that the color(s) is a feature of the mark.
    (2) Three dimensional marks. If the mark has three-dimensional 
features, the drawing must depict a single rendition of the mark, and 
the applicant must indicate that the mark is three-dimensional.
    (3) Motion marks. If the mark has motion, the drawing may depict a 
single point in the movement, or the drawing may depict up to five 
freeze frames

[[Page 286]]

showing various points in the movement, whichever best depicts the 
commercial impression of the mark. The applicant must also describe the 
mark.
    (4) Broken lines to show placement. If necessary to adequately 
depict the commercial impression of the mark, the applicant may be 
required to submit a drawing that shows the placement of the mark by 
surrounding the mark with a proportionately accurate broken-line 
representation of the particular goods, packaging, or advertising on 
which the mark appears. The applicant must also use broken lines to show 
any other matter not claimed as part of the mark. For any drawing using 
broken lines to indicate placement of the mark, or matter not claimed as 
part of the mark, the applicant must describe the mark and explain the 
purpose of the broken lines.
    (5) Description of mark. A description of the mark must be included.
    (c) TEAS drawings. A drawing filed through TEAS must meet the 
requirements of Sec.2.53.
    (d) Paper drawings. A paper drawing must meet the requirements of 
Sec.2.54.
    (e) Sound, scent, and non-visual marks. An applicant is not required 
to submit a drawing if the mark consists only of a sound, a scent, or 
other completely non-visual matter. For these types of marks, the 
applicant must submit a detailed description of the mark.

[68 FR 55763, Sept. 26, 2003, as amended at 73 FR 13784, Mar. 14, 2008; 
73 FR 67769, Nov. 17, 2008]



Sec.2.53  Requirements for drawings filed through the TEAS.

    The drawing must meet the requirements of Sec.2.52. In addition, 
in a TEAS submission, the drawing must meet the following requirements:
    (a) Standard character drawings. If an applicant seeks registration 
of a standard character mark, the applicant must enter the mark in the 
appropriate field on the TEAS form, and check the box to claim that the 
mark consists of standard characters.
    (b) Special form drawings: If an applicant is filing a special form 
drawing, the applicant must attach a digitized image of the mark to the 
TEAS submission that meets the requirements of paragraph (c) of this 
section.
    (c) Requirements for digitized image: The image must be in .jpg 
format and scanned at no less than 300 dots per inch and no more than 
350 dots per inch with a length and width of no less than 250 pixels and 
no more than 944 pixels. All lines must be clean, sharp and solid, not 
fine or crowded, and produce a high quality image when copied.

[68 FR 55764, Sept. 26, 2003, as amended at 70 FR 38774, July 6, 2005; 
73 FR 67769, Nov. 17, 2008]



Sec.2.54  Requirements for drawings submitted on paper.

    The drawing must meet the requirements of Sec.2.52. In addition, 
in a paper submission, the drawing should:
    (a) Be on non-shiny white paper that is separate from the 
application;
    (b) Be on paper that is 8 to 8.5 inches (20.3 to 21.6 cm.) wide and 
11 to 11.69 inches (27.9 to 29.7 cm.) long. One of the shorter sides of 
the sheet should be regarded as its top edge. The image must be no 
larger than 3.15 inches (8 cm) high by 3.15 inches (8 cm) wide;
    (c) Include the caption ``DRAWING PAGE'' at the top of the drawing 
beginning one inch (2.5 cm.) from the top edge; and
    (d) Depict the mark in black ink, or in color if color is claimed as 
a feature of the mark.
    (e) Drawings must be typed or made with a pen or by a process that 
will provide high definition when copied. A photolithographic, printer's 
proof copy, or other high quality reproduction of the mark may be used. 
All lines must be clean, sharp and solid, and must not be fine or 
crowded.

[68 FR 55764, Sept. 26, 2003]



Sec.2.56  Specimens.

    (a) An application under section 1(a) of the Act, an amendment to 
allege use under Sec.2.76, a statement of use under Sec.2.88, an 
affidavit or declaration of continued use or excusable nonuse under 
Sec.2.160, or an affidavit or declaration of use or excusable nonuse 
under Sec.7.36 must include one specimen per class showing the mark as 
actually used in commerce on or in connection with the goods or services 
identified. When requested by the Office as reasonably

[[Page 287]]

necessary to proper examination, additional specimens must be provided.
    (b)(1) A trademark specimen must show use of the mark on the goods, 
on containers or packaging for the goods, on labels or tags affixed to 
the goods, or on a display associated with the goods. To constitute a 
display associated with the goods, a specimen must show use of the mark 
directly associated with the goods and such use must be of a point-of-
sale nature. The Office may accept another document related to the goods 
or the sale of the goods when it is impracticable to place the mark on 
the goods, packaging for the goods, or displays associated with the 
goods.
    (2) A service mark specimen must show the mark as used in the sale 
of the services, including use in the performance or rendering of the 
services, or in the advertising of the services. The specimen must show 
a direct association between the mark and the services.
    (3) A collective trademark or collective service mark specimen must 
show how a member uses the mark on the member's goods or in the sale of 
the services, including use in the performance or rendering of the 
services, or advertising of the member's services.
    (4) A collective membership mark specimen must show use by members 
to indicate membership in the collective organization.
    (5) A certification mark specimen must show how a person other than 
the owner uses the mark to reflect certification of regional or other 
origin, material, mode of manufacture, quality, accuracy, or other 
characteristics of that person's goods or services; or that members of a 
union or other organization performed the work or labor on the goods or 
services.
    (c) A clear and legible photocopy, photograph, web page printout, or 
other similar type of reproduction of an actual specimen that meets the 
requirements of paragraphs (a) and (b) of this section is acceptable. 
The reproduction must show the entire specimen or enough of the specimen 
that the nature of the specimen, the mark, and the good or service with 
which the mark is used are identifiable. A web page must include the URL 
and access or print date. An artist's rendering, a printer's proof, a 
computer illustration, digital image, or similar mockup of how the mark 
may be displayed, or a photocopy of the drawing required by Sec.2.51, 
are not proper specimens.
    (d) The specimen must be submitted through TEAS in a file format 
designated as acceptable by the Office, unless:
    (1) The mark consists of a scent, flavor, or similar non-traditional 
mark type, in which case the specimen may be mailed to the Office, 
pursuant to Sec.2.190(a), without resort to the procedures set forth 
in Sec.2.147; or
    (2) Submission on paper is permitted under Sec.2.23(c) or is 
accepted on petition pursuant to Sec.2.147.

[84 FR 37095, July 31, 2019]



Sec. Sec.2.57-2.58  [Reserved]



Sec.2.59  Filing substitute specimen(s).

    (a) In an application under section 1(a) of the Act, the applicant 
may submit substitute specimens of the mark as used on or in connection 
with the goods or in the sale or advertising of the services, or as used 
to indicate membership in the collective organization. The applicant 
must submit a verified statement that the substitute specimen was in use 
in commerce at least as early as the filing date of the application. The 
verified statement is not required if the specimen is a duplicate or 
facsimile of a specimen already of record in the application.
    (b) In an application under section 1(b) of the Act, after filing 
either an amendment to allege use under Sec.2.76 or a statement of use 
under Sec.2.88, the applicant may submit substitute specimens of the 
mark as used on or in connection with the goods or in the sale or 
advertising of the services, or as used to indicate membership in the 
collective organization. If the applicant submits substitute 
specimen(s), the applicant must:
    (1) For an amendment to allege use under Sec.2.76, submit a 
verified statement that the substitute specimen(s) was in use in 
commerce prior to filing the amendment to allege use.
    (2) For a statement of use under Sec.2.88, submit a verified 
statement that the substitute specimen(s) was in use

[[Page 288]]

in commerce either prior to filing the statement of use or prior to the 
expiration of the deadline for filing the statement of use.

[80 FR 33183, June 11, 2015]

           Examination of Application and Action by Applicants

    Authority: Secs. 2.61 to 2.69 also issued under sec. 12, 60 Stat. 
432; 15 U.S.C. 1062.



Sec.2.61  Action by examiner.

    (a) Applications for registration, including amendments to allege 
use under section 1(c) of the Act, and statements of use under section 
1(d) of the Act, will be examined and, if the applicant is found not 
entitled to registration for any reason, applicant will be notified and 
advised of the reasons therefor and of any formal requirements or 
objections.
    (b) The Office may require the applicant to furnish such 
information, exhibits, affidavits or declarations, and such additional 
specimens as may be reasonably necessary to the proper examination of 
the application.
    (c) Whenever it shall be found that two or more parties whose 
interests are in conflict are represented by the same attorney, each 
party and also the attorney shall be notified of this fact.

[30 FR 13193, Oct. 16, 1965, as amended at 37 FR 2880, Feb. 9, 1972; 54 
FR 37592, Sept. 11, 1989; 77 FR 30207, May 22, 2012]



Sec.2.62  Procedure for submitting response.

    (a) Deadline. The applicant's response to an Office action must be 
received by the USPTO within six months from the issue date.
    (b) Signature. The response must be signed by the applicant, someone 
with legal authority to bind the applicant (e.g., a corporate officer or 
general partner of a partnership), or a practitioner qualified to 
practice under Sec.11.14 of this chapter, in accordance with the 
requirements of Sec.2.193(e)(2).
    (c) Form. Responses must be submitted through TEAS pursuant to Sec.
2.23(a). Responses sent via email or facsimile will not be accorded a 
date of receipt.

[84 FR 37095, July 31, 2019]



Sec.2.63  Action after response.

    (a) Repeated non-final refusal or requirement. After response by the 
applicant, the examining attorney will review all statutory refusals 
and/or requirement(s) in light of the response.
    (1) If, after review of the applicant's response, the examining 
attorney issues a non-final action that maintains any previously issued 
substantive refusal(s) to register or repeats any requirement(s), the 
applicant may submit a timely response to the action under Sec.
2.62(a).
    (2) If, after review of the applicant's response, the examining 
attorney issues a non-final action that contains no substantive refusals 
to register, but maintains any requirement(s), the applicant may respond 
to such repeated requirement(s) by filing a timely petition to the 
Director for relief from the repeated requirement(s) if the subject 
matter of the repeated requirement(s) is appropriate for petition to the 
Director (see Sec.2.146(b)).
    (b) Final refusal or requirement. Upon review of a response, the 
examining attorney may state that the refusal(s) to register, or the 
requirement(s), is final.
    (1) If the examining attorney issues a final action that maintains 
any substantive refusal(s) to register, the applicant may respond by 
timely filing:
    (i) A request for reconsideration under paragraph (b)(3) of this 
section that seeks to overcome any substantive refusal(s) to register, 
and comply with any outstanding requirement(s), maintained in the final 
action; or
    (ii) An appeal to the Trademark Trial and Appeal Board under 
Sec. Sec.2.141 and 2.142.
    (2) If the examining attorney issues a final action that contains no 
substantive refusals to register, but maintains any requirement(s), the 
applicant may respond by timely filing:
    (i) A request for reconsideration under paragraph (b)(3) of this 
section that seeks to comply with any outstanding requirement(s) 
maintained in the final action;
    (ii) An appeal of the requirement(s) to the Trademark Trial and 
Appeal Board under Sec. Sec.2.141 and 2.142; or
    (iii) A petition to the Director under Sec.2.146 to review the 
requirement(s), if

[[Page 289]]

the subject matter of the requirement(s) is procedural, and therefore 
appropriate for petition.
    (3) Prior to the expiration of the time for filing an appeal or a 
petition, the applicant may file a request for reconsideration of the 
final action that seeks to overcome any substantive refusal(s) and/or 
comply with any outstanding requirement(s). Filing a request for 
reconsideration does not stay or extend the time for filing an appeal or 
petition. The Office will enter amendments accompanying requests for 
reconsideration after final action if the amendments comply with the 
rules of practice in trademark cases and the Act.
    (4) Filing a request for reconsideration that does not result in the 
withdrawal of all refusals and requirements, without the filing of a 
timely appeal or petition, will result in abandonment of the application 
for incomplete response, pursuant to Sec.2.65(a).
    (c) If a petition to the Director under Sec.2.146 is denied, the 
applicant will have six months from the date of issuance of the Office 
action that repeated the requirement(s), or made it final, or thirty 
days from the date of the decision on the petition, whichever date is 
later, to comply with the requirement(s). A requirement that is the 
subject of a petition decided by the Director subsequently may not be 
the subject of an appeal to the Trademark Trial and Appeal Board.
    (d) If an applicant in an application under section 1(b) of the Act 
files an amendment to allege use under Sec.2.76 during the six-month 
response period after issuance of a final action, the examining attorney 
will examine the amendment. The filing of such an amendment does not 
stay or extend the time for filing an appeal or petition.

[80 FR 2310, Jan. 16, 2015]



Sec.2.64  Reinstatement of applications and registrations abandoned,
cancelled, or expired due to Office error.

    (a) Request for Reinstatement of an Abandoned Application. The 
applicant may file a written request to reinstate an application 
abandoned due to Office error. There is no fee for a request for 
reinstatement.
    (1) Deadline. The applicant must file the request by not later than:
    (i) Two months after the issue date of the notice of abandonment; or
    (ii) Two months after the date of actual knowledge of the 
abandonment and not later than six months after the date the trademark 
electronic records system indicates that the application is abandoned, 
where the applicant declares under Sec.2.20 or 28 U.S.C. 1746 that it 
did not receive the notice of abandonment.
    (2) Requirements. A request to reinstate an application abandoned 
due to Office error must include:
    (i) Proof that a response to an Office action, a statement of use, 
or a request for extension of time to file a statement of use was timely 
filed and a copy of the relevant document;
    (ii) Proof of actual receipt by the Office of a response to an 
Office action, a statement of use, or a request for extension of time to 
file a statement of use and a copy of the relevant document;
    (iii) Proof that the Office processed a fee in connection with the 
filing at issue and a copy of the relevant document;
    (iv) Proof that the Office sent the Office action or notice of 
allowance to an address that is not the designated correspondence 
address; or
    (v) Other evidence, or factual information supported by a 
declaration under Sec.2.20 or 28 U.S.C. 1746, demonstrating Office 
error in abandoning the application.
    (b) Request for Reinstatement of Cancelled or Expired Registration. 
The registrant may file a written request to reinstate a registration 
cancelled or expired due to Office error. There is no fee for the 
request for reinstatement.
    (1) Deadline. The registrant must file the request by not later 
than:
    (i) Two months after the issue date of the notice of cancellation/
expiration; or
    (ii) Where the registrant has timely filed an affidavit of use or 
excusable non-use under section 8 or 71 of the Act, or a renewal 
application under section 9 of the Act, two months after the date of 
actual knowledge of the cancellation/expiration and not later than six 
months after the date the

[[Page 290]]

trademark electronic records system indicates that the registration is 
cancelled/expired, where the registrant declares under Sec.2.20 or 28 
U.S.C. 1746 that it did not receive the notice of cancellation/
expiration or where the Office did not issue a notice.
    (2) Requirements. A request to reinstate a registration cancelled/
expired due to Office error must include:
    (i) Proof that an affidavit or declaration of use or excusable 
nonuse, a renewal application, or a response to an Office action was 
timely filed and a copy of the relevant document;
    (ii) Proof of actual receipt by the Office of an affidavit or 
declaration of use or excusable nonuse, a renewal application, or a 
response to an Office action and a copy of the relevant document;
    (iii) Proof that the Office processed a fee in connection with the 
filing at issue and a copy of the relevant document;
    (iv) Proof that the Office sent the Office action to an address that 
is not the designated correspondence address; or
    (v) Other evidence, or factual information supported by a 
declaration under Sec.2.20 or 28 U.S.C. 1746, demonstrating Office 
error in cancelling/expiring the registration.
    (c) Request for Reinstatement May be Construed as Petition. If an 
applicant or registrant is not entitled to reinstatement, a request for 
reinstatement may be construed as a petition to the Director under Sec.
2.146 or a petition to revive under Sec.2.66, if appropriate. If the 
applicant or registrant is unable to meet the timeliness requirement 
under paragraphs (a)(1) or (b)(1) of this section for filing the 
request, the applicant or registrant may submit a petition to the 
Director under Sec.2.146(a)(5) to request a waiver of the rule.

[82 FR 29407, June 29, 2017]



Sec.2.65  Abandonment.

    (a) An application will be abandoned if an applicant fails to 
respond to an Office action, or to respond completely, within six months 
from the date of issuance. A timely petition to the Director pursuant to 
Sec. Sec.2.63(a) and (b) and 2.146 or notice of appeal to the 
Trademark Trial and Appeal Board pursuant to Sec.2.142, if 
appropriate, is a response that avoids abandonment (see Sec.
2.63(b)(4)).
    (1) If all refusals and/or requirements are expressly limited to 
certain goods and/or services, the application will be abandoned only as 
to those goods and/or services.
    (2) When a timely response by the applicant is a bona fide attempt 
to advance the examination of the application and is a substantially 
complete response to the examining attorney's action, but consideration 
of some matter or compliance with a requirement has been omitted, the 
examining attorney may grant the applicant thirty days, or to the end of 
the response period set forth in the action to which the substantially 
complete response was submitted, whichever is longer, to explain and 
supply the omission before the examining attorney considers the question 
of abandonment.
    (b) An application will be abandoned if an applicant expressly 
abandons the application pursuant to Sec.2.68.
    (c) An application will be abandoned if an applicant in an 
application under section 1(b) of the Act fails to timely file either a 
statement of use under Sec.2.88 or a request for an extension of time 
for filing a statement of use under Sec.2.89.

[80 FR 2311, Jan. 16, 2015]



Sec.2.66  Revival of applications abandoned in full or in part due 
to unintentional delay.

    (a) Deadline. The applicant may file a petition to revive an 
application abandoned in full or in part because the applicant did not 
timely respond to an Office action or notice of allowance, if the delay 
was unintentional. The applicant must file the petition by not later 
than:
    (1) Two months after the issue date of the notice of abandonment in 
full or in part; or
    (2) Two months after the date of actual knowledge of the abandonment 
and not later than six months after the date the trademark electronic 
records system indicates that the application is abandoned in full or in 
part, where the applicant declares under Sec.2.20 or 28 U.S.C. 1746 
that it did not receive the notice of abandonment.

[[Page 291]]

    (b) Petition To Revive Application Abandoned in Full or in Part for 
Failure To Respond to an Office Action. A petition to revive an 
application abandoned in full or in part because the applicant did not 
timely respond to an Office action must include:
    (1) The petition fee required by Sec.2.6;
    (2) A statement, signed by someone with firsthand knowledge of the 
facts, that the delay in filing the response on or before the due date 
was unintentional; and
    (3) A response to the Office action, signed pursuant to Sec.
2.193(e)(2), or a statement that the applicant did not receive the 
Office action or the notification that an Office action issued. If the 
applicant asserts that the unintentional delay is based on non-receipt 
of an Office action or notification, the applicant may not assert non-
receipt of the same Office action or notification in a subsequent 
petition. When the abandonment is after a final Office action, the 
response is treated as a request for reconsideration under Sec.
2.63(b)(3) and the applicant must also file:
    (i) A notice of appeal to the Trademark Trial and Appeal Board under 
Sec.2.141 or a petition to the Director under Sec.2.146, if 
permitted by Sec.2.63(b)(2)(iii); or
    (ii) A statement that no appeal or petition is being filed from the 
final refusal(s) or requirement(s).
    (c) Petition To Revive Application Abandoned for Failure To Respond 
to a Notice of Allowance. A petition to revive an application abandoned 
because the applicant did not timely respond to a notice of allowance 
must include:
    (1) The petition fee required by Sec.2.6;
    (2) A statement, signed by someone with firsthand knowledge of the 
facts, that the delay in filing the statement of use (or request for 
extension of time to file a statement of use) on or before the due date 
was unintentional; and one of the following:
    (i) A statement of use under Sec.2.88, signed pursuant to Sec.
2.193(e)(1), and the required fees for the number of requests for 
extensions of time to file a statement of use that the applicant should 
have filed under Sec.2.89 if the application had never been abandoned;
    (ii) A request for an extension of time to file a statement of use 
under Sec.2.89, signed pursuant to Sec.2.193(e)(1), and the required 
fees for the number of requests for extensions of time to file a 
statement of use that the applicant should have filed under Sec.2.89 
if the application had never been abandoned;
    (iii) A statement that the applicant did not receive the notice of 
allowance and a request to cancel said notice and issue a new notice. If 
the applicant asserts that the unintentional delay in responding is 
based on non-receipt of the notice of allowance, the applicant may not 
assert non-receipt of the notice of allowance in a subsequent petition; 
or
    (iv) In a multiple-basis application, an amendment, signed pursuant 
to Sec.2.193(e)(2), deleting the section 1(b) basis and seeking 
registration based on section 1(a) and/or section 44(e) of the Act.
    (3) The applicant must file any further requests for extensions of 
time to file a statement of use under Sec.2.89 that become due while 
the petition is pending, or file a statement of use under Sec.2.88.
    (d) Statement of Use or Petition To Substitute a Basis May Not Be 
Filed More Than 36 Months After Issuance of the Notice of Allowance. In 
an application under section 1(b) of the Act, the Director will not 
grant a petition under this section if doing so would permit an 
applicant to file a statement of use, or a petition under Sec.2.35(b) 
to substitute a basis, more than 36 months after the issue date of the 
notice of allowance under section 13(b)(2) of the Act.
    (e) Request for Reconsideration. If the Director denies a petition 
to revive under this section, the applicant may request reconsideration, 
if:
    (1) The applicant files the request by not later than:
    (i) Two months after the issue date of the decision denying the 
petition; or
    (ii) Two months after the date of actual knowledge of the decision 
denying the petition and not later than six months after the issue date 
of the decision where the applicant declares under Sec.2.20 or 28 
U.S.C. 1746 that it did not receive the decision; and

[[Page 292]]

    (2) The applicant pays a second petition fee under Sec.2.6.

[82 FR 29408, June 29, 2017]



Sec.2.67  Suspension of action by the Patent and Trademark Office.

    Action by the Patent and Trademark Office may be suspended for a 
reasonable time for good and sufficient cause. The fact that a 
proceeding is pending before the Patent and Trademark Office or a court 
which is relevant to the issue of registrability of the applicant's 
mark, or the fact that the basis for registration is, under the 
provisions of section 44(e) of the Act, registration of the mark in a 
foreign country and the foreign application is still pending, will be 
considered prima facie good and sufficient cause. An applicant's request 
for a suspension of action under this section filed within the 6-month 
response period (see Sec.2.62) may be considered responsive to the 
previous Office action. The first suspension is within the discretion of 
the Examiner of Trademarks and any subsequent suspension must be 
approved by the Director.

[37 FR 3898, Feb. 24, 1972]



Sec.2.68  Express abandonment (withdrawal) of application.

    (a) Written document required. An applicant may expressly abandon an 
application by filing a written request for abandonment or withdrawal of 
the application, signed by the applicant, someone with legal authority 
to bind the applicant (e.g., a corporate officer or general partner of a 
partnership), or a practitioner qualified to practice under Sec.11.14 
of this chapter, in accordance with the requirements of Sec.
2.193(e)(2). A request for abandonment or withdrawal may not 
subsequently be withdrawn.
    (b) Rights in the mark not affected. Except as provided in Sec.
2.135, the fact that an application has been expressly abandoned shall 
not affect any rights that the applicant may have in the mark set forth 
in the abandoned application in any proceeding before the Office.

[80 FR 2311, Jan. 16, 2015]



Sec.2.69  Compliance with other laws.

    When the sale or transportation of any product for which 
registration of a trademark is sought is regulated under an Act of 
Congress, the Patent and Trademark Office may make appropriate inquiry 
as to compliance with such Act for the sole purpose of determining 
lawfulness of the commerce recited in the application.

[54 FR 37592, Sept. 11, 1989]

                        Amendment of Application



Sec.2.71  Amendments to correct informalities.

    The applicant may amend the application during the course of 
examination, when required by the Office or for other reasons.
    (a) The applicant may amend the application to clarify or limit, but 
not to broaden, the identification of goods and/or services or the 
description of the nature of the collective membership organization.
    (b)(1) If the verified statement in an application under Sec.2.33 
is unsigned or signed by the wrong party, the applicant may submit a 
substitute verification.
    (2) If the verified statement in a statement of use under Sec.
2.88, or a request for extension of time to file a statement of use 
under Sec.2.89, is unsigned or signed by the wrong party, the 
applicant must submit a substitute verification before the expiration of 
the statutory deadline for filing the statement of use.
    (c) The applicant may amend the dates of use, provided that the 
amendment is verified, except that the following amendments are not 
permitted:
    (1) In an application under section 1(a) of the Act, the applicant 
may not amend the application to specify a date of use that is 
subsequent to the filing date of the application;
    (2) In an application under section 1(b) of the Act, after filing a 
statement of use under Sec.2.88, the applicant may not amend the 
statement of use to specify a date of use that is subsequent to the 
expiration of the deadline for filing the statement of use.
    (d) The applicant may amend the application to correct the name of 
the applicant, if there is a mistake in the

[[Page 293]]

manner in which the name of the applicant is set out in the application. 
The amendment must be verified. However, the application cannot be 
amended to set forth a different entity as the applicant. An application 
filed in the name of an entity that did not own the mark as of the 
filing date of the application is void.
    (e) An amendment that would materially alter the certification 
statement specified in Sec.2.45(a)(4)(i)(A) or (a)(4)(ii)(A) will not 
be permitted.

[64 FR 48922, Sept. 8, 1999, as amended at 80 FR 33184, June 11, 2015]



Sec.2.72  Amendments to description or drawing of the mark.

    (a) In an application based on use in commerce under section 1(a) of 
the Act, the applicant may amend the description or drawing of the mark 
only if:
    (1) The specimens originally filed, or substitute specimens filed 
under Sec.2.59(a), support the proposed amendment; and
    (2) The proposed amendment does not materially alter the mark. The 
Office will determine whether a proposed amendment materially alters a 
mark by comparing the proposed amendment with the description or drawing 
of the mark filed with the original application.
    (b) In an application based on a bona fide intention to use a mark 
in commerce under section 1(b) of the Act, the applicant may amend the 
description or drawing of the mark only if:
    (1) The specimens filed with an amendment to allege use or statement 
of use, or substitute specimens filed under Sec.2.59(b), support the 
proposed amendment; and
    (2) The proposed amendment does not materially alter the mark. The 
Office will determine whether a proposed amendment materially alters a 
mark by comparing the proposed amendment with the description or drawing 
of the mark filed with the original application.
    (c) In an application based on a claim of priority under section 
44(d) of the Act, or on a mark duly registered in the country of origin 
of the foreign applicant under section 44(e) of the Act, the applicant 
may amend the description or drawing of the mark only if:
    (1) The description or drawing of the mark in the foreign 
registration certificate supports the amendment; and
    (2) The proposed amendment does not materially alter the mark. The 
Office will determine whether a proposed amendment materially alters a 
mark by comparing the proposed amendment with the description or drawing 
of the mark filed with the original application.

[64 FR 48922, Sept. 8, 1999]



Sec.2.73  Amendment to recite concurrent use.

    An application that includes section 1(a) of the Trademark Act as a 
filing basis, or for which an acceptable allegation of use under Sec.
2.76 or Sec.2.88 has been filed, may be amended to an application for 
concurrent use registration, provided that the application as amended 
meets the requirements of Sec.2.42. The trademark examining attorney 
will determine whether the application, as amended, is acceptable.

[73 FR 67770, Nov. 17, 2008]



Sec.2.74  Form and signature of amendment.

    (a) Form of Amendment. Amendments should be set forth clearly and 
completely. Applicant should either set forth the entire wording, 
including the proposed changes, or, if it would be more efficient, 
indicate which words should be added and which words should be deleted. 
The examining attorney may require the applicant to rewrite the entire 
amendment, if necessary for clarification of the record.
    (b) Signature. A request for amendment of an application must be 
signed by the applicant, someone with legal authority to bind the 
applicant (e.g., a corporate officer or general partner of a 
partnership), or a practitioner qualified to practice under Sec.11.14 
of this chapter, in accordance with the requirements of Sec.
2.193(e)(2). If the amendment requires verification, see Sec.2.2(n).

[73 FR 67770, Nov. 17, 2008, as amended at 74 FR 54908, Oct. 26, 2009; 
80 FR 33184, June 11, 2015]

[[Page 294]]



Sec.2.75  Amendment to change application to different register.

    (a) An application for registration on the Principal Register under 
section 1(a) or 44 of the Act may be changed to an application for 
registration on the Supplemental Register and vice versa by amending the 
application to comply with the rules relating to the appropriate 
register, as the case may be.
    (b) An application under section 1(b) of the Act may be amended to 
change the application to a different register only after submission of 
an acceptable amendment to allege use under Sec.2.76 or statement of 
use under Sec.2.88. When such an application is changed from the 
Principal Register to the Supplemental Register, the effective filing 
date of the application is the date of the filing of the allegation of 
use under section 1(c) or 1(d) of the Act.
    (c) In an application under section 66(a) of the Act, the applicant 
may not amend the application to the Supplemental Register.

[54 FR 37593, Sept. 11, 1989, as amended at 68 FR 55765, Sept. 26, 2003]



Sec.2.76  Amendment to allege use.

    (a) When to file an amendment to allege use. (1) An application 
under section 1(b) of the Act may be amended to allege use of the mark 
in commerce under section 1(c) of the Act at any time between the filing 
of the application and the date the examiner approves the mark for 
publication. Thereafter, an allegation of use may be submitted only as a 
statement of use under Sec.2.88 after the issuance of a notice of 
allowance under section 13(b)(2) of the Act. An amendment to allege use 
filed outside the time period specified in this paragraph will not be 
reviewed.
    (2)(i) For a trademark, service mark, collective trademark, 
collective service mark, and certification mark, an amendment to allege 
use may be filed only when the mark has been in use in commerce on or in 
connection with all the goods or services specified in the application 
for which the applicant will seek registration. For a collective 
membership mark, an amendment to allege use may be filed only when the 
mark has been in use in commerce to indicate membership in the 
collective organization specified in the application for which the 
applicant will seek registration.
    (ii) An amendment to allege use may be accompanied by a request in 
accordance with Sec.2.87 to divide out from the application the goods, 
services, or classes not yet in use in commerce.
    (b) A complete amendment to allege use. A complete amendment to 
allege use must include the following:
    (1) A verified statement alleging:
    (i) The applicant believes the applicant is the owner of the mark;
    (ii) The mark is in use in commerce;
    (iii) The date of first use of the mark anywhere on or in connection 
with the goods or services, and/or to indicate membership in the 
collective organization specified in the application, and the date of 
first use of the mark in commerce. If the amendment to allege use 
specifies more than one item of goods or services in a class, the dates 
of use are required for only one item of goods or services specified in 
that class;
    (iv) The goods, services, and/or nature of the collective membership 
organization specified in the application; and
    (v) For a collective mark and certification mark, the applicant is 
exercising legitimate control over the use in commerce of the mark.
    (2) One specimen showing how the applicant, member, or authorized 
user uses the mark in commerce. See Sec.2.56 for the requirements for 
specimens;
    (3) The fee per class required by Sec.2.6;
    (4) For a collective mark, the requirements of Sec.
2.44(a)(4)(i)(A);
    (5) For a certification mark, the requirements of Sec.
2.45(a)(4)(i)(A)-(C); and
    (6) The title ``Amendment to Allege Use'' should appear at the top 
of the first page of the document, if not filed through TEAS.
    (c) Minimum filing requirements for a timely filed amendment to 
allege use. The Office will review a timely filed amendment to allege 
use to determine whether it meets the following minimum requirements:
    (1) The fee required by Sec.2.6 for at least one class;
    (2) One specimen of the mark as used in commerce; and

[[Page 295]]

    (3) The verified statement in paragraph (b)(1)(ii) of this section.
    (d) Deficiency notification. If the amendment to allege use is filed 
within the permitted time period but does not meet the minimum 
requirements specified in paragraph (c) of this section, the Office will 
notify the applicant of the deficiency. The deficiency may be corrected 
provided the mark has not been approved for publication. If an 
acceptable amendment to correct the deficiency is not filed prior to 
approval of the mark for publication, the amendment will not be 
examined, and the applicant must instead file a statement of use after 
the notice of allowance issues.
    (e) Notification of refusals and requirements. A timely filed 
amendment to allege use that meets the minimum requirements specified in 
paragraph (c) of this section will be examined in accordance with 
Sec. Sec.2.61 through 2.69. If, as a result of the examination of the 
amendment to allege use, the applicant is found not entitled to 
registration for any reason not previously stated, the applicant will be 
notified and advised of the reasons and of any formal requirements or 
refusals. The notification shall restate or incorporate by reference all 
unresolved refusals or requirements previously stated. The amendment to 
allege use may be amended in accordance with Sec. Sec.2.59 and 2.71 
through 2.75.
    (f) Withdrawal. An amendment to allege use may be withdrawn for any 
reason prior to approval of a mark for publication.
    (g) Verification not filed within reasonable time. If the verified 
statements in paragraphs (b)(1)(ii) and, if applicable, (b)(1)(v) of 
this section are not filed within a reasonable time after they are 
signed, the Office may require the applicant to submit substitute 
verified statements attesting that the mark is in use in commerce, and, 
if applicable, the applicant is exercising legitimate control over the 
use of the mark in commerce.
    (h) An amendment to allege use is not a response but may include 
amendments. The filing of an amendment to allege use does not constitute 
a response to any outstanding action by the examiner. See Sec.2.62. 
The amendment to allege use may include amendments in accordance with 
Sec. Sec.2.59 and 2.71 through 2.75.
    (i) If the application is amended to concurrent use under Sec.
2.73, the amendment to allege use must include a verified statement 
modified in accordance with Sec.2.33(f), Sec.2.44(d), or Sec.
2.45(d).
    (j) Multiple-class application. For the requirements of a multiple-
class application, see Sec.2.86.

[80 FR 33184, June 11, 2015]



Sec.2.77  Amendments between notice of allowance and statement of use.

    (a) The only amendments that may be entered in an application 
between the issuance of the notice of allowance and the submission of a 
statement of use are:
    (1) The deletion of specified goods or services, or the entire 
description of the nature of the collective membership organization, 
from the identification;
    (2) The deletion of a basis in a multiple-basis application; and
    (3) A change of attorney or change of address.
    (b) Other amendments may be entered during this period only with the 
express permission of the Director, after consideration on petition 
under Sec.2.146. If the Director determines that the amendment 
requires review by the examining attorney, the petition will be denied 
and the amendment may be resubmitted with the statement of use in order 
for the applicant to preserve its right to review.

[73 FR 67770, Nov. 17, 2008, as amended at 80 FR 2311, Jan. 16, 2015; 80 
FR 33185, June 11, 2015]

                    Publication and Post Publication



Sec.2.80  Publication for opposition.

    If, on examination or reexamination of an application for 
registration on the Principal Register, it appears that the applicant is 
entitled to have his mark registered, the mark will be published in the 
Official Gazette for opposition. The mark will also be published in the 
case of an application to be placed in interference or concurrent

[[Page 296]]

use proceedings, if otherwise registrable.

[41 FR 758, Jan. 5, 1976]



Sec.2.81  Post publication.

    (a) Except in an application under section 1(b) of the Act for which 
no amendment to allege use under Sec.2.76 has been submitted and 
accepted, if no opposition is filed within the time permitted or all 
oppositions filed are dismissed, and if no interference is declared and 
no concurrent use proceeding is instituted, the application will be 
prepared for issuance of the certificate of registration as provided in 
Sec.2.151.
    (b) In an application under section 1(b) of the Act for which no 
amendment to allege use under Sec.2.76 has been submitted and 
accepted, if no opposition is filed within the time permitted or all 
oppositions filed are dismissed, and if no interference is declared, a 
notice of allowance will issue. Thereafter, the applicant must submit a 
statement of use as provided in Sec.2.88.

[54 FR 37594, Sept. 11, 1989, as amended at 73 FR 67770, Nov. 17, 2008; 
80 FR 2311, Jan. 16, 2015]



Sec.2.82  Marks on Supplemental Register published only upon 
registration.

    In the case of an application for registration on the Supplemental 
Register the mark will not be published for opposition but if it 
appears, after examination or reexamination, that the applicant is 
entitled to have the mark registered, a certificate of registration will 
issue as provided in Sec.2.151. The mark will be published in the 
Official Gazette when registered.

[54 FR 37594, Sept. 11, 1989]



Sec.2.83  Conflicting marks.

    (a) Whenever an application is made for registration of a mark which 
so resembles another mark or marks pending registration as to be likely 
to cause confusion or mistake or to deceive, the mark with the earliest 
effective filing date will be published in the Official Gazette for 
opposition if eligible for the Principal Register, or issued a 
certificate of registration if eligible for the Supplemental Register.
    (b) In situations in which conflicting applications have the same 
effective filing date, the application with the earliest date of 
execution will be published in the Official Gazette for opposition or 
issued on the Supplemental Register.
    (c) Action on the conflicting application which is not published in 
the Official Gazette for opposition or not issued on the Supplemental 
Register will be suspended by the Examiner of Trademarks until the 
published or issued application is registered or abandoned.

[37 FR 2880, Feb. 9, 1972, as amended at 54 FR 37594, Sept. 11, 1989]



Sec.2.84  Jurisdiction over published applications.

    (a) The trademark examining attorney may exercise jurisdiction over 
an application up to the date the mark is published in the Official 
Gazette. After publication of an application under section 1(a), 44 or 
66(a) of the Act, the trademark examining attorney may, with the 
permission of the Director, exercise jurisdiction over the application. 
After publication of an application under section 1(b) of the Act, the 
trademark examining attorney may exercise jurisdiction over the 
application after the issuance of the notice of allowance under section 
13(b)(2) of the Act. After publication, and prior to issuance of a 
notice of allowance in an application under section 1(b), the trademark 
examining attorney may, with the permission of the Director, exercise 
jurisdiction over the application.
    (b) After publication, but before the certificate of registration is 
issued in an application under section 1(a), 44, or 66(a) of the Act, or 
before the notice of allowance is issued in an application under section 
1(b) of the Act, an application that is not the subject of an inter 
partes proceeding before the Trademark Trial and Appeal Board may be 
amended if the amendment meets the requirements of Sec. Sec.2.71, 
2.72, and 2.74. Otherwise, an amendment to such an application may be 
submitted only upon petition to the Director to restore jurisdiction 
over the application to the examining attorney for consideration of the 
amendment and further examination. The amendment of an application that 
is the subject of an

[[Page 297]]

inter partes proceeding before the Trademark Trial and Appeal Board is 
governed by Sec.2.133.

[68 FR 55765, Sept. 26, 2003, as amended at 73 FR 67770, Nov. 17, 2008; 
80 FR 2311, Jan. 16, 2015]

                             Classification



Sec.2.85  Classification schedules.

    (a) International classification system. Section 6.1 of this chapter 
sets forth the international system of classification for goods and 
services, which applies for all statutory purposes to:
    (1) Applications filed in the Office on or after September 1, 1973, 
and resulting registrations; and
    (2) Registrations resulting from applications filed on or before 
August 31, 1973, that have been amended to adopt international 
classification pursuant to Sec.2.85(e)(3).
    (b) Prior United States classification system. Section 6.2 of this 
chapter sets forth the prior United States system of classification for 
goods and services, which applies for all statutory purposes to 
registrations resulting from applications filed on or before August 31, 
1973, unless:
    (1) The registration has been amended to adopt international 
classification pursuant to Sec.2.85(e)(3); or
    (2) The registration was issued under a classification system prior 
to that set forth in Sec.6.2.
    (c) Certification marks and collective membership marks. Sections 
6.3 and 6.4 specify the system of classification which applies to 
certification marks and collective membership marks in applications 
based on sections 1 and 44 of the Act, and to registrations resulting 
from applications based on sections 1 and 44. These sections do not 
apply to applications under section 66(a) or to registered extensions of 
protection.
    (d) Section 66(a) applications and registered extensions of 
protection. In an application under section 66(a) of the Act or 
registered extension of protection, the classification cannot be changed 
from the classification assigned by the International Bureau of the 
World Intellectual Property Organization, unless the International 
Bureau corrects the classification. Classes cannot be added, and goods 
or services cannot be transferred from one class to another in a 
multiple-class application.
    (e) Changes to Nice Agreement. The international classification 
system changes periodically, pursuant to the Nice Agreement Concerning 
the International Classification of Goods and Services for the Purposes 
of the Registration of Marks. These changes are listed in the 
International Classification of Goods and Services for the Purposes of 
the Registration of Marks, which is published by the World Intellectual 
Property Organization.
    (1) If international classification changes pursuant to the Nice 
Agreement, the new classification applies only to applications filed on 
or after the effective date of the change.
    (2) In a section 1 or section 44 application filed before the 
effective date of a change to the Nice Agreement, the applicant may 
amend the application to comply with the requirements of the current 
edition. The applicant must comply with the current edition for all 
goods or services identified in the application. The applicant must pay 
the fees for any added class(es).
    (3) In a registration resulting from a section 1 or section 44 
application that was filed before the effective date of a change to the 
Nice Agreement, the owner may amend the registration to comply with the 
requirements of the current edition. The owner must reclassify all goods 
or services identified in the registration to the current edition. The 
owner must pay the fee required by Sec.2.6 for amendments under 
section 7 of the Act. The owner may reclassify registrations from 
multiple United States classes (Sec.2.85(b)) into a single 
international classification, where appropriate.
    (f) Classification schedules shall not limit or extend the 
applicant's rights, except that in a section 66(a) application, the 
scope of the identification of goods or services for purposes of 
permissible amendments (see Sec.2.71(a)) is limited by the class, 
pursuant to Sec.2.85(d).

[73 FR 67770, Nov. 17, 2008]



Sec.2.86  Multiple-class applications.

    (a) In a single application for a trademark, service mark, and/or 
collective

[[Page 298]]

mark, an applicant may apply to register the same mark for goods, 
services, and/or a collective membership organization in multiple 
classes. In a multiple-class application, the applicant must satisfy the 
following, in addition to the application requirements of Sec.2.32 for 
a trademark or service mark, and Sec.2.44 for collective marks:
    (1) For an application filed under section 1 or 44 of the Act, 
identify the goods or services in each international class and/or the 
nature of the collective membership organization in U.S. Class 200; for 
applications filed under section 66(a) of the Act, identify the goods, 
services, and/or the nature of the collective membership organization in 
each international class assigned by the International Bureau in the 
corresponding international registration;
    (2) Submit the application filing fee required by Sec.2.6 for each 
class; and
    (3) Include either dates of use and one specimen for each class 
based on section 1(a) of the Act; or a statement that the applicant has 
a bona fide intention to use the mark in commerce, for a trademark or 
service mark, or a statement that the applicant has a bona fide 
intention, and is entitled, to exercise legitimate control over the use 
of the mark in commerce, for collective marks, for each class based on 
section 1(b), 44, or 66(a) of the Act. When requested by the Office, 
additional specimens must be provided.
    (b) In a single application for a certification mark, an applicant 
may apply to register the same certification mark for goods and 
services. In such case, the applicant must satisfy the following, in 
addition to the application requirements of Sec.2.45:
    (1) For an application filed under section 1 or 44 of the Act, 
identify the goods in U.S. Class A and the services in U.S. Class B; for 
applications filed under section 66(a) of the Act, identify the goods 
and services in each international class assigned by the International 
Bureau in the corresponding international registration;
    (2) Submit the application filing fee required by Sec.2.6 for both 
classes; and
    (3) Include either dates of use and one specimen for each class 
based on section 1(a) of the Act; or a statement that the applicant has 
a bona fide intention, and is entitled, to exercise legitimate control 
over the use of the mark in commerce for each class based on section 
1(b), 44, or 66(a) of the Act. When requested by the Office, additional 
specimens must be provided.
    (c) In a single application, both section 1(a) and 1(b) of the Act 
may not be claimed for identical goods or services.
    (d) In a single application based on section 1 or 44 of the Act, 
goods or services in U.S. Classes A and/or B may not be combined with 
either goods or services in any international class or with a collective 
membership organization in U.S. Class 200; and in a single application 
based on section 66(a) of the Act, a certification mark application may 
not be combined with goods, services, or a collective membership 
organization in any international class. See Sec.2.45(f).
    (e) An amendment to allege use under Sec.2.76 or a statement of 
use under Sec.2.88 for multiple classes must include, for each class, 
the required fee, dates of use, and one specimen. When requested by the 
Office, additional specimens must be provided. The applicant may not 
file an amendment to allege use or a statement of use until the 
applicant has used the mark on or in connection with all the goods, 
services, or classes, unless the applicant also files a request to 
divide under Sec.2.87.
    (f) The Office will issue a single certificate of registration for 
the mark, unless the applicant files a request to divide under Sec.
2.87.

[80 FR 33185, June 11, 2015]



Sec.2.87  Dividing an application.

    (a) Application may be divided. An application may be divided into 
two or more separate applications upon the payment of a fee for each new 
application created and submission by the applicant of a request in 
accordance with paragraph (d) of this section.
    (b) Fee. In the case of a request to divide out one or more entire 
classes from an application, only the fee for dividing an application as 
set forth in Sec.2.6(a)(19) will be required. However, in the case of 
a request to divide out some, but not all, of the goods or services in a 
class, the applicant must submit the application filing fee as set forth 
in Sec.2.6(a)(1) for each new separate

[[Page 299]]

application to be created by the division, in addition to the fee for 
dividing an application.
    (c) Time for filing. (1) A request to divide an application may be 
filed at any time between the application filing date and the date on 
which the trademark examining attorney approves the mark for 
publication; or during an opposition, concurrent use, or interference 
proceeding, upon motion granted by the Trademark Trial and Appeal Board.
    (2) In an application under section 1(b) of the Act, a request to 
divide may also be filed with a statement of use under Sec.2.88 or at 
any time between the filing of a statement of use and the date on which 
the trademark examining attorney approves the mark for registration.
    (3) In a multiple-basis application, a request to divide out goods 
or services having a particular basis may also be filed during the 
period between the issuance of the notice of allowance under section 
13(b)(2) of the Act and the filing of a statement of use under Sec.
2.88.
    (d) Form. A request to divide an application should be made in a 
separate document from any other amendment or response in the 
application. The title ``Request to Divide Application'' should appear 
at the top of the first page of the document.
    (e) Outstanding time periods apply to newly created applications. 
Any time period for action by the applicant which is outstanding in the 
original application at the time of the division will apply to each 
separate new application created by the division, except as follows:
    (1) If an Office action pertaining to less than all the classes in a 
multiple-class application is outstanding, and the applicant files a 
request to divide out the goods, services, and/or class(es) to which the 
Office action does not pertain before the response deadline, a response 
to the Office action is not due in the new (child) application(s) 
created by the division of the application;
    (2) If an Office action pertaining to less than all the bases in a 
multiple-basis application is outstanding, and the applicant files a 
request to divide out the goods/services having the basis or bases to 
which the Office action does not pertain before the response deadline, a 
response to the Office action is not due in the new (child) 
application(s) created by the division of the application; or
    (3) In a multiple-basis application in which a notice of allowance 
has issued, if the applicant files a request to divide out the goods/
services having the basis or bases to which the notice of allowance does 
not pertain before the deadline for filing the statement of use, the new 
(child) applications created by the division are not affected by the 
notice of allowance.
    (f) Signature. The request to divide must be signed by the 
applicant, someone with legal authority to bind the applicant (e.g., a 
corporate officer or general partner of a partnership), or a 
practitioner who meets the requirements of Sec.11.14, in accordance 
with the requirements of Sec.2.193(e)(2).
    (g) Section 66(a) applications--change of ownership with respect to 
some but not all of the goods or services. (1) When the International 
Bureau of the World Intellectual Property Organization notifies the 
Office that an international registration has been divided as the result 
of a change of ownership with respect to some but not all of the goods 
or services, the Office will construe the International Bureau's notice 
as a request to divide. The Office will record the partial change of 
ownership in the Assignment Services Branch, and divide out the assigned 
goods/services from the original (parent) application. The Office will 
create a new (child) application serial number, and enter the 
information about the new application in its automated records.
    (2) To obtain a certificate of registration in the name of the new 
owner for the goods/services that have been divided out, the new owner 
must pay the fee(s) for the request to divide, as required by Sec.2.6 
and paragraph (b) of this section. The examining attorney will issue an 
Office action in the child application requiring the new owner to pay 
the required fee(s). If the owner of the child application fails to 
respond, the child application will be abandoned. It is not necessary 
for the new owner to file a separate request to divide.

[[Page 300]]

    (3) The Office will not divide a section 66(a) application based 
upon a change of ownership unless the International Bureau notifies the 
Office that the international registration has been divided.

[73 FR 67771, Nov. 17, 2008, as amended at 74 FR 54908, Oct. 26, 2009]

                        Post Notice of Allowance



Sec.2.88  Statement of use after notice of allowance.

    (a) When to file a statement of use. (1) In an application under 
section 1(b) of the Act, a statement of use, required under section 1(d) 
of the Act, must be filed within six months after issuance of a notice 
of allowance under section 13(b)(2) of the Act, or within an extension 
of time granted under Sec.2.89. A statement of use filed prior to 
issuance of a notice of allowance is premature and will not be reviewed.
    (2)(i) For a trademark, service mark, collective trademark, 
collective service mark, and certification mark, a statement of use may 
be filed only when the mark has been in use in commerce on or in 
connection with all the goods or services specified in the notice of 
allowance for which the applicant will seek registration in that 
application. For a collective membership mark, a statement of use may be 
filed only when the mark has been in use in commerce to indicate 
membership in the collective membership organization specified in the 
notice of allowance for which the applicant will seek registration in 
that application.
    (ii) A statement of use may be accompanied by a request in 
accordance with Sec.2.87 to divide out from the application the goods, 
services, or classes not yet in use in commerce.
    (b) A complete statement of use. A complete statement of use must 
include the following:
    (1) A verified statement alleging:
    (i) The applicant believes the applicant is the owner of the mark;
    (ii) The mark is in use in commerce;
    (iii) The date of first use of the mark anywhere on or in connection 
with the goods, services, and/or to indicate membership in the 
collective organization specified in the application, and the date of 
first use of the mark in commerce. If the statement of use specifies 
more than one item of goods or services in a class, the dates of use are 
required for only one item of goods or services specified in that class;
    (iv) The goods, services, and/or nature of the collective membership 
organization specified in the notice of allowance. The goods or services 
specified in a statement of use must conform to those goods or services 
specified in the notice of allowance for trademark, service mark, 
collective trademark, collective service mark, or certification mark 
applications. Any goods or services specified in the notice of allowance 
that are omitted from the identification of goods or services in the 
statement of use will be presumed to be deleted and the deleted goods or 
services may not be reinserted in the application. For collective 
membership mark applications, the description of the nature of the 
collective membership organization in the statement of use must conform 
to that specified in the notice of allowance; and
    (v) For a collective mark and certification mark, the applicant is 
exercising legitimate control over the use in commerce of the mark;
    (2) One specimen showing how the applicant, member, or authorized 
user uses the mark in commerce. See Sec.2.56 for the requirements for 
specimens;
    (3) Fee(s). The fee required by Sec.2.6 per class. The applicant 
must pay a filing fee sufficient to cover at least one class within the 
statutory time for filing the statement of use, or the application will 
be abandoned. If the applicant submits a fee insufficient to cover all 
the classes in a multiple-class application, the applicant should 
specify the classes to be abandoned. If the applicant timely submits a 
fee sufficient to pay for at least one class, but insufficient to cover 
all the classes, and the applicant has not specified the class(es) to be 
abandoned, the Office will issue a notice granting the applicant 
additional time to submit the fee(s) for the remaining class(es) or to 
specify the class(es) to be abandoned. If the applicant does not submit 
the required fee(s) or specify the class(es) to be abandoned within the 
set time period, the Office will apply the fees paid, beginning with the 
lowest numbered

[[Page 301]]

class, in ascending order. The Office will delete the class(es) not 
covered by the fees submitted;
    (4) For a collective mark, the requirements of Sec.
2.44(a)(4)(i)(A);
    (5) For a certification mark, the requirements of Sec.
2.45(a)(4)(i)(A) through (C); and
    (6) The title ``Statement of Use'' should appear at the top of the 
first page of the document, if not filed through TEAS.
    (c) Minimum filing requirements for a timely filed statement of use. 
The Office will review a timely filed statement of use to determine 
whether it meets the following minimum requirements:
    (1) The fee required by Sec.2.6 for at least one class;
    (2) One specimen of the mark as used in commerce; and
    (3) The verified statement in paragraph (b)(1)(ii) of this section. 
If this verified statement is unsigned or signed by the wrong party, the 
applicant must submit a substitute verified statement on or before the 
statutory deadline for filing the statement of use.
    (d) Deficiency notification. If the statement of use is filed within 
the permitted time period but does not meet the minimum requirements 
specified in paragraph (c) of this section, the Office will notify the 
applicant of the deficiency. If the time permitted for the applicant to 
file a statement of use has not expired, the applicant may correct the 
deficiency.
    (e) Notification of refusals and requirements. A timely filed 
statement of use that meets the minimum requirements specified in 
paragraph (c) of this section will be examined in accordance with 
Sec. Sec.2.61 through 2.69. If, as a result of the examination of the 
statement of use, the applicant is found not entitled to registration, 
the applicant will be notified and advised of the reasons and of any 
formal requirements or refusals. The statement of use may be amended in 
accordance with Sec. Sec.2.59 and 2.71 through 2.75.
    (f) Statement of use may not be withdrawn. The applicant may not 
withdraw a timely filed statement of use to return to the previous 
status of awaiting submission of a statement of use, regardless of 
whether it is in compliance with paragraph (c) of this section.
    (g) Verification not filed within reasonable time. If the verified 
statements in paragraphs (b)(1)(ii) and, if applicable, (b)(1)(v) of 
this section are not filed within a reasonable time after they are 
signed, the Office may require the applicant to submit substitute 
verified statements attesting that the mark is in use in commerce, and, 
if applicable, the applicant is exercising legitimate control over the 
use of the mark in commerce.
    (h) Amending the application. The statement of use may include 
amendments in accordance with Sec. Sec.2.51, 2.59, and 2.71 through 
2.75.
    (i) Concurrent use. If the application is amended to concurrent use 
under Sec.2.73, the statement of use must include a verified statement 
modified in accordance with Sec.2.33(f), Sec.2.44(d), or Sec.
2.45(d).
    (j) Multiple-class application. For the requirements of a multiple-
class application, see Sec.2.86.
    (k) Abandonment. The failure to timely file a statement of use which 
meets the minimum requirements specified in paragraph (c) of this 
section shall result in the abandonment of the application.

[80 FR 33185, June 11, 2015]



Sec.2.89  Extensions of time for filing a statement of use.

    (a) First extension request after issuance of notice of allowance. 
The applicant may request a six-month extension of time to file the 
statement of use required by Sec.2.88. The extension request must be 
filed within six months of the date of issuance of the notice of 
allowance under section 13(b)(2) of the Act and must include the 
following:
    (1) A written request for an extension of time to file the statement 
of use;
    (2) The fee required by Sec.2.6 per class. The applicant must pay 
a filing fee sufficient to cover at least one class within the statutory 
time for filing the extension request, or the request will be denied. If 
the applicant submits a fee insufficient to cover all the classes in a 
multiple-class application, the applicant should specify the classes to 
be abandoned. If the applicant timely submits a fee sufficient to pay 
for at least

[[Page 302]]

one class, but insufficient to cover all the classes, and the applicant 
has not specified the class(es) to be abandoned, the Office will issue a 
notice granting the applicant additional time to submit the fee(s) for 
the remaining classes, or specify the class(es) to be abandoned. If the 
applicant does not submit the required fee(s) or specify the class(es) 
to be abandoned within the set time period, the Office will apply the 
fees paid, beginning with the lowest numbered class, in ascending order. 
The Office will delete the class(es) not covered by the fees submitted; 
and
    (3) A verified statement that the applicant has a continued bona 
fide intention to use the mark in commerce, specifying the relevant 
goods or services, for trademarks or service marks; or that the 
applicant has a continued bona fide intention, and is entitled, to 
exercise legitimate control over the use of the mark in commerce, 
specifying the relevant goods, services, or collective membership 
organization, for collective marks or certification marks. If this 
verified statement is unsigned or signed by the wrong party, the 
applicant must submit a substitute verified statement within six months 
of the date of issuance of the notice of allowance.
    (b) Subsequent extension requests. Before the expiration of the 
previously granted extension of time, the applicant may request further 
six-month extensions of time to file the statement of use by submitting 
the following:
    (1) A written request for an extension of time to file the statement 
of use;
    (2) The requirements of paragraph (a)(2) of this section for a fee;
    (3) A verified statement that the applicant has a continued bona 
fide intention to use the mark in commerce, specifying the relevant 
goods or services, for trademarks or service marks; or that the 
applicant has a continued bona fide intention, and is entitled, to 
exercise legitimate control over the use of the mark in commerce, 
specifying the relevant goods, services, or collective membership 
organization, for collective marks or certification marks. If this 
verified statement is unsigned or signed by the wrong party, the 
applicant must submit a substitute verified statement before the 
expiration of the previously granted extension; and
    (4) A showing of good cause, as specified in paragraph (d) of this 
section.
    (c) Four subsequent extension requests permitted. Extension requests 
specified in paragraph (b) of this section will be granted only in six-
month increments and may not aggregate more than 24 months total.
    (d) Good cause. A showing of good cause must include:
    (1) For a trademark or service mark, a statement of the applicant's 
ongoing efforts to make use of the mark in commerce on or in connection 
with each of the relevant goods or services. Those efforts may include 
product or service research or development, market research, 
manufacturing activities, promotional activities, steps to acquire 
distributors, steps to obtain governmental approval, or other similar 
activities. In the alternative, the applicant must submit a satisfactory 
explanation for the failure to make efforts to use the mark in commerce.
    (2) For a collective mark, a statement of ongoing efforts to make 
use of the mark in commerce by members on or in connection with each of 
the relevant goods or services or in connection with the applicant's 
collective membership organization. Those efforts may include the 
development of standards, the steps taken to acquire members such as 
marketing and promotional activities targeted to potential members, 
training members regarding the standards, or other similar activities. 
In the alternative, the applicant must submit a satisfactory explanation 
for the failure to make efforts for applicant's members to use the mark 
in commerce.
    (3) For a certification mark, a statement of ongoing efforts to make 
use of the mark in commerce by authorized users on or in connection with 
each of the relevant goods or services. Those efforts may include the 
development of certification standards, steps taken to obtain 
governmental approval or acquire authorized users, marketing and 
promoting the recognition of the certification program or of the goods 
or services that meet the certification standards of the applicant, 
training authorized users regarding the standards,

[[Page 303]]

or other similar activities. In the alternative, the applicant must 
submit a satisfactory explanation for the failure to make efforts for 
applicant's authorized users to use the mark in commerce.
    (e) Extension request filed in conjunction with or after a statement 
of use. (1) An applicant may file one request for a six-month extension 
of time for filing a statement of use when filing a statement of use or 
after filing a statement of use if time remains in the existing six-
month period in which the statement of use was filed, provided that the 
time requested would not extend beyond 36 months from the date of 
issuance of the notice of allowance. Thereafter, applicant may not 
request any further extensions of time.
    (2) A request for an extension of time that is filed under paragraph 
(e)(1) of this section, must comply with all the requirements of 
paragraph (a) of this section, if it is an applicant's first extension 
request, or paragraph (b) of this section, if it is a second or 
subsequent extension request. However, in a request under paragraph (b) 
of this section, an applicant may satisfy the requirement for a showing 
of good cause by asserting the applicant believes the applicant has made 
valid use of the mark in commerce, as evidenced by the submitted 
statement of use, but that if the statement of use is found by the 
Office to be fatally defective, the applicant will need additional time 
in which to file a new statement of use.
    (f) Goods or services. For trademark, service mark, collective 
trademark, collective service mark, or certification mark applications, 
the goods or services specified in a request for an extension of time 
for filing a statement of use must conform to those goods or services 
specified in the notice of allowance. Any goods or services specified in 
the notice of allowance that are omitted from the identification of 
goods or services in the request for extension of time will be presumed 
to be deleted and the deleted goods or services may not thereafter be 
reinserted in the application. For collective membership mark 
applications, the description of the nature of the collective membership 
organization in the request for extension of time must conform to that 
set forth in the notice of allowance.
    (g) Notice of grant or denial. The applicant will be notified of the 
grant or denial of a request for an extension of time, and of the 
reasons for a denial. Failure to notify the applicant of the grant or 
denial of the request prior to the expiration of the existing period or 
requested extension does not relieve the applicant of the responsibility 
of timely filing a statement of use under Sec.2.88. If, after denial 
of an extension request, there is time remaining in the existing six-
month period for filing a statement of use, applicant may submit a 
substitute request for extension of time to correct the defects of the 
prior request. Otherwise, the only recourse available after denial of a 
request for an extension of time is to file a petition to the Director 
in accordance with Sec.2.66 or Sec.2.146. A petition from the denial 
of an extension request must be filed within two months of the date of 
issuance of the denial of the request. If the petition is granted, the 
term of the requested six-month extension that was the subject of the 
petition will run from the date of expiration of the previously existing 
six-month period for filing a statement of use.
    (h) Verification not filed within reasonable time. If the verified 
statement in paragraph (a)(3) or (b)(3) of this section is not filed 
within a reasonable time after it is signed, the Office may require the 
applicant to submit a substitute verified statement attesting that the 
applicant has a continued bona fide intention to use the mark in 
commerce, for trademarks or service marks; or that the applicant has a 
continued bona fide intention, and is entitled, to exercise legitimate 
control over the use of the mark in commerce, for collective marks or 
certification marks.

[80 FR 33186, June 11, 2015]

[[Page 304]]

                       Concurrent Use Proceedings



Sec. Sec.2.91-2.98  [Reserved]



Sec.2.99  Application to register as concurrent user.

    (a) An application for registration as a lawful concurrent user will 
be examined in the same manner as other applications for registration.
    (b) If it appears that the applicant is entitled to have the mark 
registered, subject to a concurrent use proceeding, the mark will be 
published in the Official Gazette as provided by Sec.2.80.
    (c) If no opposition is filed, or if all oppositions that are filed 
are dismissed or withdrawn, the Trademark Trial and Appeal Board will 
send a notice of institution to the applicant for concurrent use 
registration (plaintiff) and to each applicant, registrant or user 
specified as a concurrent user in the application (defendants). The 
notice for each defendant shall state the name and address of the 
plaintiff and of the plaintiff's attorney or other authorized 
representative, if any, together with the serial number and filing date 
of the application. If a party has provided the Office with an email 
address, the notice may be transmitted via email.
    (d)(1) The Board's notice of institution will include a web link or 
web address to access the concurrent use application proceeding 
contained in Office records.
    (2) An answer to the notice is not required in the case of an 
applicant or registrant whose application or registration is 
acknowledged by the concurrent use applicant in the concurrent use 
application, but a statement, if desired, may be filed within forty days 
after the issuance of the notice; in the case of any other party 
specified as a concurrent user in the application, an answer must be 
filed within forty days after the issuance of the notice.
    (3) If an answer, when required, is not filed, judgment will be 
entered precluding the defaulting user from claiming any right more 
extensive than that acknowledged in the application(s) for concurrent 
use registration, but the burden of proving entitlement to 
registration(s) will remain with the concurrent use applicant(s).
    (e) The applicant for a concurrent use registration has the burden 
of proving entitlement thereto. If there are two or more applications 
for concurrent use registration involved in a proceeding, the party 
whose application has the latest filing date is the junior party. A 
party whose application has a filing date between the filing dates of 
the earliest involved application and the latest involved application is 
a junior party to every party whose involved application has an earlier 
filing date. If any applications have the same filing date, the 
application with the latest date of execution will be deemed to have the 
latest filing date and that applicant will be the junior party. A person 
specified as an excepted user in a concurrent use application but who 
has not filed an application shall be considered a party senior to every 
party that has an application involved in the proceeding.
    (f) When a concurrent use registration is sought on the basis that a 
court of competent jurisdiction has finally determined that the parties 
are entitled to use the same or similar marks in commerce, a concurrent 
use registration proceeding will not be instituted if all of the 
following conditions are fulfilled:
    (1) The applicant is entitled to registration subject only to the 
concurrent lawful use of a party to the court proceeding; and
    (2) The court decree specifies the rights of the parties; and
    (3) A true copy of the court decree is submitted to the examining 
attorney; and
    (4) The concurrent use application complies fully and exactly with 
the court decree; and
    (5) The excepted use specified in the concurrent use application 
does not involve a registration, or any involved registration has been 
restricted by the Director in accordance with the court decree.

If any of the conditions specified in this paragraph is not satisfied, a 
concurrent use registration proceeding shall be prepared and instituted 
as provided in paragraphs (a) through (e) of this section.
    (g) Registrations and applications to register on the Supplemental 
Register

[[Page 305]]

and registrations under the Act of 1920 are not subject to concurrent 
use registration proceedings. Applications under section 1(b) of the Act 
of 1946 are subject to concurrent use registration proceedings only 
after the applicant files an acceptable allegation of use under Sec.
2.76 or Sec.2.88. Applications based solely on section 44 or section 
66(a) of the Act are not subject to concurrent use registration 
proceedings.
    (h) The Trademark Trial and Appeal Board will consider and determine 
concurrent use rights only in the context of a concurrent use 
registration proceeding.

[48 FR 23135, May 23, 1983; 48 FR 27225, 27226, June 14, 1983, as 
amended at 54 FR 37596, Sept. 11, 1989; 72 FR 42258, Aug. 1, 2007; 73 FR 
67772, Nov. 17, 2008; 81 FR 69971, Oct. 7, 2016]

                               Opposition

    Authority: Secs. 2.101 to 2.106 also issued under secs. 13, 17, 60 
Stat. 433, 434; 15 U.S.C. 1063, 1067.



Sec.2.101  Filing an opposition.

    (a) An opposition proceeding is commenced by filing in the Office a 
timely notice of opposition with the required fee.
    (b) Any person who believes that he, she or it would be damaged by 
the registration of a mark on the Principal Register may file an 
opposition addressed to the Trademark Trial and Appeal Board. The 
opposition need not be verified, but must be signed by the opposer or 
the opposer's attorney, as specified in Sec.11.1 of this chapter, or 
other authorized representative, as specified in Sec.11.14(b) of this 
chapter. Electronic signatures pursuant to Sec.2.193(c) are required 
for oppositions filed through ESTTA under paragraph (b)(1) or (2) of 
this section.
    (1) An opposition to an application must be filed by the due date 
set forth in paragraph (c) of this section through ESTTA.
    (2) In the event that ESTTA is unavailable due to technical 
problems, or when extraordinary circumstances are present, an opposition 
against an application based on Section 1 or 44 of the Act may be filed 
in paper form. A paper opposition to an application based on Section 1 
or 44 of the Act must be filed by the due date set forth in paragraph 
(c) of this section and be accompanied by a Petition to the Director 
under Sec.2.146, with the fees therefor and the showing required under 
this paragraph. Timeliness of the paper submission will be determined in 
accordance with Sec. Sec.2.195 through 2.198.
    (3) An opposition to an application based on Section 66(a) of the 
Act must be filed through ESTTA and may not under any circumstances be 
filed in paper form.
    (c) The opposition must be filed within thirty days after 
publication (Sec.2.80) of the application being opposed or within an 
extension of time (Sec.2.102) for filing an opposition. The opposition 
must be accompanied by the required fee for each party joined as opposer 
for each class in the application for which registration is opposed (see 
Sec.2.6).
    (d) An otherwise timely opposition cannot be filed via ESTTA unless 
the opposition is accompanied by a fee that is sufficient to pay in full 
for each named party opposer to oppose the registration of a mark in 
each class specified in the opposition. A paper opposition that is not 
accompanied by the required fee sufficient to pay in full for each named 
party opposer for each class in the application for which registration 
is opposed may not be instituted. If time remains in the opposition 
period as originally set or as extended by the Board, the potential 
opposer may resubmit the opposition with the required fee.
    (e) The filing date of an opposition is the date of electronic 
receipt in the Office of the notice of opposition, and required fee. In 
the rare instances that filing by paper is permitted under these rules, 
the filing date will be determined in accordance with Sec. Sec.2.195 
through 2.198.

[81 FR 69971, Oct. 7, 2016]



Sec.2.102  Extension of time for filing an opposition.

    (a) Any person who believes that he, she or it would be damaged by 
the registration of a mark on the Principal Register may file a request 
with the Trademark Trial and Appeal Board to extend the time for filing 
an opposition. The request need not be verified,

[[Page 306]]

but must be signed by the potential opposer or by the potential 
opposer's attorney, as specified in Sec.11.1 of this chapter, or 
authorized representative, as specified in Sec.11.14(b) of this 
chapter. Electronic signatures pursuant to Sec.2.193(c) are required 
for electronically filed extension requests.
    (1) A request to extend the time for filing an opposition to an 
application must be filed through ESTTA by the opposition due date set 
forth in Sec.2.101(c). In the event that ESTTA is unavailable due to 
technical problems, or when extraordinary circumstances are present, a 
request to extend the opposition period for an application based on 
Section 1 or 44 of the Act may be filed in paper form by the opposition 
due date set forth in Sec.2.101(c). A request to extend the opposition 
period for an application based on Section 66(a) of the Act must be 
filed through ESTTA and may not under any circumstances be filed in 
paper form.
    (2) A paper request to extend the opposition period for an 
application based on Section 1 or 44 of the Act must be filed by the due 
date set forth in Sec.2.101(c) and be accompanied by a Petition to the 
Director under Sec.2.146, with the fees therefor and the showing 
required under paragraph (a)(1) of this section. Timeliness of the paper 
submission will be determined in accordance with Sec. Sec.2.195 
through 2.198.
    (b) A request to extend the time for filing an opposition must 
identify the potential opposer with reasonable certainty. Any opposition 
filed during an extension of time must be in the name of the person to 
whom the extension was granted, except that an opposition may be 
accepted if the person in whose name the extension was requested was 
misidentified through mistake or if the opposition is filed in the name 
of a person in privity with the person who requested and was granted the 
extension of time.
    (c) The time for filing an opposition shall not be extended beyond 
180 days from the date of publication. Any request to extend the time 
for filing an opposition must be filed before thirty days have expired 
from the date of publication or before the expiration of a previously 
granted extension of time, as appropriate. Requests to extend the time 
for filing an opposition must be filed as follows:
    (1) A person may file a first request for:
    (i) Either a thirty-day extension of time, which will be granted 
upon request; or
    (ii) A ninety-day extension of time, which will be granted only for 
good cause shown. A sixty-day extension is not available as a first 
extension of time to oppose.
    (2) If a person was granted an initial thirty-day extension of time, 
that person may file a request for an additional sixty-day extension of 
time, which will be granted only for good cause shown.
    (3) After receiving one or two extensions of time totaling ninety 
days, a person may file one final request for an extension of time for 
an additional sixty days. No other time period will be allowed for a 
final extension of the opposition period. The Board will grant this 
request only upon written consent or stipulation signed by the applicant 
or its authorized representative, or a written request by the potential 
opposer or its authorized representative stating that the applicant or 
its authorized representative has consented to the request, or a showing 
of extraordinary circumstances. No further extensions of time to file an 
opposition will be granted under any circumstances.
    (d) The filing date of a request to extend the time for filing an 
opposition is the date of electronic receipt in the Office of the 
request. In the rare instance that filing by paper is permitted under 
these rules, the filing date will be determined in accordance with 
Sec. Sec.2.195 through 2.198.
    (e) [Reserved]

[68 FR 55765, Sept. 26, 2003, as amended at 73 FR 47685, Aug. 14, 2008; 
74 FR 54909, Oct. 26, 2009; 81 FR 69972, Oct. 7, 2016]



Sec.2.103  [Reserved]



Sec.2.104  Contents of opposition.

    (a) The opposition must set forth a short and plain statement 
showing why the opposer believes he, she or it would be damaged by the 
registration of the opposed mark and state the grounds for

[[Page 307]]

opposition. ESTTA requires the opposer to select relevant grounds for 
opposition. The required accompanying statement supports and explains 
the grounds.
    (b) Oppositions to different applications owned by the same party 
may be joined in a consolidated opposition when appropriate, but the 
required fee must be included for each party joined as opposer for each 
class in which registration is opposed in each application against which 
the opposition is filed.
    (c) Oppositions to applications filed under Section 66(a) of the Act 
are limited to the goods, services and grounds set forth in the ESTTA 
cover sheet.

[54 FR 34897, Aug. 22, 1989, as amended at 68 FR 55766, Sept. 26, 2003; 
81 FR 69972, Oct. 7, 2016]



Sec.2.105  Notification to parties of opposition proceeding(s).

    (a) When an opposition in proper form (see Sec. Sec.2.101 and 
2.104) has been filed with the correct fee(s), and the opposition has 
been determined to be timely and complete, the Trademark Trial and 
Appeal Board shall prepare a notice of institution, which shall identify 
the proceeding as an opposition, number of the proceeding, and the 
application(s) involved; and the notice shall designate a time, not less 
than thirty days from the mailing date of the notice, within which an 
answer must be filed. The notice, which will include a Web link or Web 
address to access the electronic proceeding record, constitutes service 
of the notice of opposition to the applicant.
    (b) The Board shall forward a copy of the notice to opposer, as 
follows:
    (1) If the opposition is transmitted by an attorney, or a written 
power of attorney is filed, the Board will send the notice to the 
attorney transmitting the opposition or to the attorney designated in 
the power of attorney, provided that the person is an ``attorney'' as 
defined in Sec.11.1 of this chapter, at the email or correspondence 
address for the attorney.
    (2) If opposer is not represented by an attorney in the opposition, 
but opposer has appointed a domestic representative, the Board will send 
the notice to the domestic representative, at the email or 
correspondence address of record for the domestic representative, unless 
opposer designates in writing another correspondence address.
    (3) If opposer is not represented by an attorney in the opposition, 
and no domestic representative has been appointed, the Board will send 
the notice directly to opposer at the email or correspondence address of 
record for opposer, unless opposer designates in writing another 
correspondence address.
    (c) The Board shall forward a copy of the notice to applicant, as 
follows:
    (1) If the opposed application contains a clear indication that the 
application is being prosecuted by an attorney, as defined in Sec.11.1 
of this chapter, the Board shall send the notice described in this 
section to applicant's attorney at the email or correspondence address 
of record for the attorney.
    (2) If the opposed application is not being prosecuted by an 
attorney but a domestic representative has been appointed, the Board 
will send the notice described in this section to the domestic 
representative, at the email or correspondence address of record for the 
domestic representative, unless applicant designates in writing another 
correspondence address.
    (3) If the opposed application is not being prosecuted by an 
attorney, and no domestic representative has been appointed, the Board 
will send the notice described in this section directly to applicant, at 
the email or correspondence address of record for the applicant, unless 
applicant designates in writing another correspondence address.

[81 FR 69972, Oct. 7, 2016]



Sec.2.106  Answer.

    (a) If no answer is filed within the time initially set, or as may 
later be reset by the Board, the opposition may be decided as in case of 
default. The failure to file a timely answer tolls all deadlines, 
including the discovery conference, until the issue of default is 
resolved.
    (b)(1) An answer must be filed through ESTTA. In the event that 
ESTTA is unavailable due to technical problems, or when extraordinary 
circumstances are present, an answer may be filed in paper form. An 
answer filed

[[Page 308]]

in paper form must be accompanied by a Petition to the Director under 
Sec.2.146, with the fees therefor and the showing required under this 
paragraph (b).
    (2) An answer shall state in short and plain terms the applicant's 
defenses to each claim asserted and shall admit or deny the averments 
upon which the opposer relies. If the applicant is without knowledge or 
information sufficient to form a belief as to the truth of an averment, 
applicant shall so state and this will have the effect of a denial. 
Denials may take any of the forms specified in Rule 8(b) of the Federal 
Rules of Civil Procedure. An answer may contain any defense, including 
the affirmative defenses of unclean hands, laches, estoppel, 
acquiescence, fraud, mistake, prior judgment, or any other matter 
constituting an avoidance or affirmative defense. When pleading special 
matters, the Federal Rules of Civil Procedure shall be followed. A reply 
to an affirmative defense shall not be filed. When a defense attacks the 
validity of a registration pleaded in the opposition, paragraph (b)(3) 
of this section shall govern. A pleaded registration is a registration 
identified by number by the party in the position of plaintiff in an 
original notice of opposition or in any amendment thereto made under 
Rule 15 of the Federal Rules of Civil Procedure.
    (3)(i) A defense attacking the validity of any one or more of the 
registrations pleaded in the opposition shall be a compulsory 
counterclaim if grounds for such counterclaim exist at the time when the 
answer is filed. If grounds for a counterclaim are known to the 
applicant when the answer to the opposition is filed, the counterclaim 
shall be pleaded with or as part of the answer. If grounds for a 
counterclaim are learned during the course of the opposition proceeding, 
the counterclaim shall be pleaded promptly after the grounds therefor 
are learned. A counterclaim need not be filed if the claim is the 
subject of another proceeding between the same parties or anyone in 
privity therewith; but the applicant must promptly inform the Board, in 
the context of the opposition proceeding, of the filing of the other 
proceeding.
    (ii) An attack on the validity of a registration pleaded by an 
opposer will not be heard unless a counterclaim or separate petition is 
filed to seek the cancellation of such registration.
    (iii) The provisions of Sec. Sec.2.111 through 2.115, inclusive, 
shall be applicable to counterclaims. A time, not less than thirty days, 
will be designated by the Board within which an answer to the 
counterclaim must be filed.
    (iv) The times for pleading, discovery, testimony, briefs or oral 
argument may be reset or extended when necessary, upon motion by a 
party, or as the Board may deem necessary, to enable a party fully to 
present or meet a counterclaim or separate petition for cancellation of 
a registration.
    (c) The opposition may be withdrawn without prejudice before the 
answer is filed. After the answer is filed, the opposition may not be 
withdrawn without prejudice except with the written consent of the 
applicant or the applicant's attorney or other authorized 
representative.

[30 FR 13193, Oct. 16, 1965, as amended at 46 FR 6940, Jan. 22, 1981; 48 
FR 23136, May 23, 1983; 54 FR 34897, Aug. 22, 1989; 81 FR 69973, Oct. 7, 
2016]



Sec.2.107  Amendment of pleadings in an opposition proceeding.

    (a) Pleadings in an opposition proceeding against an application 
filed under section 1 or 44 of the Act may be amended in the same manner 
and to the same extent as in a civil action in a United States district 
court, except that, after the close of the time period for filing an 
opposition including any extension of time for filing an opposition, an 
opposition may not be amended to add to the goods or services opposed, 
or to add a joint opposer.
    (b) Pleadings in an opposition proceeding against an application 
filed under section 66(a) of the Act may be amended in the same manner 
and to the same extent as in a civil action in a United States district 
court, except that, once filed, the opposition may not be amended to add 
grounds for opposition or goods or services beyond those identified in 
the notice of opposition, or to add a joint opposer. The grounds for 
opposition, the goods or services opposed, and the named opposers are 
limited to those identified in the ESTTA cover sheet regardless of

[[Page 309]]

what is contained in any attached statement.

[81 FR 69973, Oct. 7, 2016]

                              Cancellation

    Authority: Secs. 2.111 to 2.114 also issued under secs. 14, 17, 24, 
60 Stat. 433, 434, 436; 15 U.S.C. 1064, 1067, 1092.



Sec.2.111  Filing petition for cancellation.

    (a) A cancellation proceeding is commenced by filing in the Office a 
timely petition for cancellation with the required fee.
    (b) Any person who believes that he, she or it is or will be damaged 
by a registration may file a petition, addressed to the Trademark Trial 
and Appeal Board, for cancellation of the registration in whole or in 
part. The petition for cancellation need not be verified, but must be 
signed by the petitioner or the petitioner's attorney, as specified in 
Sec.11.1 of this chapter, or other authorized representative, as 
specified in Sec.11.14(b) of this chapter. Electronic signatures 
pursuant to Sec.2.193(c) are required for petitions submitted 
electronically via ESTTA. The petition for cancellation may be filed at 
any time in the case of registrations on the Supplemental Register or 
under the Act of 1920, or registrations under the Act of 1881 or the Act 
of 1905 which have not been published under section 12(c) of the Act, or 
on any ground specified in section 14(3) or (5) of the Act. In all other 
cases, the petition for cancellation and the required fee must be filed 
within five years from the date of registration of the mark under the 
Act or from the date of publication under section 12(c) of the Act.
    (c)(1) A petition to cancel a registration must be filed through 
ESTTA.
    (2)(i) In the event that ESTTA is unavailable due to technical 
problems, or when extraordinary circumstances are present, a petition to 
cancel may be filed in paper form. A paper petition to cancel a 
registration must be accompanied by a Petition to the Director under 
Sec.2.146, with the fees therefor and the showing required under this 
paragraph (c). Timeliness of the paper submission, if relevant to a 
ground asserted in the petition to cancel, will be determined in 
accordance with Sec. Sec.2.195 through 2.198.
    (ii) For a petition to cancel a registration on the fifth year 
anniversary of the date of registration of the mark, a petitioner for 
cancellation who meets the requirements of Sec.2.147(b) may submit a 
petition to the Director to accept a timely filed paper petition to 
cancel.
    (d) The petition for cancellation must be accompanied by the 
required fee for each party joined as petitioner for each class in the 
registration(s) for which cancellation is sought (see Sec.2.6). A 
petition cannot be filed via ESTTA unless the petition is accompanied by 
a fee that is sufficient to pay in full for each named petitioner to 
seek cancellation of the registration(s) in each class specified in the 
petition. A petition filed in paper form that is not accompanied by a 
fee sufficient to pay in full for each named petitioner for each class 
in the registration(s) for which cancellation is sought may not be 
instituted.
    (e) The filing date of a petition for cancellation is the date of 
electronic receipt in the Office of the petition and required fee. In 
the rare instances that filing by paper is permitted under these rules, 
the filing date of a petition for cancellation will be determined in 
accordance with Sec. Sec.2.195 through 2.198.

[81 FR 69973, Oct. 7, 2016, as amended at 84 FR 37095, July 31, 2019]



Sec.2.112  Contents of petition for cancellation.

    (a) The petition for cancellation must set forth a short and plain 
statement showing why the petitioner believes he, she or it is or will 
be damaged by the registration, state the ground for cancellation, and 
indicate, to the best of petitioner's knowledge, the name and address, 
and a current email address(es), of the current owner of the 
registration. ESTTA requires the petitioner to select relevant grounds 
for petition to cancel. The required accompanying statement supports and 
explains the grounds.
    (b) When appropriate, petitions for cancellation of different 
registrations owned by the same party may be joined in a consolidated 
petition for cancellation. The required fee must be included for each 
party joined as a petitioner for

[[Page 310]]

each class sought to be cancelled in each registration against which the 
petition for cancellation has been filed.

[81 FR 69974, Oct. 7, 2016]



Sec.2.113  Notification of cancellation proceeding.

    (a) When a petition for cancellation in proper form (see Sec. Sec.
2.111 and 2.112) has been filed and the correct fee has been submitted, 
the Trademark Trial and Appeal Board shall prepare a notice of 
institution which shall identify the proceeding as a cancellation, 
number of the proceeding and the registration(s) involved; and shall 
designate a time, not less than thirty days from the mailing date of the 
notice, within which an answer must be filed. The notice, which will 
include a Web link or Web address to access the electronic proceeding 
record, constitutes service to the registrant of the petition to cancel.
    (b) The Board shall forward a copy of the notice to petitioner, as 
follows:
    (1) If the petition for cancellation is transmitted by an attorney, 
or a written power of attorney is filed, the Board will send the notice 
to the attorney transmitting the petition for cancellation or to the 
attorney designated in the power of attorney, provided that person is an 
``attorney'' as defined in Sec.11.1 of this chapter, to the attorney's 
email or correspondence address of record for the attorney.
    (2) If petitioner is not represented by an attorney in the 
cancellation proceeding, but petitioner has appointed a domestic 
representative, the Board will send the notice to the domestic 
representative, at the email or correspondence address of record for the 
domestic representative, unless petitioner designates in writing another 
correspondence address.
    (3) If petitioner is not represented by an attorney in the 
cancellation proceeding, and no domestic representative has been 
appointed, the Board will send the notice directly to petitioner, at the 
email or correspondence address of record for petitioner, unless 
petitioner designates in writing another correspondence address.
    (c)(1) The Board shall forward a copy of the notice to the party 
shown by the records of the Office to be the current owner of the 
registration(s) sought to be cancelled at the email or address of record 
for the current owner, except that the Board, in its discretion, may 
join or substitute as respondent a party who makes a showing of a 
current ownership interest in such registration(s).
    (2) If the respondent has appointed a domestic representative, and 
such appointment is reflected in the Office's records, the Board will 
send the notice only to the domestic representative at the email or 
correspondence address of record for the domestic representative.
    (d) When the party alleged by the petitioner, pursuant to Sec.
2.112(a), as the current owner of the registration(s) is not the record 
owner, a courtesy copy of the notice with a Web link or Web address to 
access the electronic proceeding record shall be forwarded to the 
alleged current owner. The alleged current owner may file a motion to be 
joined or substituted as respondent.

[81 FR 69974, Oct. 7, 2016]



Sec.2.114  Answer.

    (a)(1) If no answer is filed within the time initially set, or as 
later may be reset by the Board, the petition may be decided as in the 
case of default. The failure to file a timely answer tolls all 
deadlines, including the discovery conference, until the issue of 
default is resolved.
    (2) If the cancellation proceeding is based solely on abandonment or 
nonuse and default judgment is entered with no appearance by the 
defendant, and no filings are made other than the petition to cancel, 
$200 per class of the petition to cancel fee may be refunded.
    (b)(1) An answer must be filed through ESTTA. In the event that 
ESTTA is unavailable due to technical problems, or when extraordinary 
circumstances are present, an answer may be filed in paper form. An 
answer filed in paper form must be accompanied by a Petition to the 
Director under Sec.2.146, with the fees therefor and the showing 
required under this paragraph (b).
    (2) An answer shall state in short and plain terms the respondent's 
defenses to each claim asserted and shall admit or deny the averments 
upon which the petitioner relies. If the respondent is

[[Page 311]]

without knowledge or information sufficient to form a belief as to the 
truth of an averment, respondent shall so state and this will have the 
effect of a denial. Denials may take any of the forms specified in Rule 
8(b) of the Federal Rules of Civil Procedure. An answer may contain any 
defense, including the affirmative defenses of unclean hands, laches, 
estoppel, acquiescence, fraud, mistake, prior judgment, or any other 
matter constituting an avoidance or affirmative defense. When pleading 
special matters, the Federal Rules of Civil Procedure shall be followed. 
A reply to an affirmative defense shall not be filed. When a defense 
attacks the validity of a registration pleaded in the petition, 
paragraph (b)(3) of this section shall govern. A pleaded registration is 
a registration identified by number by the party in position of 
plaintiff in an original petition for cancellation, or a counterclaim 
petition for cancellation, or in any amendment thereto made under Rule 
15 of the Federal Rules of Civil Procedure.
    (3)(i) A defense attacking the validity of any one or more of the 
registrations pleaded in the petition shall be a compulsory counterclaim 
if grounds for such counterclaim exist at the time when the answer is 
filed. If grounds for a counterclaim are known to respondent when the 
answer to the petition is filed, the counterclaim shall be pleaded with 
or as part of the answer. If grounds for a counterclaim are learned 
during the course of the cancellation proceeding, the counterclaim shall 
be pleaded promptly after the grounds therefor are learned. A 
counterclaim need not be filed if the claim is the subject of another 
proceeding between the same parties or anyone in privity therewith; but 
the party in position of respondent and counterclaim plaintiff must 
promptly inform the Board, in the context of the primary cancellation 
proceeding, of the filing of the other proceeding.
    (ii) An attack on the validity of a registration pleaded by a 
petitioner for cancellation will not be heard unless a counterclaim or 
separate petition is filed to seek the cancellation of such 
registration.
    (iii) The provisions of Sec. Sec.2.111 through 2.115, inclusive, 
shall be applicable to counterclaims. A time, not less than thirty days, 
will be designated by the Board within which an answer to the 
counterclaim must be filed. Such response period may be reset as 
necessary by the Board, for a time period to be determined by the Board.
    (iv) The times for pleading, discovery, testimony, briefs, or oral 
argument may be reset or extended when necessary, upon motion by a 
party, or as the Board may deem necessary, to enable a party fully to 
present or meet a counterclaim or separate petition for cancellation of 
a registration.
    (c) The petition for cancellation or counterclaim petition for 
cancellation may be withdrawn without prejudice before the answer is 
filed. After the answer is filed, such petition or counterclaim petition 
may not be withdrawn without prejudice except with the written consent 
of the registrant or the registrant's attorney or other authorized 
representative.

[81 FR 69974, Oct. 7, 2016, as amended at 85 FR 73215, Nov. 17, 2020]



Sec.2.115  Amendment of pleadings in a cancellation proceeding.

    Pleadings in a cancellation proceeding may be amended in the same 
manner and to the same extent as in a civil action in a United States 
district court.

[48 FR 23136, May 23, 1983]

                  Procedure in Inter Partes Proceedings

    Authority: Secs. 2.116 to 2.136 also issued under sec. 17, 60 Stat. 
434; 15 U.S.C. 1067.



Sec.2.116  Federal Rules of Civil Procedure.

    (a) Except as otherwise provided, and wherever applicable and 
appropriate, procedure and practice in inter partes proceedings shall be 
governed by the Federal Rules of Civil Procedure.
    (b) The opposer in an opposition proceeding or the petitioner in a 
cancellation proceeding shall be in the position of plaintiff, and the 
applicant in an opposition proceeding or the respondent in a 
cancellation proceeding shall be in the position of defendant. A party 
that is a junior party in an interference proceeding or in a concurrent 
use registration proceeding shall be in the position

[[Page 312]]

of plaintiff against every party that is senior, and the party that is a 
senior party in an interference proceeding or in a concurrent use 
registration proceeding shall be a defendant against every party that is 
junior.
    (c) The notice of opposition or the petition for cancellation and 
the answer correspond to the complaint and answer in a court proceeding.
    (d) The assignment of testimony periods corresponds to setting a 
case for trial in court proceedings.
    (e) The submission of notices of reliance, declarations and 
affidavits, as well as the taking of depositions, during the assigned 
testimony periods correspond to the trial in court proceedings.
    (f) Oral hearing, if requested, of arguments on the record and 
merits corresponds to oral summation in court proceedings.
    (g) The Trademark Trial and Appeal Board's standard protective order 
is automatically imposed in all inter partes proceedings unless the 
parties, by stipulation approved by the Board, agree to an alternative 
order, or a motion by a party to use an alternative order is granted by 
the Board. The standard protective order is available at the Office's 
Web site. No material disclosed or produced by a party, presented at 
trial, or filed with the Board, including motions or briefs which 
discuss such material, shall be treated as confidential or shielded from 
public view unless designated as protected under the Board's standard 
protective order, or under an alternative order stipulated to by the 
parties and approved by the Board, or under an order submitted by motion 
of a party granted by the Board. The Board may treat as not confidential 
that material which cannot reasonably be considered confidential, 
notwithstanding a designation as such by a party.

[30 FR 13193, Oct. 16, 1965. Redesignated and amended at 37 FR 7606, 
Apr. 18, 1972; 48 FR 23136, May 23, 1983; 72 FR 42259, Aug. 1, 2007; 81 
FR 69975, Oct. 7, 2016]



Sec.2.117  Suspension of proceedings.

    (a) Whenever it shall come to the attention of the Trademark Trial 
and Appeal Board that a party or parties to a pending case are engaged 
in a civil action or another Board proceeding which may have a bearing 
on the case, proceedings before the Board may be suspended until 
termination of the civil action or the other Board proceeding.
    (b) Whenever there is pending before the Board both a motion to 
suspend and a motion which is potentially dispositive of the case, the 
potentially dispositive motion may be decided before the question of 
suspension is considered regardless of the order in which the motions 
were filed.
    (c) Proceedings may also be suspended sua sponte by the Board, or, 
for good cause, upon motion or a stipulation of the parties approved by 
the Board. Many consented or stipulated motions to suspend are suitable 
for automatic approval by ESTTA, but the Board retains discretion to 
condition approval on the party or parties providing necessary 
information about the status of settlement talks, discovery activities, 
or trial activities, as may be appropriate.

[48 FR 23136, May 23, 1983, as amended at 63 FR 48097, Sept. 9, 1998; 81 
FR 69975, Oct. 7, 2016]



Sec.2.118  Undelivered Office notices.

    When a notice sent by the Office to any registrant or applicant is 
returned to the Office undelivered, including notification to the Office 
of non-delivery in paper or electronic form, additional notice may be 
given by publication in the Official Gazette.

[81 FR 69975, Oct. 7, 2016]



Sec.2.119  Service and signing.

    (a) Except for the notice of opposition or the petition to cancel, 
every submission filed in the Office in inter partes cases, including 
notices of appeal to the courts, must be served upon the other party or 
parties. Proof of such service must be made before the submission will 
be considered by the Office. A statement signed by the attorney or other 
authorized representative, attached to or appearing on the original 
submission when filed, clearly stating the date and manner in which 
service was made will be accepted as prima facie proof of service.

[[Page 313]]

    (b) Service of submissions filed with the Board and any other papers 
served on a party not required to be filed with the Board, must be on 
the attorney or other authorized representative of the party if there be 
such or on the party if there is no attorney or other authorized 
representative, and must be made by email, unless otherwise stipulated, 
or if the serving party can show by written explanation accompanying the 
submission or paper, or in a subsequent amended certificate of service, 
that service by email was attempted but could not be made due to 
technical problems or extraordinary circumstances, then service may be 
made in any of the following ways:
    (1) By delivering a copy of the submission or paper to the person 
served;
    (2) By leaving a copy at the usual place of business of the person 
served, with someone in the person's employment;
    (3) When the person served has no usual place of business, by 
leaving a copy at the person's residence, with some person of suitable 
age and discretion who resides there;
    (4) Transmission by the Priority Mail Express[supreg] Post Office to 
Addressee service of the United States Postal Service or by first-class 
mail, which may also be certified or registered;
    (5) Transmission by overnight courier; or
    (6) Other forms of electronic transmission.
    (c) When service is made by first-class mail, Priority Mail 
Express[supreg], or overnight courier, the date of mailing or of 
delivery to the overnight courier will be considered the date of 
service.
    (d) If a party to an inter partes proceeding is not domiciled in the 
United States and is not represented by an attorney or other authorized 
representative located in the United States, none of the parties to the 
proceeding is eligible to use the service option under paragraph (b)(4) 
of this section. The party not domiciled in the United States may 
designate by submission filed in the Office the name and address of a 
person residing in the United States on whom may be served notices or 
process in the proceeding. If the party has appointed a domestic 
representative, official communications of the Office will be addressed 
to the domestic representative unless the proceeding is being prosecuted 
by an attorney at law or other qualified person duly authorized under 
Sec.11.14(c) of this chapter. If the party has not appointed a 
domestic representative and the proceeding is not being prosecuted by an 
attorney at law or other qualified person, the Office will send 
correspondence directly to the party, unless the party designates in 
writing another address to which correspondence is to be sent. The mere 
designation of a domestic representative does not authorize the person 
designated to prosecute the proceeding unless qualified under Sec.
11.14(a) of this chapter, or qualified under Sec.11.14(b) of this 
chapter and authorized under Sec.2.17(f).
    (e) Every submission filed in an inter partes proceeding, and every 
request for an extension of time to file an opposition, must be signed 
by the party filing it, or by the party's attorney or other authorized 
representative, but an unsigned submission will not be refused 
consideration if a signed copy is submitted to the Office within the 
time limit set in the notification of this defect by the Office.

[81 FR 69975, Oct. 7, 2016]



Sec.2.120  Discovery.

    (a) In general. (1) Except as otherwise provided in this section, 
and wherever appropriate, the provisions of the Federal Rules of Civil 
Procedure relating to disclosure and discovery shall apply in 
opposition, cancellation, interference and concurrent use registration 
proceedings. The provisions of Rule 26 of the Federal Rules of Civil 
Procedure relating to required disclosures, the conference of the 
parties to discuss settlement and to develop a disclosure and discovery 
plan, the scope, proportionality, timing and sequence of discovery, 
protective orders, signing of disclosures and discovery responses, and 
supplementation of disclosures and discovery responses, are applicable 
to Board proceedings in modified form, as noted in these rules and as 
may be detailed in any order instituting an inter partes proceeding or 
subsequent scheduling order. The Board will specify the deadline for a 
discovery conference, the

[[Page 314]]

opening and closing dates for the taking of discovery, and the deadlines 
within the discovery period for making initial disclosures and expert 
disclosure. The trial order setting these deadlines and dates will be 
included within the notice of institution of the proceeding.
    (2)(i) The discovery conference shall occur no later than the 
opening of the discovery period, and the parties must discuss the 
subjects set forth in Rule 26(f) of the Federal Rules of Civil Procedure 
and any subjects set forth in the Board's institution order. A Board 
Interlocutory Attorney or Administrative Trademark Judge will 
participate in the conference upon request of any party made after 
answer but no later than ten days prior to the deadline for the 
conference, or when the Board deems it useful for the parties to have 
Board involvement. The participating attorney or judge may expand or 
reduce the number or nature of subjects to be discussed in the 
conference as may be deemed appropriate. The discovery period will be 
set for a period of 180 days.
    (ii) Initial disclosures must be made no later than thirty days 
after the opening of the discovery period.
    (iii) Disclosure of expert testimony must occur in the manner and 
sequence provided in Rule 26(a)(2) of the Federal Rules of Civil 
Procedure, unless alternate directions have been provided by the Board 
in an institution order or any subsequent order resetting disclosure, 
discovery or trial dates. If the expert is retained after the deadline 
for disclosure of expert testimony, the party must promptly file a 
motion for leave to use expert testimony. Upon disclosure by any party 
of plans to use expert testimony, whether before or after the deadline 
for disclosing expert testimony, the Board, either on its own initiative 
or on notice from either party of the disclosure of expert testimony, 
may issue an order regarding expert discovery and/or set a deadline for 
any other party to disclose plans to use a rebuttal expert.
    (iv) The parties may stipulate to a shortening of the discovery 
period, that there will be no discovery, that the number of discovery 
requests or depositions be limited, or that reciprocal disclosures be 
used in place of discovery. Limited extensions of the discovery period 
may be granted upon stipulation of the parties approved by the Board, or 
upon motion granted by the Board, or by order of the Board. If a motion 
for an extension is denied, the discovery period may remain as 
originally set or as reset. Disclosure deadlines and obligations may be 
modified upon written stipulation of the parties approved by the Board, 
or upon motion granted by the Board, or by order of the Board, but the 
expert disclosure deadline must always be scheduled prior to the close 
of discovery. If a stipulation or motion for modification is denied, 
discovery disclosure deadlines may remain as originally set or reset and 
obligations may remain unaltered.
    (v) The parties are not required to prepare or transmit to the Board 
a written report outlining their discovery conference discussions, 
unless the parties have agreed to alter disclosure or discovery 
obligations set forth by these rules or applicable Federal Rules of 
Civil Procedure, or unless directed to file such a report by a 
participating Board Interlocutory Attorney or Administrative Trademark 
Judge.
    (3) A party must make its initial disclosures prior to seeking 
discovery, absent modification of this requirement by a stipulation of 
the parties approved by the Board, or a motion granted by the Board, or 
by order of the Board. Discovery depositions must be properly noticed 
and taken during the discovery period. Interrogatories, requests for 
production of documents and things, and requests for admission must be 
served early enough in the discovery period, as originally set or as may 
have been reset by the Board, so that responses will be due no later 
than the close of discovery. Responses to interrogatories, requests for 
production of documents and things, and requests for admission must be 
served within thirty days from the date of service of such discovery 
requests. The time to respond may be extended upon stipulation of the 
parties, or upon motion granted by the Board, or by order of the Board, 
but the response may not be due later than the close of discovery. The 
resetting of a party's time to respond to an outstanding request for

[[Page 315]]

discovery will not result in the automatic rescheduling of the discovery 
and/or testimony periods; such dates will be rescheduled only upon 
stipulation of the parties approved by the Board, or upon motion granted 
by the Board, or by order of the Board.
    (b) Discovery deposition within the United States. The deposition of 
a natural person shall be taken in the Federal judicial district where 
the person resides or is regularly employed or at any place on which the 
parties agree in writing. The responsibility rests wholly with the party 
taking discovery to secure the attendance of a proposed deponent other 
than a party or anyone who, at the time set for the taking of the 
deposition, is an officer, director, or managing agent of a party, or a 
person designated under Rule 30(b)(6) or Rule 31(a) of the Federal Rules 
of Civil Procedure. (See 35 U.S.C. 24.)
    (c) Discovery deposition in foreign countries; or of foreign party 
within jurisdiction of the United States. (1) The discovery deposition 
of a natural person residing in a foreign country who is a party or who, 
at the time set for the taking of the deposition, is an officer, 
director, or managing agent of a party, or a person designated under 
Rule 30(b)(6) or Rule 31(a) of the Federal Rules of Civil Procedure, 
shall, if taken in a foreign country, be taken in the manner prescribed 
by Sec.2.124 unless the Trademark Trial and Appeal Board, upon motion 
for good cause, orders that the deposition be taken by oral examination, 
or the parties so stipulate.
    (2) Whenever a foreign party is or will be, during a time set for 
discovery, present within the United States or any territory which is 
under the control and jurisdiction of the United States, such party may 
be deposed by oral examination upon notice by the party seeking 
discovery. Whenever a foreign party has or will have, during a time set 
for discovery, an officer, director, managing agent, or other person who 
consents to testify on its behalf, present within the United States or 
any territory which is under the control and jurisdiction of the United 
States, such officer, director, managing agent, or other person who 
consents to testify in its behalf may be deposed by oral examination 
upon notice by the party seeking discovery. The party seeking discovery 
may have one or more officers, directors, managing agents, or other 
persons who consent to testify on behalf of the adverse party, 
designated under Rule 30(b)(6) of the Federal Rules of Civil Procedure. 
The deposition of a person under this paragraph shall be taken in the 
Federal judicial district where the witness resides or is regularly 
employed, or, if the witness neither resides nor is regularly employed 
in a Federal judicial district, where the witness is at the time of the 
deposition. This paragraph (c)(2) does not preclude the taking of a 
discovery deposition of a foreign party by any other procedure provided 
by paragraph (c)(1) of this section.
    (d) Interrogatories. The total number of written interrogatories 
which a party may serve upon another party pursuant to Rule 33 of the 
Federal Rules of Civil Procedure, in a proceeding, shall not exceed 
seventy-five, counting subparts, except that the Trademark Trial and 
Appeal Board, in its discretion, may allow additional interrogatories 
upon motion therefor showing good cause, or upon stipulation of the 
parties, approved by the Board. A motion for leave to serve additional 
interrogatories must be filed and granted prior to the service of the 
proposed additional interrogatories and must be accompanied by a copy of 
the interrogatories, if any, which have already been served by the 
moving party, and by a copy of the interrogatories proposed to be 
served. If a party upon which interrogatories have been served believes 
that the number of interrogatories exceeds the limitation specified in 
this paragraph (d), and is not willing to waive this basis for 
objection, the party shall, within the time for (and instead of) serving 
answers and specific objections to the interrogatories, serve a general 
objection on the ground of their excessive number. If the inquiring 
party, in turn, files a motion to compel discovery, the motion must be 
accompanied by a copy of the set(s) of the interrogatories which 
together are said to exceed the limitation, and must otherwise comply 
with the requirements of paragraph (f) of this section.

[[Page 316]]

    (e) Requests for production. The total number of requests for 
production which a party may serve upon another party pursuant to Rule 
34 of the Federal Rules of Civil Procedure, in a proceeding, shall not 
exceed seventy-five, counting subparts, except that the Trademark Trial 
and Appeal Board, in its discretion, may allow additional requests upon 
motion therefor showing good cause, or upon stipulation of the parties, 
approved by the Board. A motion for leave to serve additional requests 
must be filed and granted prior to the service of the proposed 
additional requests and must be accompanied by a copy of the requests, 
if any, which have already been served by the moving party, and by a 
copy of the requests proposed to be served. If a party upon which 
requests have been served believes that the number of requests exceeds 
the limitation specified in this paragraph, and is not willing to waive 
this basis for objection, the party shall, within the time for (and 
instead of) serving responses and specific objections to the requests, 
serve a general objection on the ground of their excessive number. If 
the inquiring party, in turn, files a motion to compel discovery, the 
motion must be accompanied by a copy of the set(s) of the requests which 
together are said to exceed the limitation, and must otherwise comply 
with the requirements of paragraph (f) of this section. The time, place, 
and manner for production of documents, electronically stored 
information, and tangible things shall comport with the provisions of 
Rule 34 of the Federal Rules of Civil Procedure, or be made pursuant to 
agreement of the parties, or where and in the manner which the Trademark 
Trial and Appeal Board, upon motion, orders.
    (f) Motion for an order to compel disclosure or discovery. (1) If a 
party fails to make required initial disclosures or expert testimony 
disclosure, or fails to designate a person pursuant to Rule 30(b)(6) or 
Rule 31(a) of the Federal Rules of Civil Procedure, or if a party, or 
such designated person, or an officer, director or managing agent of a 
party fails to attend a deposition or fails to answer any question 
propounded in a discovery deposition, or any interrogatory, or fails to 
produce and permit the inspection and copying of any document, 
electronically stored information, or tangible thing, the party entitled 
to disclosure or seeking discovery may file a motion to compel 
disclosure, a designation, or attendance at a deposition, or an answer, 
or production and an opportunity to inspect and copy. A motion to compel 
initial disclosures must be filed within thirty days after the deadline 
therefor and include a copy of the disclosure(s), if any, and a motion 
to compel an expert testimony disclosure must be filed prior to the 
close of the discovery period. A motion to compel discovery must be 
filed before the day of the deadline for pretrial disclosures for the 
first testimony period as originally set or as reset. A motion to compel 
discovery shall include a copy of the request for designation of a 
witness or of the relevant portion of the discovery deposition; or a 
copy of the interrogatory with any answer or objection that was made; or 
a copy of the request for production, any proffer of production or 
objection to production in response to the request, and a list and brief 
description of the documents, electronically stored information, or 
tangible things that were not produced for inspection and copying. A 
motion to compel initial disclosures, expert testimony disclosure, or 
discovery must be supported by a showing from the moving party that such 
party or the attorney therefor has made a good faith effort, by 
conference or correspondence, to resolve with the other party or the 
attorney therefor the issues presented in the motion but the parties 
were unable to resolve their differences. If issues raised in the motion 
are subsequently resolved by agreement of the parties, the moving party 
should inform the Board in writing of the issues in the motion which no 
longer require adjudication.
    (2) When a party files a motion for an order to compel initial 
disclosures, expert testimony disclosure, or discovery, the case will be 
suspended by the Board with respect to all matters not germane to the 
motion. After the motion to compel is filed and served, no party should 
file any paper that is not germane to the motion, except as

[[Page 317]]

otherwise specified in the Board's suspension order. Nor may any party 
serve any additional discovery until the period of suspension is lifted 
or expires by or under order of the Board. The filing of a motion to 
compel any disclosure or discovery shall not toll the time for a party 
to comply with any disclosure requirement or to respond to any 
outstanding discovery requests or to appear for any noticed discovery 
deposition. If discovery has closed, however, the parties need not make 
pretrial disclosures until directed to do so by the Board.
    (g) Motion for a protective order. Upon motion by a party obligated 
to make initial disclosures or expert testimony disclosure or from whom 
discovery is sought, and for good cause, the Trademark Trial and Appeal 
Board may make any order which justice requires to protect a party from 
annoyance, embarrassment, oppression, or undue burden or expense, 
including one or more of the types of orders provided by clauses (A) 
through (H), inclusive, of Rule 26(c)(1) of the Federal Rules of Civil 
Procedure. If the motion for a protective order is denied in whole or in 
part, the Board may, on such conditions (other than an award of expenses 
to the party prevailing on the motion) as are just, order that any party 
comply with disclosure obligations or provide or permit discovery.
    (h) Sanctions. (1) If a party fails to participate in the required 
discovery conference, or if a party fails to comply with an order of the 
Trademark Trial and Appeal Board relating to disclosure or discovery, 
including a protective order, the Board may make any appropriate order, 
including those provided in Rule 37(b)(2) of the Federal Rules of Civil 
Procedure, except that the Board will not hold any person in contempt or 
award expenses to any party. The Board may impose against a party any of 
the sanctions provided in Rule 37(b)(2) in the event that said party or 
any attorney, agent, or designated witness of that party fails to comply 
with a protective order made pursuant to Rule 26(c) of the Federal Rules 
of Civil Procedure. A motion for sanctions against a party for its 
failure to participate in the required discovery conference must be 
filed prior to the deadline for any party to make initial disclosures.
    (2) If a party fails to make required initial disclosures or expert 
testimony disclosure, and such party or the party's attorney or other 
authorized representative informs the party or parties entitled to 
receive disclosures that required disclosures will not be made, the 
Board may make any appropriate order, as specified in paragraph (h)(1) 
of this section. If a party, or an officer, director, or managing agent 
of a party, or a person designated under Rule 30(b)(6) or 31(a) of the 
Federal Rules of Civil Procedure to testify on behalf of a party, fails 
to attend the party's or person's discovery deposition, after being 
served with proper notice, or fails to provide any response to a set of 
interrogatories or to a set of requests for production of documents and 
things, and such party or the party's attorney or other authorized 
representative informs the party seeking discovery that no response will 
be made thereto, the Board may make any appropriate order, as specified 
in paragraph (h)(1) of this section.
    (i) Requests for admission. The total number of requests for 
admission which a party may serve upon another party pursuant to Rule 36 
of the Federal Rules of Civil Procedure, in a proceeding, shall not 
exceed seventy-five, counting subparts, except that the Trademark Trial 
and Appeal Board, in its discretion, may allow additional requests upon 
motion therefor showing good cause, or upon stipulation of the parties, 
approved by the Board. A motion for leave to serve additional requests 
must be filed and granted prior to the service of the proposed 
additional requests and must be accompanied by a copy of the requests, 
if any, which have already been served by the moving party, and by a 
copy of the requests proposed to be served. If a party upon which 
requests for admission have been served believes that the number of 
requests for admission exceeds the limitation specified in this 
paragraph, and is not willing to waive this basis for objection, the 
party shall, within the time for (and instead of) serving answers and 
specific objections to the requests for admission, serve a general 
objection on the ground of

[[Page 318]]

their excessive number. However, independent of this limit, a party may 
make one comprehensive request for admission of any adverse party that 
has produced documents for an admission authenticating specific 
documents, or specifying which of those documents cannot be 
authenticated.
    (1) Any motion by a party to determine the sufficiency of an answer 
or objection, including testing the sufficiency of a general objection 
on the ground of excessive number, to a request made by that party for 
an admission must be filed before the day of the deadline for pretrial 
disclosures for the first testimony period, as originally set or as 
reset. The motion shall include a copy of the request for admission and 
any exhibits thereto and of the answer or objection. The motion must be 
supported by a written statement from the moving party showing that such 
party or the attorney therefor has made a good faith effort, by 
conference or correspondence, to resolve with the other party or the 
attorney therefor the issues presented in the motion and has been unable 
to reach agreement. If issues raised in the motion are subsequently 
resolved by agreement of the parties, the moving party should inform the 
Board in writing of the issues in the motion which no longer require 
adjudication.
    (2) When a party files a motion to determine the sufficiency of an 
answer or objection to a request for an admission, the case will be 
suspended by the Board with respect to all matters not germane to the 
motion. After the motion is filed and served, no party should file any 
paper that is not germane to the motion, except as otherwise specified 
in the Board's suspension order. Nor may any party serve any additional 
discovery until the period of suspension is lifted or expires by or 
under order of the Board. The filing of a motion to determine the 
sufficiency of an answer or objection to a request for admission shall 
not toll the time for a party to comply with any disclosure requirement 
or to respond to any outstanding discovery requests or to appear for any 
noticed discovery deposition. If discovery has closed, however, the 
parties need not make pretrial disclosures until directed to do so by 
the Board.
    (j) Telephone and pretrial conferences. (1) Whenever it appears to 
the Trademark Trial and Appeal Board that a stipulation or motion filed 
in an inter partes proceeding is of such nature that a telephone 
conference would be beneficial, the Board may, upon its own initiative 
or upon request made by one or both of the parties, schedule a telephone 
conference.
    (2) Whenever it appears to the Trademark Trial and Appeal Board that 
questions or issues arising during the interlocutory phase of an inter 
partes proceeding have become so complex that their resolution by 
correspondence or telephone conference is not practical and that 
resolution would likely be facilitated by a conference in person of the 
parties or their attorneys with an Administrative Trademark Judge or an 
Interlocutory Attorney of the Board, the Board may, upon its own 
initiative, direct that the parties and/or their attorneys meet with the 
Board for a disclosure, discovery or pretrial conference on such terms 
as the Board may order.
    (3) Parties may not make a recording of the conferences referenced 
in paragraphs (j)(1) and (2) of this section.
    (k) Use of discovery deposition, answer to interrogatory, admission 
or written disclosure. (1) The discovery deposition of a party or of 
anyone who at the time of taking the deposition was an officer, director 
or managing agent of a party, or a person designated by a party pursuant 
to Rule 30(b)(6) or Rule 31(a) of the Federal Rules of Civil Procedure, 
may be offered in evidence by an adverse party.
    (2) Except as provided in paragraph (k)(1) of this section, the 
discovery deposition of a witness, whether or not a party, shall not be 
offered in evidence unless the person whose deposition was taken is, 
during the testimony period of the party offering the deposition, dead; 
or out of the United States (unless it appears that the absence of the 
witness was procured by the party offering the deposition); or unable to 
testify because of age, illness, infirmity, or imprisonment; or cannot 
be served with a subpoena to compel attendance at a testimonial 
deposition; or there is

[[Page 319]]

a stipulation by the parties; or upon a showing that such exceptional 
circumstances exist as to make it desirable, in the interest of justice, 
to allow the deposition to be used. The use of a discovery deposition by 
any party under this paragraph will be allowed only by stipulation of 
the parties approved by the Trademark Trial and Appeal Board, or by 
order of the Board on motion, which shall be filed when the party makes 
its pretrial disclosures, unless the motion is based upon a claim that 
such exceptional circumstances exist as to make it desirable, in the 
interest of justice, to allow the deposition to be used, even though 
such deadline has passed, in which case the motion shall be filed 
promptly after the circumstances claimed to justify use of the 
deposition became known.
    (3)(i) A discovery deposition, an answer to an interrogatory, an 
admission to a request for admission, or a written initial disclosure, 
which may be offered in evidence under the provisions of paragraph (k) 
of this section, may be made of record in the case by filing the 
deposition or any part thereof with any exhibit to the part that is 
filed, or a copy of the interrogatory and answer thereto with any 
exhibit made part of the answer, or a copy of the request for admission 
and any exhibit thereto and the admission (or a statement that the party 
from which an admission was requested failed to respond thereto), or a 
copy of the written initial disclosure, together with a notice of 
reliance in accordance with Sec.2.122(g). The notice of reliance and 
the material submitted thereunder should be filed during the testimony 
period of the party that files the notice of reliance. An objection made 
at a discovery deposition by a party answering a question subject to the 
objection will be considered at final hearing.
    (ii) A party that has obtained documents from another party through 
disclosure or under Rule 34 of the Federal Rules of Civil Procedure may 
not make the documents of record by notice of reliance alone, except to 
the extent that they are admissible by notice of reliance under the 
provisions of Sec.2.122(e), or the party has obtained an admission or 
stipulation from the producing party that authenticates the documents.
    (4) If only part of a discovery deposition is submitted and made 
part of the record by a party, an adverse party may introduce under a 
notice of reliance any other part of the deposition which should in 
fairness be considered so as to make not misleading what was offered by 
the submitting party. A notice of reliance filed by an adverse party 
must be supported by a written statement explaining why the adverse 
party needs to rely upon each additional part listed in the adverse 
party's notice, failing which the Board, in its discretion, may refuse 
to consider the additional parts.
    (5) Written disclosures, an answer to an interrogatory, or an 
admission to a request for admission, may be submitted and made part of 
the record only by the receiving or inquiring party except that, if 
fewer than all of the written disclosures, answers to interrogatories, 
or fewer than all of the admissions, are offered in evidence by the 
receiving or inquiring party, the disclosing or responding party may 
introduce under a notice of reliance any other written disclosures, 
answers to interrogatories, or any other admissions, which should in 
fairness be considered so as to make not misleading what was offered by 
the receiving or inquiring party. The notice of reliance filed by the 
disclosing or responding party must be supported by a written statement 
explaining why the disclosing or responding party needs to rely upon 
each of the additional written disclosures or discovery responses listed 
in the disclosing or responding party's notice, and absent such 
statement, the Board, in its discretion, may refuse to consider the 
additional written disclosures or responses.
    (6) Paragraph (k) of this section will not be interpreted to 
preclude reading or use of written disclosures or documents, a discovery 
deposition, or answer to an interrogatory, or admission as part of the 
examination or cross-examination of any witness during the testimony 
period of any party.
    (7) When a written disclosure, a discovery deposition, or a part 
thereof, or an answer to an interrogatory, or an

[[Page 320]]

admission, or an authenticated produced document has been made of record 
by one party in accordance with the provisions of paragraph (k)(3) of 
this section, it may be referred to by any party for any purpose 
permitted by the Federal Rules of Evidence.
    (8) Written disclosures or disclosed documents, requests for 
discovery, responses thereto, and materials or depositions obtained 
through the disclosure or discovery process should not be filed with the 
Board, except when submitted with a motion relating to disclosure or 
discovery, or in support of or in response to a motion for summary 
judgment, or under a notice of reliance, when permitted, during a 
party's testimony period.

[81 FR 69976, Oct. 7, 2016, as amended at 82 FR 33805, July 21, 2017]



Sec.2.121  Assignment of times for taking testimony and presenting 
evidence.

    (a) The Trademark Trial and Appeal Board will issue a trial order 
setting a deadline for each party's required pretrial disclosures and 
assigning to each party its time for taking testimony and presenting 
evidence (``testimony period''). No testimony shall be taken or evidence 
presented except during the times assigned, unless by stipulation of the 
parties approved by the Board, or upon motion granted by the Board, or 
by order of the Board. The deadlines for pretrial disclosures and the 
testimony periods may be rescheduled by stipulation of the parties 
approved by the Board, or upon motion granted by the Board, or by order 
of the Board. If a motion to reschedule any pretrial disclosure deadline 
and/or testimony period is denied, the pretrial disclosure deadline or 
testimony period and any subsequent remaining periods may remain as set. 
The resetting of the closing date for discovery will result in the 
rescheduling of pretrial disclosure deadlines and testimony periods 
without action by any party. The resetting of a party's testimony period 
will result in the rescheduling of the remaining pretrial disclosure 
deadlines without action by any party.
    (b)(1) The Trademark Trial and Appeal Board will schedule a 
testimony period for the plaintiff to present its case in chief, a 
testimony period for the defendant to present its case and to meet the 
case of the plaintiff, and a testimony period for the plaintiff to 
present evidence in rebuttal.
    (2) When there is a counterclaim, or when proceedings have been 
consolidated and one party is in the position of plaintiff in one of the 
involved proceedings and in the position of defendant in another of the 
involved proceedings, or when there is an interference or a concurrent 
use registration proceeding involving more than two parties, the Board 
will schedule testimony periods so that each party in the position of 
plaintiff will have a period for presenting its case in chief against 
each party in the position of defendant, each party in the position of 
defendant will have a period for presenting its case and meeting the 
case of each plaintiff, and each party in the position of plaintiff will 
have a period for presenting evidence in rebuttal.
    (c) A testimony period which is solely for rebuttal will be set for 
fifteen days. All other testimony periods will be set for thirty days. 
The periods may be shortened or extended by stipulation of the parties 
approved by the Trademark Trial and Appeal Board, or may be extended 
upon motion granted by the Board, or by order of the Board. If a motion 
for an extension is denied, the testimony periods and their associated 
pretrial disclosure deadlines may remain as set.
    (d) When parties stipulate to the rescheduling of a deadline for 
pretrial disclosures and subsequent testimony periods or to the 
rescheduling of the closing date for discovery and the rescheduling of 
subsequent deadlines for pretrial disclosures and testimony periods, a 
stipulation presented in the form used in a trial order, signed by the 
parties, or a motion in said form signed by one party and including a 
statement that every other party has agreed thereto, shall be submitted 
to the Board through ESTTA, with the relevant dates set forth and an 
express statement that all parties agree to the new dates.
    (e) A party need not disclose, prior to its testimony period, any 
notices of reliance it intends to file during its testimony period. 
However, no later than fifteen days prior to the opening of

[[Page 321]]

each testimony period, or on such alternate schedule as may be provided 
by order of the Board, the party scheduled to present evidence must 
disclose the name and, if not previously provided, the telephone number 
and address of each witness from whom it intends to take testimony, or 
may take testimony if the need arises, general identifying information 
about the witness, such as relationship to any party, including job 
title if employed by a party, or, if neither a party nor related to a 
party, occupation and job title, a general summary or list of subjects 
on which the witness is expected to testify, and a general summary or 
list of the types of documents and things which may be introduced as 
exhibits during the testimony of the witness. The testimony of a witness 
may be taken upon oral examination and transcribed, or presented in the 
form of an affidavit or declaration, as provided in Sec.2.123. 
Pretrial disclosure of a witness under this paragraph (e) does not 
substitute for issuance of a proper notice of examination under Sec.
2.123(c) or Sec.2.124(b). If a party does not plan to take testimony 
from any witnesses, it must so state in its pretrial disclosure. When a 
party fails to make required pretrial disclosures, any adverse party or 
parties may have remedy by way of a motion to the Board to delay or 
reset any subsequent pretrial disclosure deadlines and/or testimony 
periods. A party may move to quash a noticed testimony deposition of a 
witness not identified or improperly identified in pretrial disclosures 
before the deposition. When testimony has been presented by affidavit or 
declaration, but was not covered by an earlier pretrial disclosure, the 
remedy for any adverse party is the prompt filing of a motion to strike, 
as provided in Sec. Sec.2.123 and 2.124.

[48 FR 23138, May 23, 1983; 48 FR 27226, June 14, 1983, as amended at 54 
FR 34899, Aug. 22, 1989; 63 FR 48099, Sept. 9, 1998; 68 FR 55767, Sept. 
26, 2003; 72 FR 42262, Aug. 1, 2007; 81 FR 69979, Oct. 7, 2016]



Sec.2.122  Matters in evidence.

    (a) Applicable rules. Unless the parties otherwise stipulate, the 
rules of evidence for proceedings before the Trademark Trial and Appeal 
Board are the Federal Rules of Evidence, the relevant provisions of the 
Federal Rules of Civil Procedure, the relevant provisions of Title 28 of 
the United States Code, and the provisions of this part. When evidence 
has been made of record by one party in accordance with these rules, it 
may be referred to by any party for any purpose permitted by the Federal 
Rules of Evidence.
    (b) Application and registration files. (1) The file of each 
application or registration specified in a notice of interference, of 
each application or registration specified in the notice of a concurrent 
use registration proceeding, of the application against which a notice 
of opposition is filed, or of each registration against which a petition 
or counterclaim for cancellation is filed forms part of the record of 
the proceeding without any action by the parties and reference may be 
made to the file for any relevant and competent purpose in accordance 
with paragraph (b)(2) of this section.
    (2) The allegation in an application for registration, or in a 
registration, of a date of use is not evidence on behalf of the 
applicant or registrant; a date of use of a mark must be established by 
competent evidence. Specimens in the file of an application for 
registration, or in the file of a registration, are not evidence on 
behalf of the applicant or registrant unless identified and introduced 
in evidence as exhibits during the period for the taking of testimony. 
Statements made in an affidavit or declaration in the file of an 
application for registration, or in the file of a registration, are not 
testimony on behalf of the applicant or registrant. Establishing the 
truth of these or any other matters asserted in the files of these 
applications and registrations shall be governed by the Federal Rules of 
Evidence, the relevant provisions of the Federal Rules of Civil 
Procedure, the relevant provisions of Title 28 of the United States 
Code, and the provisions of this part.
    (c) Exhibits to pleadings. Except as provided in paragraph (d)(1) of 
this section, an exhibit attached to a pleading is not evidence on 
behalf of the party

[[Page 322]]

to whose pleading the exhibit is attached, and must be identified and 
introduced in evidence as an exhibit during the period for the taking of 
testimony.
    (d) Registrations. (1) A registration of the opposer or petitioner 
pleaded in an opposition or petition to cancel will be received in 
evidence and made part of the record if the opposition or petition is 
accompanied by an original or photocopy of the registration prepared and 
issued by the Office showing both the current status of and current 
title to the registration, or by a current copy of information from the 
electronic database records of the Office showing the current status and 
title of the registration. For the cost of a copy of a registration 
showing status and title, see Sec.2.6(b)(4).
    (2) A registration owned by any party to a proceeding may be made of 
record in the proceeding by that party by appropriate identification and 
introduction during the taking of testimony or by filing a notice of 
reliance in accordance with paragraph (g) of this section, which shall 
be accompanied by a copy (original or photocopy) of the registration 
prepared and issued by the Office showing both the current status of and 
current title to the registration, or by a current copy of information 
from the electronic database records of the Office showing the current 
status and title of the registration. The notice of reliance shall be 
filed during the testimony period of the party that files the notice.
    (e) Printed publications and official records. (1) Printed 
publications, such as books and periodicals, available to the general 
public in libraries or of general circulation among members of the 
public or that segment of the public which is relevant in a particular 
proceeding, and official records, if the publication or official record 
is competent evidence and relevant to an issue, may be introduced in 
evidence by filing a notice of reliance on the material being offered in 
accordance with paragraph (g) of this section. The notice of reliance 
shall specify the printed publication (including information sufficient 
to identify the source and the date of the publication) or the official 
record and the pages to be read; and be accompanied by the official 
record or a copy thereof whose authenticity is established under the 
Federal Rules of Evidence, or by the printed publication or a copy of 
the relevant portion thereof. A copy of an official record of the Office 
need not be certified to be offered in evidence.
    (2) Internet materials may be admitted into evidence under a notice 
of reliance in accordance with paragraph (g) of this section, in the 
same manner as a printed publication in general circulation, so long as 
the date the internet materials were accessed and their source (e.g., 
URL) are provided.
    (f) Testimony from other proceedings. By order of the Trademark 
Trial and Appeal Board, on motion, testimony taken in another 
proceeding, or testimony taken in a suit or action in a court, between 
the same parties or those in privity may be used in a proceeding, so far 
as relevant and material, subject, however, to the right of any adverse 
party to recall or demand the recall for examination or cross-
examination of any witness whose prior testimony has been offered and to 
rebut the testimony.
    (g) Notices of reliance. The types of evidence admissible by notice 
of reliance are identified in paragraphs (d)(2) and (e)(1) and (2) of 
this section and Sec.2.120(k). A notice of reliance shall be filed 
during the testimony period of the party that files the notice. For all 
evidence offered by notice of reliance, the notice must indicate 
generally the relevance of the evidence and associate it with one or 
more issues in the proceeding. Failure to identify the relevance of the 
evidence, or associate it with issues in the proceeding, with sufficient 
specificity is a procedural defect that can be cured by the offering 
party within the time set by Board order.

[48 FR 23138, May 23, 1983, as amended at 54 FR 34899, Aug. 22, 1989; 54 
FR 38041, Sept. 14, 1989; 63 FR 48099, Sept. 9, 1998; 72 FR 42262, Aug. 
1, 2007; 81 FR 69980, Oct. 7, 2016]



Sec.2.123  Trial testimony in inter partes cases.

    (a)(1) The testimony of witnesses in inter partes cases may be 
submitted in

[[Page 323]]

the form of an affidavit or a declaration pursuant to Sec.2.20 and in 
conformance with the Federal Rules of Evidence, filed during the 
proffering party's testimony period, subject to the right of any adverse 
party to elect to take and bear the expense of oral cross-examination of 
that witness as provided under paragraph (c) of this section if such 
witness is within the jurisdiction of the United States, or conduct 
cross-examination by written questions as provided in Sec.2.124 if 
such witness is outside the jurisdiction of the United States, and the 
offering party must make that witness available; or taken by deposition 
upon oral examination as provided by this section; or by deposition upon 
written questions as provided by Sec.2.124.
    (2) Testimony taken in a foreign country shall be taken: by 
deposition upon written questions as provided by Sec.2.124, unless the 
Board, upon motion for good cause, orders that the deposition be taken 
by oral examination, or the parties so stipulate; or by affidavit or 
declaration, subject to the right of any adverse party to elect to take 
and bear the expense of cross-examination by written questions of that 
witness. If a party serves notice of the taking of a testimonial 
deposition upon written questions of a witness who is, or will be at the 
time of the deposition, present within the United States or any 
territory which is under the control and jurisdiction of the United 
States, any adverse party may, within twenty days from the date of 
service of the notice, file a motion with the Trademark Trial and Appeal 
Board, for good cause, for an order that the deposition be taken by oral 
examination.
    (b) Stipulations. If the parties so stipulate in writing, 
depositions may be taken before any person authorized to administer 
oaths, at any place, upon any notice, and in any manner, and when so 
taken may be used like other depositions. The parties may stipulate in 
writing what a particular witness would testify to if called; or any 
relevant facts in the case may be stipulated in writing.
    (c) Notice of examination of witnesses. Before the oral depositions 
of witnesses shall be taken by a party, due notice in writing shall be 
given to the adverse party or parties, as provided in Sec.2.119(b), of 
the time when and place where the depositions will be taken, of the 
cause or matter in which they are to be used, and the name and address 
of each witness to be examined. Depositions may be noticed for any 
reasonable time and place in the United States. A deposition may not be 
noticed for a place in a foreign country except as provided in paragraph 
(a)(2) of this section. No party shall take depositions in more than one 
place at the same time, nor so nearly at the same time that reasonable 
opportunity for travel from one place of examination to the other is not 
available. When a party elects to take oral cross-examination of an 
affiant or declarant, the notice of such election must be served on the 
adverse party and a copy filed with the Board within 20 days from the 
date of service of the affidavit or declaration and completed within 30 
days from the date of service of the notice of election. Upon motion for 
good cause by any party, or upon its own initiative, the Board may 
extend the periods for electing and taking oral cross-examination. When 
such election has been made but cannot be completed within that 
testimony period, the Board, after the close of that testimony period, 
shall suspend or reschedule other proceedings in the matter to allow for 
the orderly completion of the oral cross-examination(s).
    (d) Persons before whom depositions may be taken. Depositions may be 
taken before persons designated by Rule 28 of the Federal Rules of Civil 
Procedure.
    (e) Examination of witnesses. (1) Each witness before providing oral 
testimony shall be duly sworn according to law by the officer before 
whom the deposition is to be taken. Where oral depositions are taken, 
every adverse party shall have a full opportunity to cross-examine each 
witness. When testimony is proffered by affidavit or declaration, every 
adverse party will have the right to elect oral cross-examination of any 
witness within the jurisdiction of the United States. For examination of 
witnesses outside the jurisdiction of the United States, see Sec.
2.124.
    (2) The deposition shall be taken in answer to questions, with the 
questions and answers recorded in their regular

[[Page 324]]

order by the officer, or by some other person (who shall be subject to 
the provisions of Rule 28 of the Federal Rules of Civil Procedure) in 
the presence of the officer except when the officer's presence is waived 
on the record by agreement of the parties. The testimony shall be 
recorded and transcribed, unless the parties present agree otherwise. 
Exhibits which are marked and identified at the deposition will be 
deemed to have been offered into evidence, without any formal offer 
thereof, unless the intention of the party marking the exhibits is 
clearly expressed to the contrary.
    (3) If pretrial disclosures or the notice of examination of 
witnesses served pursuant to paragraph (c) of this section are improper 
or inadequate with respect to any witness, an adverse party may cross-
examine that witness under protest while reserving the right to object 
to the receipt of the testimony in evidence. Promptly after the 
testimony is completed, the adverse party, to preserve the objection, 
shall move to strike the testimony from the record, which motion will be 
decided on the basis of all the relevant circumstances.
    (i) A motion to strike the testimony of a witness for lack of proper 
or adequate pretrial disclosure may seek exclusion of the entire 
testimony, when there was no pretrial disclosure, or may seek exclusion 
of that portion of the testimony that was not adequately disclosed in 
accordance with Sec.2.121(e).
    (ii) A motion to strike the testimony of a witness for lack of 
proper or adequate notice of examination must request the exclusion of 
the entire testimony of that witness and not only a part of that 
testimony.
    (4) All objections made at the time of an oral examination to the 
qualifications of the officer taking the deposition, or to the manner of 
taking it, or to the evidence presented, or to the conduct of any party, 
and any other objection to the proceedings, shall be noted by the 
officer upon the deposition. Evidence objected to shall be taken subject 
to the objections.
    (5) When the oral deposition has been transcribed, the deposition 
transcript shall be carefully read over by the witness or by the officer 
to the witness, and shall then be signed by the witness in the presence 
of any officer authorized to administer oaths unless the reading and the 
signature be waived on the record by agreement of all parties.
    (f) Certification and filing of deposition. (1) The officer shall 
annex to the deposition his or her certificate showing:
    (i) Due administration of the oath by the officer to the witness 
before the commencement of his or her deposition;
    (ii) The name of the person by whom the deposition was taken down, 
and whether, if not taken down by the officer, it was taken down in his 
or her presence;
    (iii) The presence or absence of the adverse party;
    (iv) The place, day, and hour of commencing and taking the 
deposition;
    (v) The fact that the officer was not disqualified as specified in 
Rule 28 of the Federal Rules of Civil Procedure.
    (2) If any of the foregoing requirements in paragraph (f)(1) of this 
section are waived, the certificate shall so state. The officer shall 
sign the certificate and affix thereto his or her seal of office, if he 
or she has such a seal. The party taking the deposition, or its attorney 
or other authorized representative, shall then promptly file the 
transcript and exhibits in electronic form using ESTTA. If the nature of 
an exhibit precludes electronic transmission via ESTTA, it shall be 
submitted by mail by the party taking the deposition, or its attorney or 
other authorized representative.
    (g) Form of deposition. (1) The pages of each deposition must be 
numbered consecutively, and the name of the witness plainly and 
conspicuously written at the top of each page. A deposition must be in 
written form. The questions propounded to each witness must be 
consecutively numbered unless the pages have numbered lines. Each 
question must be followed by its answer. The deposition transcript must 
be submitted in full-sized format (one page per sheet), not condensed 
(multiple pages per sheet).
    (2) Exhibits must be numbered or lettered consecutively and each 
must be marked with the number and title of

[[Page 325]]

the case and the name of the party offering the exhibit. Entry and 
consideration may be refused to improperly marked exhibits.
    (3) Each deposition must contain a word index and an index of the 
names of the witnesses, giving the pages where the words appear in the 
deposition and where witness examination and cross-examination begin, 
and an index of the exhibits, briefly describing their nature and giving 
the pages at which they are introduced and offered in evidence.
    (h) Depositions must be filed. All depositions which are taken must 
be duly filed in the Office. On refusal to file, the Office at its 
discretion will not further hear or consider the contestant with whom 
the refusal lies; and the Office may, at its discretion, receive and 
consider a copy of the withheld deposition, attested by such evidence as 
is procurable.
    (i) Effect of errors and irregularities in depositions. Rule 
32(d)(1), (2), and (3)(A) and (B) of the Federal Rules of Civil 
Procedure shall apply to errors and irregularities in depositions. 
Notice will not be taken of merely formal or technical objections which 
shall not appear to have wrought a substantial injury to the party 
raising them; and in case of such injury it must be made to appear that 
the objection was raised at the time specified in said rule.
    (j) Objections to admissibility. Subject to the provisions of 
paragraph (i) of this section, objection may be made to receiving in 
evidence any declaration, affidavit, or deposition, or part thereof, or 
any other evidence, for any reason which would require the exclusion of 
the evidence from consideration. Objections to the competency of a 
witness or to the competency, relevancy, or materiality of testimony 
must be raised at the time specified in Rule 32(d)(3)(A) of the Federal 
Rules of Civil Procedure. Such objections may not be considered until 
final hearing.
    (k) Evidence not considered. Evidence not obtained and filed in 
compliance with these sections will not be considered.

[37 FR 7607, Apr. 18, 1972, as amended at 41 FR 760, Jan. 5, 1976; 48 FR 
23139, May 23, 1983; 54 FR 34899, Aug. 22, 1989; 54 FR 38041, Sept. 14, 
1989; 63 FR 48099, Sept. 9, 1998; 68 FR 14337, Mar. 25, 2003; 68 FR 
48289, Aug. 13, 2003; 68 FR 55767, Sept. 26, 2003; 72 FR 42262, Aug. 1, 
2007; 81 FR 69981, Oct. 7, 2016; 81 FR 89383, Dec. 12, 2016]



Sec.2.124  Depositions upon written questions.

    (a) A deposition upon written questions may be taken before any 
person before whom depositions may be taken as provided by Rule 28 of 
the Federal Rules of Civil Procedure.
    (b)(1) A party desiring to take a testimonial deposition upon 
written questions shall serve notice thereof upon each adverse party 
within ten days from the opening date of the testimony period of the 
party who serves the notice. The notice shall state the name and address 
of the witness. A copy of the notice, but not copies of the questions, 
shall be filed with the Trademark Trial and Appeal Board.
    (2) A party desiring to take a discovery deposition upon written 
questions shall serve notice thereof upon each adverse party and shall 
file a copy of the notice, but not copies of the questions, with the 
Board. The notice shall state the name and address, if known, of the 
person whose deposition is to be taken. If the name of the person is not 
known, a general description sufficient to identify the witness or the 
particular class or group to which he or she belongs shall be stated in 
the notice, and the party from whom the discovery deposition is to be 
taken shall designate one or more persons to be deposed in the same 
manner as is provided by Rule 30(b)(6) of the Federal Rules of Civil 
Procedure.
    (3) A party desiring to take cross-examination, by written 
questions, of a witness who has provided testimony by affidavit or 
declaration shall serve notice thereof upon each adverse party and shall 
file a copy of the notice, but not copies of the questions, with the 
Board.
    (c) Every notice given under the provisions of paragraph (b) of this 
section shall be accompanied by the name or

[[Page 326]]

descriptive title of the officer before whom the deposition is to be 
taken.
    (d)(1) Every notice served on any adverse party under the provisions 
of paragraphs (b)(1) and (2) of this section, for the taking of direct 
examination, shall be accompanied by the written questions to be 
propounded on behalf of the party who proposes to take the deposition. 
Every notice served on any adverse party under the provisions of 
paragraph (b)(3) of this section, for the taking of cross-examination, 
shall be accompanied by the written questions to be propounded on behalf 
of the party who proposes to take the cross-examination. Within twenty 
days from the date of service of the notice of taking direct 
examination, or service of a testimony affidavit or declaration, any 
adverse party may serve cross questions upon the party who proposes to 
take the deposition. Any party who serves cross questions, whether in 
response to direct examination questions or under paragraph (b)(3) of 
this section, shall also serve every other adverse party. Within ten 
days from the date of service of the cross questions, the party who 
proposes to take the deposition, or who earlier offered testimony of the 
witness by affidavit or declaration, may serve redirect questions on 
every adverse party. Within ten days from the date of service of the 
redirect questions, any party who served cross questions may serve 
recross questions upon the party who proposes to take the deposition or 
who earlier offered testimony of the witness by affidavit or 
declaration; any party who serves recross questions shall also serve 
every other adverse party. Written objections to questions may be served 
on a party propounding questions; any party who objects shall serve a 
copy of the objections on every other adverse party. In response to 
objections, substitute questions may be served on the objecting party 
within ten days of the date of service of the objections; substitute 
questions shall be served on every other adverse party.
    (2) Upon motion for good cause by any party, or upon its own 
initiative, the Trademark Trial and Appeal Board may extend any of the 
time periods provided by paragraph (d)(1) of this section. Upon receipt 
of written notice that one or more testimonial depositions are to be 
taken upon written questions, the Trademark Trial and Appeal Board shall 
suspend or reschedule other proceedings in the matter to allow for the 
orderly completion of the depositions upon written questions.
    (3) Service of written questions, responses, and cross-examination 
questions shall be in accordance with Sec.2.119(b).
    (e) Within ten days after the last date when questions, objections, 
or substitute questions may be served, the party who proposes to take 
the deposition shall mail a copy of the notice and copies of all the 
questions to the officer designated in the notice; a copy of the notice 
and of all the questions mailed to the officer shall be served on every 
adverse party. The officer designated in the notice shall take the 
testimony of the witness in response to the questions and shall record 
each answer immediately after the corresponding question. The officer 
shall then certify the transcript and mail the transcript and exhibits 
to the party who took the deposition.
    (f) The party who took the deposition shall promptly serve a copy of 
the transcript, copies of documentary exhibits, and duplicates or 
photographs of physical exhibits on every adverse party. It is the 
responsibility of the party who takes the deposition to assure that the 
transcript is correct (see Sec.2.125(c)). If the deposition is a 
discovery deposition, it may be made of record as provided by Sec.
2.120(k). If the deposition is a testimonial deposition, the original, 
together with copies of documentary exhibits and duplicates or 
photographs of physical exhibits, shall be filed promptly with the 
Trademark Trial and Appeal Board.
    (g) Objections to questions and answers in depositions upon written 
questions may be considered at final hearing.

[48 FR 23139, May 23, 1983, as amended at 81 FR 69982, Oct. 7, 2016; 81 
FR 89383, Dec. 12, 2016]



Sec.2.125  Filing and service of testimony.

    (a) One copy of the declaration or affidavit prepared in accordance 
with Sec.2.123, together with copies of documentary exhibits and 
duplicates or

[[Page 327]]

photographs of physical exhibits, shall be served on each adverse party 
at the time the declaration or affidavit is submitted to the Trademark 
Trial and Appeal Board during the assigned testimony period.
    (b) One copy of the transcript of each testimony deposition taken in 
accordance with Sec.2.123 or Sec.2.124, together with copies of 
documentary exhibits and duplicates or photographs of physical exhibits, 
shall be served on each adverse party within thirty days after 
completion of the taking of that testimony. If the transcript with 
exhibits is not served on each adverse party within thirty days or 
within an extension of time for the purpose, any adverse party which was 
not served may have remedy by way of a motion to the Trademark Trial and 
Appeal Board to reset such adverse party's testimony and/or briefing 
periods, as may be appropriate. If the deposing party fails to serve a 
copy of the transcript with exhibits on an adverse party after having 
been ordered to do so by the Board, the Board, in its discretion, may 
strike the deposition, or enter judgment as by default against the 
deposing party, or take any such other action as may be deemed 
appropriate.
    (c) The party who takes testimony is responsible for having all 
typographical errors in the transcript and all errors of arrangement, 
indexing and form of the transcript corrected, on notice to each adverse 
party, prior to the filing of one certified transcript with the 
Trademark Trial and Appeal Board. The party who takes testimony is 
responsible for serving on each adverse party one copy of the corrected 
transcript or, if reasonably feasible, corrected pages to be inserted 
into the transcript previously served.
    (d) One certified transcript and exhibits shall be filed with the 
Trademark Trial and Appeal Board. Notice of such filing shall be served 
on each adverse party and a copy of each notice shall be filed with the 
Board.
    (e) Each transcript shall comply with Sec.2.123(g) with respect to 
arrangement, indexing and form.
    (f) Upon motion by any party, for good cause, the Trademark Trial 
and Appeal Board may order that any part of an affidavit or declaration 
or a deposition transcript or any exhibits that directly disclose any 
trade secret or other confidential research, development, or commercial 
information may be filed under seal and kept confidential under the 
provisions of Sec.2.27(e). If any party or any attorney or agent of a 
party fails to comply with an order made under this paragraph, the Board 
may impose any of the sanctions authorized by Sec.2.120(h).

[81 FR 69983, Oct. 7, 2016]



Sec.2.126  Form of submissions to the Trademark Trial and Appeal Board.

    (a) Submissions must be made to the Trademark Trial and Appeal Board 
via ESTTA.
    (1) Text in an electronic submission must be filed in at least 11-
point type and double-spaced.
    (2) Exhibits pertaining to an electronic submission must be made 
electronically as an attachment to the submission and must be clear and 
legible.
    (b) In the event that ESTTA is unavailable due to technical 
problems, or when extraordinary circumstances are present, submissions 
may be filed in paper form. All submissions in paper form, except the 
extensions of time to file a notice of opposition, the notice of 
opposition, the petition to cancel, or answers thereto (see Sec. Sec.
2.101(b)(2), 2.102(a)(2), 2.106(b)(1), 2.111(c)(2), and 2.114(b)(1)), 
must include a written explanation of such technical problems or 
extraordinary circumstances. Paper submissions that do not meet the 
showing required under this paragraph (b) will not be considered. A 
paper submission, including exhibits and depositions, must meet the 
following requirements:
    (1) A paper submission must be printed in at least 11-point type and 
double-spaced, with text on one side only of each sheet;
    (2) A paper submission must be 8 to 8.5 inches (20.3 to 21.6 cm.) 
wide and 11 to 11.69 inches (27.9 to 29.7 cm.) long, and contain no tabs 
or other such devices extending beyond the edges of the paper;
    (3) If a paper submission contains dividers, the dividers must not 
have any extruding tabs or other devices, and must be on the same size 
and weight paper as the submission;

[[Page 328]]

    (4) A paper submission must not be stapled or bound;
    (5) All pages of a paper submission must be numbered and exhibits 
shall be identified in the manner prescribed in Sec.2.123(g)(2);
    (6) Exhibits pertaining to a paper submission must be filed on paper 
and comply with the requirements for a paper submission.
    (c) To be handled as confidential, submissions to the Trademark 
Trial and Appeal Board that are confidential in whole or part pursuant 
to Sec.2.125(f) must be submitted using the ``Confidential'' selection 
available in ESTTA or, where appropriate, under a separate paper cover. 
Both the submission and its cover must be marked confidential and must 
identify the case number and the parties. A copy of the submission for 
public viewing with the confidential portions redacted must be submitted 
concurrently.

[81 FR 69983, Oct. 7, 2016, as amended at 81 FR 89383, Dec. 12, 2016]



Sec.2.127  Motions.

    (a) Every motion must be submitted in written form and must meet the 
requirements prescribed in Sec.2.126. It shall contain a full 
statement of the grounds, and shall embody or be accompanied by a brief. 
Except as provided in paragraph (e)(1) of this section, a brief in 
response to a motion shall be filed within twenty days from the date of 
service of the motion unless another time is specified by the Trademark 
Trial and Appeal Board, or the time is extended by stipulation of the 
parties approved by the Board, or upon motion granted by the Board, or 
upon order of the Board. If a motion for an extension is denied, the 
time for responding to the motion remains as specified under this 
section, unless otherwise ordered. Except as provided in paragraph 
(e)(1) of this section, a reply brief, if filed, shall be filed within 
twenty days from the date of service of the brief in response to the 
motion. The time for filing a reply brief will not be extended or 
reopened. The Board will consider no further papers in support of or in 
opposition to a motion. Neither the brief in support of a motion nor the 
brief in response to a motion shall exceed twenty-five pages in length 
in its entirety, including table of contents, index of cases, 
description of the record, statement of the issues, recitation of the 
facts, argument, and summary. A reply brief shall not exceed ten pages 
in length in its entirety. Exhibits submitted in support of or in 
opposition to a motion are not considered part of the brief for purposes 
of determining the length of the brief. When a party fails to file a 
brief in response to a motion, the Board may treat the motion as 
conceded. An oral hearing will not be held on a motion except on order 
by the Board.
    (b) Any request for reconsideration or modification of an order or 
decision issued on a motion must be filed within one month from the date 
thereof. A brief in response must be filed within twenty days from the 
date of service of the request.
    (c) Interlocutory motions, requests, conceded matters, and other 
matters not actually or potentially dispositive of a proceeding may be 
acted upon by a single Administrative Trademark Judge of the Trademark 
Trial and Appeal Board, or by an Interlocutory Attorney or Paralegal of 
the Board to whom authority to act has been delegated, or by ESTTA. 
Motions disposed of by orders entitled ``By the Trademark Trial and 
Appeal Board'' have the same legal effect as orders by a panel of three 
Administrative Trademark Judges of the Board.
    (d) When any party timely files a potentially dispositive motion, 
including, but not limited to, a motion to dismiss, a motion for 
judgment on the pleadings, or a motion for summary judgment, the case is 
suspended by the Trademark Trial and Appeal Board with respect to all 
matters not germane to the motion and no party should file any paper 
which is not germane to the motion except as otherwise may be specified 
in a Board order. If the case is not disposed of as a result of the 
motion, proceedings will be resumed pursuant to an order of the Board 
when the motion is decided.
    (e)(1) A party may not file a motion for summary judgment until the 
party has made its initial disclosures, except for a motion asserting 
claim or issue preclusion or lack of jurisdiction by the Trademark Trial 
and Appeal Board.

[[Page 329]]

A motion for summary judgment must be filed before the day of the 
deadline for pretrial disclosures for the first testimony period, as 
originally set or as reset. A motion under Rule 56(d) of the Federal 
Rules of Civil Procedure, if filed in response to a motion for summary 
judgment, shall be filed within thirty days from the date of service of 
the summary judgment motion. The time for filing a motion under Rule 
56(d) will not be extended or reopened. If no motion under Rule 56(d) is 
filed, a brief in response to the motion for summary judgment shall be 
filed within thirty days from the date of service of the motion unless 
the time is extended by stipulation of the parties approved by the 
Board, or upon motion granted by the Board, or upon order of the Board. 
If a motion for an extension is denied, the time for responding to the 
motion for summary judgment may remain as specified under this section. 
A reply brief, if filed, shall be filed within twenty days from the date 
of service of the brief in response to the motion. The time for filing a 
reply brief will not be extended or reopened. The Board will consider no 
further papers in support of or in opposition to a motion for summary 
judgment.
    (2) For purposes of summary judgment only, the Board will consider 
any of the following, if a copy is provided with the party's brief on 
the summary judgment motion: Written disclosures or disclosed documents, 
a discovery deposition or any part thereof with any exhibit to the part 
that is filed, an interrogatory and answer thereto with any exhibit made 
part of the answer, a request for production and the documents or things 
produced in response thereto, or a request for admission and any exhibit 
thereto and the admission (or a statement that the party from which an 
admission was requested failed to respond thereto). If any motion for 
summary judgment is denied, the parties may stipulate that the materials 
submitted with briefs on the motion be considered at trial as trial 
evidence, which may be supplemented by additional evidence during trial.
    (f) The Board will not hold any person in contempt, or award 
attorneys' fees or other expenses to any party.

[48 FR 23140, May 23, 1983, as amended at 54 FR 34900, Aug. 22, 1989; 63 
FR 48099, Sept. 9, 1998; 63 FR 52159, Sept. 30, 1998; 68 FR 55768, Sept. 
26, 2003; 72 FR 42262, Aug. 1, 2007; 81 FR 69983, Oct. 7, 2016; 82 FR 
33806, July 21, 2017]



Sec.2.128  Briefs at final hearing.

    (a)(1) The brief of the party in the position of plaintiff shall be 
due not later than sixty days after the date set for the close of 
rebuttal testimony. The brief of the party in the position of defendant, 
if filed, shall be due not later than thirty days after the due date of 
the first brief. A reply brief by the party in the position of 
plaintiff, if filed, shall be due not later than fifteen days after the 
due date of the defendant's brief.
    (2) When there is a counterclaim, or when proceedings have been 
consolidated and one party is in the position of plaintiff in one of the 
involved proceedings and in the position of defendant in another of the 
involved proceedings, or when there is an interference or a concurrent 
use registration proceeding involving more than two parties, the 
Trademark Trial and Appeal Board will set the due dates for the filing 
of the main brief, and the answering brief, and the rebuttal brief by 
the parties.
    (3) When a party in the position of plaintiff fails to file a main 
brief, an order may be issued allowing plaintiff until a set time, not 
less than fifteen days, in which to show cause why the Board should not 
treat such failure as a concession of the case. If plaintiff fails to 
file a response to the order, or files a response indicating that 
plaintiff has lost interest in the case, judgment may be entered against 
plaintiff. If a plaintiff files a response to the order showing good 
cause, but does not have any evidence of record and does not move to 
reopen its testimony period and make a showing of excusable neglect 
sufficient to support such reopening, judgment may be entered against 
plaintiff for failure to take testimony or submit any other evidence.
    (b) Briefs must be submitted in written form and must meet the 
requirements prescribed in Sec.2.126. Each brief

[[Page 330]]

shall contain an alphabetical index of cited cases. Without prior leave 
of the Trademark Trial and Appeal Board, a main brief on the case shall 
not exceed fifty-five pages in length in its entirety, including the 
table of contents, index of cases, description of the record, statement 
of the issues, recitation of the facts, argument, and summary; and a 
reply brief shall not exceed twenty-five pages in its entirety. 
Evidentiary objections that may properly be raised in a party's brief on 
the case may instead be raised in an appendix or by way of a separate 
statement of objections. The appendix or separate statement is not 
included within the page limit. Any brief beyond the page limits and any 
brief with attachments outside the stated requirements may not be 
considered by the Board.

[48 FR 23140, May 23, 1983; 48 FR 27226, June 14, 1983, as amended at 54 
FR 34900, Aug. 22, 1989; 68 FR 55768, Sept. 26, 2003; 81 FR 69984, Oct. 
7, 2016]



Sec.2.129  Oral argument; reconsideration.

    (a) If a party desires to have an oral argument at final hearing, 
the party shall request such argument by a separate notice filed not 
later than ten days after the due date for the filing of the last reply 
brief in the proceeding. Oral arguments will be heard by at least three 
Administrative Trademark Judges or other statutory members of the 
Trademark Trial and Appeal Board at the time specified in the notice of 
hearing. If any party appears at the specified time, that party will be 
heard. Parties and members of the Board may attend in person or, at the 
discretion of the Board, remotely. If the Board is prevented from 
hearing the case at the specified time, a new hearing date will be set. 
Unless otherwise permitted, oral arguments in an inter partes case will 
be limited to thirty minutes for each party. A party in the position of 
plaintiff may reserve part of the time allowed for oral argument to 
present a rebuttal argument.
    (b) The date or time of a hearing may be reset, so far as is 
convenient and proper, to meet the wishes of the parties and their 
attorneys or other authorized representatives. The Board may, however, 
deny a request to reset a hearing date for lack of good cause or if 
multiple requests for rescheduling have been filed.
    (c) Any request for rehearing or reconsideration or modification of 
a decision issued after final hearing must be filed within one month 
from the date of the decision. A brief in response must be filed within 
twenty days from the date of service of the request. The times specified 
may be extended by order of the Trademark Trial and Appeal Board on 
motion for good cause.
    (d) When a party to an inter partes proceeding before the Trademark 
Trial and Appeal Board cannot prevail without establishing constructive 
use pursuant to section 7(c) of the Act in an application under section 
1(b) of the Act, the Trademark Trial and Appeal Board will enter a 
judgment in favor of that party, subject to the party's establishment of 
constructive use. The time for filing an appeal or for commencing a 
civil action under section 21 of the Act shall run from the date of the 
entry of the judgment.

[48 FR 23141, May 23, 1983, as amended at 54 FR 29554, July 13, 1989; 54 
FR 34900, Aug. 22, 1989; 54 FR 37597, Sept. 11, 1989; 72 FR 42263, Aug. 
1, 2007; 81 FR 69984, Oct. 7, 2016]



Sec.2.130  New matter suggested by the trademark examining attorney.

    If, while an inter partes proceeding involving an application under 
section 1 or 44 of the Act is pending, facts appear which, in the 
opinion of the examining attorney, render the mark in the application 
unregistrable, the examining attorney should request that the Board 
remand the application. The Board may suspend the proceeding and remand 
the application to the trademark examining attorney for an ex parte 
determination of the question of registrability. A copy of the trademark 
examining attorney's final action will be furnished to the parties to 
the inter partes proceeding following the final determination of 
registrability by the trademark examining attorney or the Board on 
appeal. The Board will consider the application for such further inter 
partes action as may be appropriate.

[81 FR 69985, Oct. 7, 2016]

[[Page 331]]



Sec.2.131  Remand after decision in inter partes proceeding.

    If, during an inter partes proceeding involving an application under 
section 1 or 44 of the Act, facts are disclosed which appear to render 
the mark unregistrable, but such matter has not been tried under the 
pleadings as filed by the parties or as they might be deemed to be 
amended under Rule 15(b) of the Federal Rules of Civil Procedure to 
conform to the evidence, the Trademark Trial and Appeal Board, in lieu 
of determining the matter in the decision on the proceeding, may remand 
the application to the trademark examining attorney for reexamination in 
the event the applicant ultimately prevails in the inter partes 
proceeding. Upon remand, the trademark examining attorney shall 
reexamine the application in light of the matter referenced by the 
Board. If, upon reexamination, the trademark examining attorney finally 
refuses registration to the applicant, an appeal may be taken as 
provided by Sec. Sec.2.141 and 2.142.

[81 FR 69985, Oct. 7, 2016]



Sec.2.132  Involuntary dismissal for failure to take testimony.

    (a) If the time for taking testimony by any party in the position of 
plaintiff has expired and it is clear to the Board from the proceeding 
record that such party has not taken testimony or offered any other 
evidence, the Board may grant judgment for the defendant. Also, any 
party in the position of defendant may, without waiving the right to 
offer evidence in the event the motion is denied, move for dismissal on 
the ground of the failure of the plaintiff to prosecute. The party in 
the position of plaintiff shall have twenty days from the date of 
service of the motion to show cause why judgment should not be rendered 
dismissing the case. In the absence of a showing of excusable neglect, 
judgment may be rendered against the party in the position of plaintiff. 
If the motion is denied, testimony periods will be reset for the party 
in the position of defendant and for rebuttal.
    (b) If no evidence other than Office records showing the current 
status and title of plaintiff's pleaded registration(s) is offered by 
any party in the position of plaintiff, any party in the position of 
defendant may, without waiving the right to offer evidence in the event 
the motion is denied, move for dismissal on the ground that upon the law 
and the facts the party in the position of plaintiff has shown no right 
to relief. The party in the position of plaintiff shall have twenty days 
from the date of service of the motion to file a brief in response to 
the motion. The Trademark Trial and Appeal Board may render judgment 
against the party in the position of plaintiff, or the Board may decline 
to render judgment until all testimony periods have passed. If judgment 
is not rendered on the motion to dismiss, testimony periods will be 
reset for the party in the position of defendant and for rebuttal.
    (c) A motion filed under paragraph (a) or (b) of this section must 
be filed before the opening of the testimony period of the moving party, 
except that the Trademark Trial and Appeal Board may in its discretion 
grant a motion under paragraph (a) even if the motion was filed after 
the opening of the testimony period of the moving party.

[48 FR 23141, May 23, 1983, as amended at 51 FR 28710, Aug. 11, 1986; 81 
FR 69985, Oct. 7, 2016]



Sec.2.133  Amendment of application or registration during proceedings.

    (a) An application subject to an opposition may not be amended in 
substance nor may a registration subject to a cancellation be amended or 
disclaimed in part, except with the consent of the other party or 
parties and the approval of the Trademark Trial and Appeal Board, or 
upon motion granted by the Board.
    (b) If, in an inter partes proceeding, the Trademark Trial and 
Appeal Board finds that a party whose application or registration is the 
subject of the proceeding is not entitled to registration in the absence 
of a specified restriction to the application or registration, the Board 
will allow the party time in which to file a motion that the application 
or registration be amended to conform to the findings of the Board, 
failing which judgment will be entered against the party.

[[Page 332]]

    (c) Geographic limitations will be considered and determined by the 
Trademark Trial and Appeal Board only in the context of a concurrent use 
registration proceeding.
    (d) A plaintiff's pleaded registration will not be restricted in the 
absence of a counterclaim to cancel the registration in whole or in 
part, except that a counterclaim need not be filed if the registration 
is the subject of another proceeding between the same parties or anyone 
in privity therewith.

[54 FR 37597, Sept. 11, 1989, as amended at 72 FR 42263, Aug. 1, 2007]



Sec.2.134  Surrender or voluntary cancellation of registration.

    (a) After the commencement of a cancellation proceeding, if the 
respondent applies for cancellation of the involved registration under 
section 7(e) of the Act of 1946 without the written consent of every 
adverse party to the proceeding, judgment shall be entered against the 
respondent. The written consent of an adverse party may be signed by the 
adverse party or by the adverse party's attorney or other authorized 
representative.
    (b) After the commencement of a cancellation proceeding, if it comes 
to the attention of the Trademark Trial and Appeal Board that the 
respondent has permitted its involved registration to be cancelled under 
section 8 or section 71 of the Act of 1946, or has failed to renew its 
involved registration under section 9 of the Act of 1946, or has allowed 
its registered extension of protection to expire under section 70(b) of 
the Act of 1946, an order may be issued allowing respondent until a set 
time, not less than fifteen days, in which to show cause why such 
cancellation, failure to renew, or expiration should not be deemed to be 
the equivalent of a cancellation by request of respondent without the 
consent of the adverse party and should not result in entry of judgment 
against respondent as provided by paragraph (a) of this section. In the 
absence of a showing of good and sufficient cause, judgment may be 
entered against respondent as provided by paragraph (a) of this section.

[48 FR 23141, May 23, 1983, as amended at 54 FR 34900, Aug. 22, 1989; 63 
FR 48100, Sept. 9, 1998; 81 FR 69985, Oct. 7, 2016]



Sec.2.135  Abandonment of application or mark.

    After the commencement of an opposition, concurrent use, or 
interference proceeding, if the applicant files a written abandonment of 
the application or of the mark without the written consent of every 
adverse party to the proceeding, judgment shall be entered against the 
applicant. The written consent of an adverse party may be signed by the 
adverse party or by the adverse party's attorney or other authorized 
representative.

[54 FR 34900, Aug. 22, 1989]



Sec.2.136  Status of application or registration on termination of 
proceeding.

    After the Board has issued its decision in an opposition, 
cancellation or concurrent use proceeding, and after the time for filing 
any appeal of the decision has expired, or any appeal that was filed has 
been decided and the Board's decision affirmed, the proceeding will be 
terminated by the Board. On termination of an opposition, cancellation 
or concurrent use proceeding, if the judgment is not adverse to the 
applicant or registrant, the subject application returns to the status 
it had before the institution of the proceeding and the otherwise 
appropriate status of the subject registration is unaffected by the 
proceeding. If the judgment is adverse to the applicant or registrant, 
the application stands refused or the registration will be cancelled in 
whole or in part without further action and all proceedings thereon are 
considered terminated.

[81 FR 69985, Oct. 7, 2016]

                                 Appeals



Sec.2.141  Ex parte appeals from action of trademark examining attorney.

    (a) An applicant may, upon final refusal by the trademark examining 
attorney, appeal to the Trademark Trial and Appeal Board upon payment of 
the

[[Page 333]]

prescribed fee for each class in the application for which an appeal is 
taken, within six months of the date of issuance of the final action. A 
second refusal on the same grounds may be considered as final by the 
applicant for purpose of appeal.
    (b) The applicant must pay an appeal fee for each class from which 
the appeal is taken. If the applicant does not pay an appeal fee for at 
least one class of goods or services before expiration of the six-month 
statutory filing period, the application will be abandoned. In a 
multiple-class application, if an appeal fee is submitted for fewer than 
all classes, the applicant must specify the class(es) in which the 
appeal is taken. If the applicant timely submits a fee sufficient to pay 
for an appeal in at least one class, but insufficient to cover all the 
classes, and the applicant has not specified the class(es) to which the 
fee applies, the Board will issue a written notice setting a time limit 
in which the applicant may either pay the additional fees or specify the 
class(es) being appealed. If the applicant does not submit the required 
fee or specify the class(es) being appealed within the set time period, 
the Board will apply the fee(s) to the class(es) in ascending order, 
beginning with the lowest numbered class.

[73 FR 67772, Nov. 17, 2008]



Sec.2.142  Time and manner of ex parte appeals.

    (a) Any appeal filed under the provisions of Sec.2.141 must be 
filed within six months from the date of the final refusal or the date 
of the action from which the appeal is taken. An appeal is taken by 
filing a notice of appeal in written form, as prescribed in Sec.2.126, 
and paying the appeal fee.
    (b)(1) The brief of appellant shall be filed within sixty days from 
the date of appeal. If the brief is not filed within the time allowed, 
the appeal may be dismissed. The examining attorney shall, within sixty 
days after the brief of appellant is sent to the examining attorney, 
file with the Trademark Trial and Appeal Board a written brief answering 
the brief of appellant and shall email or mail a copy of the brief to 
the appellant. The appellant may file a reply brief within twenty days 
from the date of mailing of the brief of the examining attorney.
    (2) Briefs must meet the requirements prescribed in Sec.2.126, 
except examining attorney submissions need not be filed through ESTTA. 
Without prior leave of the Trademark Trial and Appeal Board, a brief 
shall not exceed twenty-five pages in length in its entirety, including 
the table of contents, index of cases, description of the record, 
statement of the issues, recitation of the facts, argument, and summary. 
A reply brief from the appellant, if any, shall not exceed ten pages in 
length in its entirety. Unless authorized by the Board, no further 
briefs are permitted.
    (3) Citation to evidence in briefs should be to the documents in the 
electronic application record by date, the name of the paper under which 
the evidence was submitted, and the page number in the electronic 
record.
    (c) All requirements made by the examining attorney and not the 
subject of appeal shall be complied with prior to the filing of an 
appeal, and the statement of issues in the brief should note such 
compliance.
    (d) The record in the application should be complete prior to the 
filing of an appeal. Evidence should not be filed with the Board after 
the filing of a notice of appeal. If the appellant or the examining 
attorney desires to introduce additional evidence after an appeal is 
filed, the appellant or the examining attorney should submit a request 
to the Board to suspend the appeal and to remand the application for 
further examination.
    (e)(1) If the appellant desires an oral hearing, a request should be 
made by a separate notice filed not later than ten days after the due 
date for a reply brief. Oral argument will be heard by at least three 
Administrative Trademark Judges or other statutory members of the 
Trademark Trial and Appeal Board at the time specified in the notice of 
hearing, which may be reset if the Board is prevented from hearing the 
argument at the specified time or, so far as is convenient and proper, 
to meet the wish of the appellant or the appellant's attorney or other 
authorized representative. Appellants, examining attorneys, and members 
of the

[[Page 334]]

Board may attend in person or, at the discretion of the Board, remotely.
    (2) If the appellant requests an oral argument, the examining 
attorney who issued the refusal of registration or the requirement from 
which the appeal is taken, or in lieu thereof another examining attorney 
as designated by a supervisory or managing attorney, shall present an 
oral argument. If no request for an oral hearing is made by the 
appellant, the appeal will be decided on the record and briefs.
    (3) Oral argument will be limited to twenty minutes by the appellant 
and ten minutes by the examining attorney. The appellant may reserve 
part of the time allowed for oral argument to present a rebuttal 
argument.
    (f)(1) If, during an appeal from a refusal of registration, it 
appears to the Trademark Trial and Appeal Board that an issue not 
previously raised may render the mark of the appellant unregistrable, 
the Board may suspend the appeal and remand the application to the 
examining attorney for further examination to be completed within the 
time set by the Board.
    (2) If the further examination does not result in an additional 
ground for refusal of registration, the examining attorney shall 
promptly return the application to the Board, for resumption of the 
appeal, with a written statement that further examination did not result 
in an additional ground for refusal of registration.
    (3) If the further examination does result in an additional ground 
for refusal of registration, the examining attorney and appellant shall 
proceed as provided by Sec. Sec.2.61, 2.62, and 2.63. If the ground 
for refusal is made final, the examining attorney shall return the 
application to the Board, which shall thereupon issue an order allowing 
the appellant sixty days from the date of the order to file a 
supplemental brief limited to the additional ground for the refusal of 
registration. If the supplemental brief is not filed by the appellant 
within the time allowed, the appeal may be dismissed.
    (4) If the supplemental brief of the appellant is filed, the 
examining attorney shall, within sixty days after the supplemental brief 
of the appellant is sent to the examining attorney, file with the Board 
a written brief answering the supplemental brief of appellant and shall 
email or mail a copy of the brief to the appellant. The appellant may 
file a reply brief within twenty days from the date of mailing of the 
brief of the examining attorney.
    (5) If an oral hearing on the appeal had been requested prior to the 
remand of the application but not yet held, an oral hearing will be set 
and heard as provided in paragraph (e) of this section. If an oral 
hearing had been held prior to the remand or had not been previously 
requested by the appellant, an oral hearing may be requested by the 
appellant by a separate notice filed not later than ten days after the 
due date for a reply brief on the additional ground for refusal of 
registration. If the appellant files a request for an oral hearing, one 
will be set and heard as provided in paragraph (e) of this section.
    (6) If, during an appeal from a refusal of registration, it appears 
to the examining attorney that an issue not involved in the appeal may 
render the mark of the appellant unregistrable, the examining attorney 
may, by written request, ask the Board to suspend the appeal and to 
remand the application to the examining attorney for further 
examination. If the request is granted, the examining attorney and 
appellant shall proceed as provided by Sec. Sec.2.61, 2.62, and 2.63. 
After the additional ground for refusal of registration has been 
withdrawn or made final, the examining attorney shall return the 
application to the Board, which shall resume proceedings in the appeal 
and take further appropriate action with respect thereto.
    (g) An application which has been considered and decided on appeal 
will not be reopened except for the entry of a disclaimer under section 
6 of the Act of 1946 or upon order of the Director, but a petition to 
the Director to reopen an application will be considered only upon a 
showing of sufficient cause for consideration of any matter not already 
adjudicated.

[48 FR 23141, May 23, 1983, as amended at 54 FR 34901, Aug. 22, 1989; 68 
FR 55768, Sept. 26, 2003; 72 FR 42263, Aug. 1, 2007; 80 FR 2312, Jan. 
16, 2015; 81 FR 69985, Oct. 7, 2016]

[[Page 335]]



Sec.2.143  [Reserved]



Sec.2.144  Reconsideration of decision on ex parte appeal.

    Any request for rehearing or reconsideration, or modification of the 
decision, must be filed within one month from the date of the decision. 
Such time may be extended by the Trademark Trial and Appeal Board upon a 
showing of sufficient cause.

[54 FR 29554, July 13, 1989]



Sec.2.145  Appeal to court and civil action.

    (a) For an Appeal to the United States Court of Appeals for the 
Federal Circuit under section 21(a) of the Act. (1) An applicant for 
registration, or any party to an interference, opposition, or 
cancellation proceeding or any party to an application to register as a 
concurrent user, hereinafter referred to as inter partes proceedings, 
who is dissatisfied with the decision of the Trademark Trial and Appeal 
Board, and any registrant who has filed an affidavit or declaration 
under section 8 or section 71 of the Act or who has filed an application 
for renewal and is dissatisfied with the decision of the Director 
(Sec. Sec.2.165, 2.184), may appeal to the United States Court of 
Appeals for the Federal Circuit. It is unnecessary to request 
reconsideration by the Board before filing any such appeal; however, a 
party requesting reconsideration must do so before filing a notice of 
appeal.
    (2) In all appeals under section 21(a), the appellant must take the 
following steps:
    (i) File the notice of appeal with the Director, addressed to the 
Office of the General Counsel, as provided in Sec.104.2 of this 
chapter;
    (ii) File a copy of the notice of appeal with the Trademark Trial 
and Appeal Board via ESTTA; and
    (iii) Comply with the requirements of the Federal Rules of Appellate 
Procedure and Rules for the United States Court of Appeals for the 
Federal Circuit, including serving the requisite number of copies on the 
Court and paying the requisite fee for the appeal.
    (3) Additional requirements. (i) The notice of appeal shall specify 
the party or parties taking the appeal and shall designate the decision 
or part thereof appealed from.
    (ii) In inter partes proceedings, the notice of appeal must be 
served as provided in Sec.2.119.
    (b) For a notice of election under section 21(a)(1) to proceed under 
section 21(b) of the Act. (1) Any applicant or registrant in an ex parte 
case who takes an appeal to the United States Court of Appeals for the 
Federal Circuit waives any right to proceed under section 21(b) of the 
Act.
    (2) If an adverse party to an appeal taken to the United States 
Court of Appeals for the Federal Circuit by a defeated party in an inter 
partes proceeding elects to have all further review proceedings 
conducted under section 21(b) of the Act, that party must take the 
following steps:
    (i) File a notice of election with the Director, addressed to the 
Office of the General Counsel, as provided in Sec.104.2 of this 
chapter;
    (ii) File a copy of the notice of election with the Trademark Trial 
and Appeal Board via ESTTA; and
    (iii) Serve the notice of election as provided in Sec.2.119.
    (c) For a civil action under section 21(b) of the Act. (1) Any 
person who may appeal to the United States Court of Appeals for the 
Federal Circuit (paragraph (a) of this section), may have remedy by 
civil action under section 21(b) of the Act. It is unnecessary to 
request reconsideration by the Board before filing any such civil 
action; however, a party requesting reconsideration must do so before 
filing a civil action.
    (2) Any applicant or registrant in an ex parte case who seeks remedy 
by civil action under section 21(b) of the Act must serve the summons 
and complaint pursuant to Rule 4(i) of the Federal Rules of Civil 
Procedure with the copy to the Director addressed to the Office of the 
General Counsel as provided in Sec.104.2 of this chapter. A copy of 
the complaint must also be filed with the Trademark Trial and Appeal 
Board via ESTTA.
    (3) The party initiating an action for review of a Board decision in 
an inter partes case under section 21(b) of the Act must file notice 
thereof with the Trademark Trial and Appeal Board via

[[Page 336]]

ESTTA no later than five business days after filing the complaint in the 
district court. The notice must identify the civil action with 
particularity by providing the case name, case number, and court in 
which it was filed. A copy of the complaint may be filed with the 
notice. Failure to file the required notice can result in termination of 
the Board proceeding and further action within the United States Patent 
and Trademark Office consistent with the final Board decision.
    (d) Time for appeal or civil action--(1) For an appeal under section 
21(a). The notice of appeal filed pursuant to section 21(a) of the Act 
must be filed with the Director no later than sixty-three (63) days from 
the date of the final decision of the Trademark Trial and Appeal Board 
or the Director. In inter partes cases, the time for filing a notice of 
cross-appeal expires 14 days after service of the notice of appeal or 63 
days from the date of the decision of the Trademark Trial and Appeal 
Board or the Director, whichever is later.
    (2) For a notice of election under 21(a)(1) and a civil action 
pursuant to such notice of election. The times for filing a notice of 
election under section 21(a)(1) and for commencing a civil action 
pursuant to a notice of election are governed by section 21(a)(1) of the 
Act.
    (3) For a civil action under section 21(b). A civil action must be 
commenced no later than sixty-three (63) days after the date of the 
final decision of the Trademark Trial and Appeal Board or Director. In 
inter partes cases, the time for filing a cross-action expires 14 days 
after service of the summons and complaint or 63 days from the date of 
the decision of the Trademark Trial and Appeal Board or the Director, 
whichever is later.
    (4) Time computation. (i) If a request for rehearing or 
reconsideration or modification of the Board decision is filed within 
the time specified in Sec.2.127(b), Sec.2.129(c), or Sec.2.144, or 
within any extension of time granted thereunder, the time for filing an 
appeal or commencing a civil action shall expire no later than sixty-
three (63) days after action on the request.
    (ii) Holidays. The times specified in this section in days are 
calendar days. If the last day of time specified for an appeal, notice 
of election, or commencing a civil action falls on a Saturday, Sunday or 
Federal holiday in the District of Columbia, the time is extended to the 
next day which is neither a Saturday, Sunday nor a Federal holiday in 
the District of Columbia pursuant to Sec.2.196.
    (e) Extension of time. (1) The Director, or the Director's designee, 
may extend the time for filing an appeal, or commencing a civil action, 
upon written request if:
    (i) Requested before the expiration of the period for filing an 
appeal or commencing a civil action, and upon a showing of good cause; 
or
    (ii) Requested after the expiration of the period for filing an 
appeal or commencing a civil action, and upon a showing that the failure 
to act was the result of excusable neglect.
    (2) The request must be filed as provided in Sec.104.2 of this 
chapter and addressed to the attention of the Office of the Solicitor. A 
copy of the request should also be filed with the Trademark Trial and 
Appeal Board via ESTTA.

[81 FR 69986, Oct. 7, 2016, as amended at 81 FR 89383, Dec. 12, 2016]

                  Petitions and Action by the Director



Sec.2.146  Petitions to the Director.

    (a) Petition may be taken to the Director in a trademark case:
    (1) From any repeated or final formal requirement of the examiner in 
the ex parte prosecution of an application if permitted by Sec.2.63(a) 
and (b);
    (2) In any case for which the Act of 1946, Title 35 of the United 
States Code, or parts 2, 3, 6, and 7 of Title 37 of the Code of Federal 
Regulations specifies that the matter is to be determined directly or 
reviewed by the Director;
    (3) To invoke the supervisory authority of the Director in 
appropriate circumstances;
    (4) In any case not specifically defined and provided for by parts 
2, 3, 6, and 7 of Title 37 of the Code of Federal Regulations; or
    (5) In an extraordinary situation, when justice requires and no 
other party is injured thereby, to request a

[[Page 337]]

suspension or waiver of any requirement of the rules not being a 
requirement of the Act of 1946.
    (b) Questions of substance arising during the ex parte prosecution 
of applications, including, but not limited to, questions arising under 
sections 2, 3, 4, 5, 6, and 23 of the Act of 1946, are not appropriate 
subject matter for petitions to the Director.
    (c) Every petition to the Director shall include a statement of the 
facts relevant to the petition, the points to be reviewed, the action or 
relief requested, and the fee required by Sec.2.6. Any brief in 
support of the petition shall be embodied in or accompany the petition. 
The petition must be signed by the petitioner, someone with legal 
authority to bind the petitioner (e.g., a corporate officer or general 
partner of a partnership), or a practitioner qualified to practice under 
Sec.11.14 of this chapter, in accordance with the requirements of 
Sec.2.193(e)(5). When facts are to be proved on petition, the 
petitioner must submit proof in the form of verified statements signed 
by someone with firsthand knowledge of the facts to be proved, and any 
exhibits.
    (d) Unless a different deadline is specified elsewhere in this 
chapter, a petition under this section must be filed by not later than:
    (1) Two months after the issue date of the action, or date of 
receipt of the filing, from which relief is requested; or
    (2) Where the applicant or registrant declares under Sec.2.20 or 
28 U.S.C. 1746 that it did not receive the action, or where no action 
was issued, the petition must be filed by not later than:
    (i) Two months of actual knowledge of the abandonment of an 
application and not later than six months after the date the trademark 
electronic records system indicates that the application is abandoned in 
full or in part;
    (ii) Where the registrant has timely filed an affidavit of use or 
excusable non-use under Section 8 or 71 of the Act, or a renewal 
application under Section 9 of the Act, two months after the date of 
actual knowledge of the cancellation/expiration of a registration and 
not later than six months after the date the trademark electronic 
records system indicates that the registration is cancelled/expired; or
    (iii) Two months after the date of actual knowledge of the denial of 
certification of an international application under Sec.7.13(b) and 
not later than six months after the trademark electronic records system 
indicates that certification is denied.
    (e)(1) A petition from the grant or denial of a request for an 
extension of time to file a notice of opposition must be filed by not 
later than fifteen days after the issue date of the grant or denial of 
the request. A petition from the grant of a request must be served on 
the attorney or other authorized representative of the potential 
opposer, if any, or on the potential opposer. A petition from the denial 
of a request must be served on the attorney or other authorized 
representative of the applicant, if any, or on the applicant. Proof of 
service of the petition must be made as provided by Sec.2.119. The 
potential opposer or the applicant, as the case may be, may file a 
response by not later than fifteen days after the date of service of the 
petition and must serve a copy of the response on the petitioner, with 
proof of service as provided by Sec.2.119. No further document 
relating to the petition may be filed.
    (2) A petition from an interlocutory order of the Trademark Trial 
and Appeal Board must be filed by not later than thirty days after the 
issue date of the order from which relief is requested. Any brief in 
response to the petition must be filed, with any supporting exhibits, by 
not later than fifteen days after the date of service of the petition. 
Petitions and responses to petitions, and any documents accompanying a 
petition or response under this subsection, must be served on every 
adverse party pursuant to Sec.2.119.
    (f) An oral hearing will not be held on a petition except when 
considered necessary by the Director.
    (g) The mere filing of a petition to the Director will not act as a 
stay in any appeal or inter partes proceeding that is pending before the 
Trademark Trial and Appeal Board, nor stay the period for replying to an 
Office action in an application, except when a stay is specifically 
requested and is granted or

[[Page 338]]

when Sec. Sec.2.63(a) and (b) and 2.65(a) are applicable to an ex 
parte application.
    (h) Authority to act on petitions, or on any petition, may be 
delegated by the Director.
    (i) If the Director denies a petition, the petitioner may request 
reconsideration, if:
    (1) The petitioner files the request by not later than:
    (i) Two months after the issue date of the decision denying the 
petition; or
    (ii) Two months after the date of actual knowledge of the decision 
denying the petition and not later than six months after the issue date 
of the decision where the petitioner declares under Sec.2.20 or 28 
U.S.C. 1746 that it did not receive the decision; and
    (2) The petitioner pays a second petition fee under Sec.2.6.

[82 FR 29409, June 29, 2017, as amended at 84 FR 37095, July 31, 2019]



Sec.2.147  Petition to the Director to accept a paper submission.

    (a) Paper submission when TEAS is unavailable on the date of a 
filing deadline. (1) An applicant or registrant may file a petition to 
the Director under this section requesting acceptance of a submission 
filed on paper if:
    (i) TEAS is unavailable on the date of the deadline for the 
submission specified in a regulation in part 2 or 7 of this chapter or 
in a section of the Act; and
    (ii) The petition is timely filed, pursuant to Sec.2.197 or Sec.
2.198, on the date of the deadline.
    (2) The petition must include:
    (i) The paper submission;
    (ii) Proof that TEAS was unavailable on the date of the deadline;
    (iii) A statement of the facts relevant to the petition, supported 
by a declaration under Sec.2.20 or 28 U.S.C. 1746 that is signed by 
the petitioner, someone with legal authority to bind the petitioner 
(e.g., a corporate officer or general partner of a partnership), or a 
practitioner qualified to practice under Sec.11.14 of this chapter;
    (iv) The fee for a petition filed on paper under Sec.
2.6(a)(15)(i); and
    (v) Any other required fee(s) under Sec.2.6 for the paper 
submission.
    (b) Certain paper submissions timely filed before the date of a 
filing deadline. (1) An applicant, registrant, or petitioner for 
cancellation may file a petition to the Director under this section, 
requesting acceptance of any of the following submissions that was 
timely submitted on paper and otherwise met the minimum filing 
requirements, but not processed or examined by the Office because it was 
not submitted electronically pursuant to Sec.2.21(a), Sec.2.23(a), 
or Sec.2.111(c)(1), and the applicant, registrant, or petitioner for 
cancellation is unable to timely resubmit the document electronically by 
the deadline:
    (i) An application seeking a priority filing date with a deadline 
under section 44(d)(1) of the Act;
    (ii) A statement of use filed within the last six months of the 
period specified in section 1(d)(2) of the Act;
    (iii) An affidavit or declaration of continued use or excusable 
nonuse with a deadline under section 8(a)(3) or section 71(a)(3) of the 
Act;
    (iv) A request for renewal of a registration with a deadline under 
section 9(a) of the Act;
    (v) An application for transformation of an extension of protection 
into a United States application with a deadline under section 70(c) of 
the Act; or
    (vi) A petition to cancel a registration under section 14 of the Act 
on the fifth year anniversary of the date of the registration of the 
mark.
    (2) The petition must be filed by not later than two months after 
the issue date of the notice denying acceptance of the paper filing and 
must include:
    (i) A statement of the facts relevant to the petition, supported by 
a declaration under Sec.2.20 or 28 U.S.C. 1746 that is signed by the 
petitioner, someone with legal authority to bind the petitioner (e.g., a 
corporate officer or general partner of a partnership), or a 
practitioner qualified to practice under Sec.11.14 of this chapter;
    (ii) A copy of the relevant paper submission and proof that it was 
timely filed;
    (iii) Proof that a sufficient fee accompanied the original paper 
submission;
    (iv) The required fee(s) under Sec.2.6 for the paper submission; 
and
    (v) The relevant petition fee under Sec.2.6(a)(15).
    (c) Petition under Sec.2.146. If the applicant or registrant is 
unable to meet

[[Page 339]]

the requirements under paragraphs (a) or (b) of this section for filing 
the petition, the applicant or registrant may submit a petition to the 
Director under Sec.2.146(a)(5) to request a waiver of Sec.2.21(a) or 
Sec.2.23(a).
    (d) This section does not apply to requirements for paper 
submissions to the Trademark Trial and Appeal Board except as specified 
in paragraph (b)(vi).

[84 FR 37095, July 31, 2019]



Sec.2.148  Director may suspend certain rules.

    In an extraordinary situation, when justice requires and no other 
party is injured thereby, any requirement of the rules in parts 2, 3, 6, 
and 7 of this chapter that is not a requirement of the Act may be 
suspended or waived by the Director.

[84 FR 37096, July 31, 2019]



Sec.2.149  Letters of protest against pending applications.

    (a) A third party may submit, for consideration and entry in the 
record of a trademark application, objective evidence relevant to the 
examination of the application for a ground for refusal of registration 
if the submission is made in accordance with this section.
    (b) A party protesting multiple applications must file a separate 
submission under this section for each application.
    (c) Any submission under this section must be filed no later than 30 
days after the date the application is published for opposition under 
section 12(a) of the Act and Sec.2.80 of this part. If the subject 
application cannot be withdrawn from issuance of a registration while 
consideration of the protest is pending, the protest may be considered 
untimely.
    (d)(1) If the letter of protest is filed before publication of the 
subject application, the evidence must be relevant to the identified 
ground(s) for refusal, such that it is appropriate for the examining 
attorney to consider whether to issue a refusal or make a requirement 
under the Act or this part.
    (2) If the letter of protest is filed on or within 30 days after the 
date of publication of the subject application, the evidence must 
establish a prima facie case for refusal on the identified ground(s), 
such that failure to issue a refusal or to make a requirement would 
likely result in issuance of a registration in violation of the Act or 
parts 2 or 7 of this section.
    (e) Filing a submission under this section does not stay or extend 
the time for filing a notice of opposition.
    (f) Any submission under this section must be made in writing, filed 
through TEAS, and include:
    (1) The fee required by Sec.2.6(a)(25);
    (2) The serial number of the pending application that is the subject 
of the protest;
    (3) An itemized evidence index that does not identify the protestor 
or its representatives, does not contain legal argument, and includes:
    (i) An identification of the documents, or portions of documents, 
being submitted as evidence. The submission may not total more than 10 
items of evidence in support of a specified ground of refusal and more 
than 75 total pages of evidence without a detailed and sufficient 
explanation that establishes the special circumstances that necessitate 
providing more than 10 items of evidence per refusal ground or more than 
75 total pages of evidence; and
    (ii) A concise factual statement of the relevant ground(s) for 
refusal of registration appropriate in ex parte examination that each 
item identified supports; and
    (4) A clear and legible copy of each item identified in the evidence 
index where:
    (i) Copies of third-party registrations come from the electronic 
records of the Office and show the current status and title of the 
registration;
    (ii) Evidence from the internet includes the date the evidence was 
published or accessed and the complete URL address of the website; and
    (iii) Copies of printed publications identify the publication name 
and date of publication.
    (g) Any submission under this section may not be entered or 
considered by the Office if:
    (1) Any part of the submission is not in compliance with this 
section;

[[Page 340]]

    (2) The application record shows that the examining attorney already 
considered the refusal ground(s) specified in the submission; or
    (3) A provision of the Act or parts 2 or 7 of this chapter precludes 
acceptance of the submission.
    (h) If a submission is determined to be in compliance with this 
section, only the specified ground(s) for refusal and the provided 
evidence relevant to the ground(s) for refusal will be included in the 
application record for consideration by the examining attorney. An 
applicant should not reply to the entry into the application record of 
evidence entered under this section.
    (i) Any determination whether to include in an application record 
the ground(s) or evidence for a refusal of registration in a submission 
under this section is not petitionable.
    (j) A third party filing a submission under this section will not 
receive any communication from the Office relating to the submission 
other than acknowledgement that it has been received by the Office and 
notification of whether the submission is found to be compliant or non-
compliant with this section. Communications with the third party will 
not be made of record in the application. The Office will not accept 
amendments to a non-compliant submission that was previously filed. 
Instead, a third party who previously filed a non-compliant submission 
may file another submission that meets the requirements of paragraph (f) 
of this section, provided the time period for filing a submission in 
paragraph (c) of this section has not closed.
    (k) The limited involvement of the third party ends with the filing 
of the submission under this section. The third party may not directly 
contact the examining attorney assigned to the application.

[85 FR 73215, Nov. 17, 2020]

                               Certificate



Sec.2.151  Certificate.

    When the Office determines that a mark is registrable, the Office 
will issue to the owner a certificate of registration on the Principal 
Register or the Supplemental Register. The certificate will state the 
application filing date, the act under which the mark is registered, the 
date of issue, and the number of the registration and will include a 
reproduction of the mark and pertinent data from the application. A 
notice of the requirements of sections 8 and 71 of the Act will issue 
with the certificate.

[84 FR 37096, July 31, 2019]

             Publication of Marks Registered Under 1905 Act

    Authority: Secs. 2.153 to 2.156 also issued under sec. 12, 60 Stat. 
432; 15 U.S.C. 1062.



Sec.2.153  Publication requirements.

    The owner of a mark registered under the provisions of the Trademark 
Act of 1881 or 1905 may at any time prior to the expiration of the 
period for which the registration was issued or renewed, upon the 
payment of the prescribed fee, file an affidavit or declaration in 
accordance with Sec.2.20 setting forth those goods or services in the 
registration on or in connection with which said mark is in use in 
commerce, and stating that the owner claims the benefits of the Act of 
1946. The affidavit or declaration must be signed by a person properly 
authorized to sign on behalf of the owner under Sec.2.193(e)(1).

[74 FR 54909, Oct. 26, 2009]



Sec.2.154  Publication in Official Gazette.

    A notice of the claim of benefits under the Act of 1946 and a 
reproduction of the mark will then be published in the Official Gazette 
as soon as practicable. The published mark will retain its original 
registration number.



Sec.2.155  Notice of publication.

    The Office will send the registrant a notice of publication of the 
mark and of the requirement for filing the affidavit or declaration 
required by section 8 of the Act.

[64 FR 48924, Sept. 8, 1999]



Sec.2.156  Not subject to opposition; subject to cancellation.

    The published mark is not subject to opposition, but is subject to 
petitions to cancel as specified in Sec.2.111 and to

[[Page 341]]

cancellation for failure to file the affidavit or declaration required 
by section 8 of the Act.

[64 FR 48924, Sept. 8, 1999]

           Reregistration of Marks Registered Under Prior Acts



Sec.2.158  Reregistration of marks registered under Acts of 1881, 1905, and 1920.

    Trademarks registered under the Act of 1881, the Act of 1905 or the 
Act of 1920 may be reregistered under the Act of 1946, either on the 
Principal Register, if eligible, or on the Supplemental Register, but a 
new complete application for registration must be filed complying with 
the rules relating thereto, and such application will be subject to 
examination and other proceedings in the same manner as other 
applications filed under the Act of 1946. See Sec.2.26 for use of old 
drawing.

        Cancellation for Failure To File Affidavit or Declaration

    Authority: Secs. 2.161 to 2.165 also issued under sec. 8, 60 Stat. 
431; 15 U.S.C. 1058.



Sec.2.160  Affidavit or declaration of continued use or excusable 
nonuse required to avoid cancellation of registration.

    (a) During the following time periods, the owner of the registration 
must file an affidavit or declaration of continued use or excusable 
nonuse, or the registration will be cancelled:
    (1)(i) For registrations issued under the Trademark Act of 1946, on 
or after the fifth anniversary and no later than the sixth anniversary 
after the date of registration; or
    (ii) For registrations issued under prior Acts, on or after the 
fifth anniversary and no later than the sixth anniversary after the date 
of publication under section 12(c) of the Act; and
    (2) For all registrations, within the year before the end of every 
ten-year period after the date of registration.
    (3) The affidavit or declaration may be filed within a grace period 
of six months after the end of the deadline set forth in paragraphs 
(a)(1) and (a)(2) of this section, with payment of the grace period 
surcharge per class required by section 8(a)(3) of the Act and Sec.
2.6.
    (b) For the requirements for the affidavit or declaration, see Sec.
2.161.

[64 FR 48924, Sept. 8, 1999, as amended at 75 FR 35976, June 24, 2010]



Sec.2.161  Requirements for a complete affidavit or declaration of use 
in commerce or excusable nonuse; requirement for the submission of 
additional information, exhibits, affidavits or declarations, and 
specimens; and fee for deletions of goods, services, and/or 
          classes from a registration.

    (a) Requirements for a complete affidavit or declaration. A complete 
affidavit or declaration under section 8 of the Act must:
    (1) Be filed by the owner within the period set forth in Sec.
2.160(a);
    (2) Include a verified statement attesting to the use in commerce or 
excusable nonuse of the mark within the period set forth in section 8 of 
the Act. This verified statement must be executed on or after the 
beginning of the filing period specified in Sec.2.160(a);
    (3) Include the U.S. registration number;
    (4)(i) Include the fee required by Sec.2.6 for each class that the 
affidavit or declaration covers;
    (ii) If the affidavit or declaration is filed during the grace 
period under section 8(a)(3) of the Act, include the grace period 
surcharge per class required by Sec.2.6; and
    (iii) If at least one fee is submitted for a multiple-class 
registration, but the fee is insufficient to cover all the classes, and 
the class(es) to which the fee(s) should be applied is not specified, 
the Office will issue a notice requiring either submission of the 
additional fee(s) or specification of the class(es) to which the initial 
fee(s) should be applied. Additional fees may be submitted if the 
requirements of Sec.2.164 are met. If the additional fee(s) is not 
submitted within the time period set out in the Office action, and the 
class(es) to which the original fee(s) should be applied is not 
specified, the Office will presume that the fee(s) covers the classes in 
ascending order, beginning with the lowest numbered class;
    (5)(i) Specify the goods, services, or nature of the collective 
membership

[[Page 342]]

organization for which the mark is in use in commerce, and/or the goods, 
services, or nature of the collective membership organization for which 
excusable nonuse is claimed under paragraph (a)(6)(ii) of this section; 
and
    (ii) Specify the goods, services, or classes being deleted from the 
registration, if the affidavit or declaration covers fewer than all the 
goods, services, or classes in the registration;
    (6)(i) State that the registered mark is in use in commerce; or
    (ii) If the registered mark is not in use in commerce on or in 
connection with all the goods, services, or classes specified in the 
registration, set forth the date when such use of the mark in commerce 
stopped and the approximate date when such use is expected to resume, 
and recite facts to show that nonuse as to those goods, services, or 
classes is due to special circumstances that excuse the nonuse and is 
not due to an intention to abandon the mark; and
    (7) Include one specimen showing how the mark is in use in commerce 
for each class in the registration, unless excusable nonuse is claimed 
under paragraph (a)(6)(ii) of this section. When requested by the 
Office, additional specimens must be provided. The specimen must meet 
the requirements of Sec.2.56.
    (8) Additional requirements for a collective mark: In addition to 
the above requirements, a complete affidavit or declaration pertaining 
to a collective mark must:
    (i) State that the owner is exercising legitimate control over the 
use of the mark in commerce; and
    (ii) If the registration issued from an application based solely on 
section 44 of the Act, state the nature of the owner's control over the 
use of the mark by the members in the first affidavit or declaration 
filed under paragraph (a)(1) of this section.
    (9) Additional requirements for a certification mark: In addition to 
the above requirements, a complete affidavit or declaration pertaining 
to a certification mark must:
    (i) Include a copy of the certification standards specified in Sec.
2.45(a)(4)(i)(B);
    (A) Submitting certification standards for the first time. If the 
registration issued from an application based solely on section 44 of 
the Act, include a copy of the certification standards in the first 
affidavit or declaration filed under paragraph (a)(1) of this section; 
or
    (B) Certification standards submitted in prior filing. If the 
certification standards in use at the time of filing the affidavit or 
declaration have not changed since the date they were previously 
submitted to the Office, include a statement to that effect. If the 
certification standards in use at the time of filing the affidavit or 
declaration have changed since the date they were previously submitted 
to the Office, include a copy of the revised certification standards;
    (ii) State that the owner is exercising legitimate control over the 
use of the mark in commerce; and
    (iii) Satisfy the requirements of Sec.2.45(a)(4)(i)(A) and (C).
    (10) For requirements of a complete affidavit or declaration of use 
in commerce or excusable nonuse for a registration that issued from a 
section 66(a) basis application, see Sec.7.37.
    (b) Requirement for the submission of additional information, 
exhibits, affidavits or declarations, and specimens. The Office may 
require the owner to furnish such information, exhibits, affidavits or 
declarations, and such additional specimens as may be reasonably 
necessary to the proper examination of the affidavit or declaration 
under section 8 of the Act or for the Office to assess and promote the 
accuracy and integrity of the register.
    (c) Fee for deletions of goods, services, and/or classes from a 
registration. Deletions by the owner of goods, services, and/or classes 
from a registration after submission and prior to acceptance of the 
affidavit or declaration must be accompanied by the relevant fee in 
Sec.2.6(a)(12)(iii) or (iv).

[85 FR 73216, Nov. 17, 2020]



Sec.2.162  Notice to registrant.

    When a certificate of registration is originally issued, the Office 
issues with the certificate a notice of the requirement for filing the 
affidavit or declaration of use or excusable nonuse under section 8 or 
section 71 of the Act. However, the affidavit or declaration must

[[Page 343]]

be filed within the time period required by section 8 or section 71 of 
the Act even if this notice is not received.

[84 FR 37096, July 31, 2019]



Sec.2.163  Acknowledgment of receipt of affidavit or declaration.

    The Office will issue a notice as to whether an affidavit or 
declaration is acceptable, or the reasons for refusal.
    (a) If the affidavit or declaration is filed within the time periods 
set forth in section 8 of the Act, deficiencies may be corrected after 
notification from the Office if the requirements of Sec.2.164 are met.
    (b) A response to the refusal must be filed within six months of the 
date of issuance of the Office action, or before the end of the filing 
period set forth in section 8(a) of the Act, whichever is later. The 
response must be signed by the owner, someone with legal authority to 
bind the owner (e.g., a corporate officer or general partner of a 
partnership), or a practitioner qualified to practice under Sec.11.14 
of this chapter, in accordance with the requirements of Sec.
2.193(e)(2).
    (c) If no response is filed within this time period, the 
registration will be cancelled, unless time remains in the grace period 
under section 8(a)(3) of the Act. If time remains in the grace period, 
the owner may file a complete, new affidavit.

[75 FR 35976, June 24, 2010, as amended at 76 FR 69133, Nov. 8, 2011]



Sec.2.164  Correcting deficiencies in affidavit or declaration.

    (a) If the affidavit or declaration is filed within the time periods 
set forth in section 8 of the Act, deficiencies may be corrected after 
notification from the Office, as follows:
    (1) Correcting deficiencies in affidavits or declarations timely 
filed within the periods set forth in sections 8(a)(1) and 8(a)(2) of 
the Act. If the affidavit or declaration is timely filed within the 
relevant filing period set forth in section 8(a)(1) or section 8(a)(2) 
of the Act, deficiencies may be corrected before the end of this filing 
period without paying a deficiency surcharge. Deficiencies may be 
corrected after the end of this filing period with payment of the 
deficiency surcharge required by section 8(c) of the Act and Sec.2.6.
    (2) Correcting deficiencies in affidavits or declarations filed 
during the grace period. If the affidavit or declaration is filed during 
the six-month grace period provided by section 8(a)(3) of the Act, 
deficiencies may be corrected before the expiration of the grace period 
without paying a deficiency surcharge. Deficiencies may be corrected 
after the expiration of the grace period with payment of the deficiency 
surcharge required by section 8(c) of the Act and Sec.2.6.
    (b) If the affidavit or declaration is not filed within the time 
periods set forth in section 8 of the Act, the registration will be 
cancelled.

[75 FR 35976, June 24, 2010, as amended at 76 FR 69133, Nov. 8, 2011]



Sec.2.165  Petition to Director to review refusal.

    (a) A response to the examiner's initial refusal to accept an 
affidavit or declaration is required before filing a petition to the 
Director, unless the examiner directs otherwise. See Sec.2.163(b) for 
the deadline for responding to an examiner's Office action.
    (b) If the examiner maintains the refusal of the affidavit or 
declaration, the owner may file a petition to the Director to review the 
action. The petition must be filed within six months of the date of 
issuance of the action maintaining the refusal, or the Office will 
cancel the registration and issue a notice of the cancellation.
    (c) A decision by the Director is necessary before filing an appeal 
or commencing a civil action in any court.

[64 FR 48925, Sept. 8, 1999, as amended at 73 FR 67773, Nov. 17, 2008]



Sec.2.166  Affidavit of continued use or excusable nonuse combined 
with renewal application.

    An affidavit or declaration under section 8 of the Act and a renewal 
application under section 9 of the Act may be combined into a single 
document, provided that the document meets the requirements of both 
sections 8 and 9 of the Act.

[64 FR 48925, Sept. 8, 1999]

[[Page 344]]

                Affidavit or Declaration Under Section 15



Sec.2.167  Affidavit or declaration under section 15.

    The affidavit or declaration in accordance with Sec.2.20 provided 
by section 15 of the Act for acquiring incontestability for a mark 
registered on the Principal Register or a mark registered under the 
Trademark Act of 1881 or 1905 and published under section 12(c) of the 
Act (see Sec.2.153) must:
    (a) Be verified;
    (b) Identify the certificate of registration by the certificate 
number and date of registration;
    (c) For a trademark, service mark, collective trademark, collective 
service mark, and certification mark, recite the goods or services 
stated in the registration on or in connection with which the mark has 
been in continuous use in commerce for a period of five years after the 
date of registration or date of publication under section 12(c) of the 
Act, and is still in use in commerce; for a collective membership mark, 
describe the nature of the owner's collective membership organization 
specified in the registration in connection with which the mark has been 
in continuous use in commerce for a period of five years after the date 
of registration or date of publication under section 12(c) of the Act, 
and is still in use in commerce;
    (d) Specify that there has been no final decision adverse to the 
owner's claim of ownership of such mark for such goods, services, or 
collective membership organization, or to the owner's right to register 
the same or to keep the same on the register;
    (e) Specify that there is no proceeding involving said rights 
pending in the Office or in a court and not finally disposed of;
    (f) Be filed within one year after the expiration of any five-year 
period of continuous use following registration or publication under 
section 12(c) of the Act; and
    (g) Include the fee required by Sec.2.6 for each class to which 
the affidavit or declaration pertains in the registration. If no fee, or 
a fee insufficient to cover at least one class, is filed at an 
appropriate time, the affidavit or declaration will not be refused if 
the required fee(s) (see Sec.2.6) is filed in the Office within the 
time limit set forth in the notification of this defect by the Office. 
If the submitted fees are insufficient to cover all classes in the 
registration, the particular class or classes to which the affidavit or 
declaration pertains should be specified.
    (h) If the affidavit or declaration fails to satisfy any of the 
requirements in paragraphs (a) through (g) of this section, the owner 
will be notified in an Office action that the affidavit or declaration 
cannot be acknowledged. If a response is not received within the time 
period provided or does not satisfy the requirements of the Office 
action, the affidavit or declaration will be abandoned.
    (i) If the affidavit or declaration satisfies paragraphs (a) through 
(g) of this section, the Office will issue a notice of acknowledgement.
    (j) An affidavit or declaration may be abandoned by the owner upon 
petition to the Director under Sec.2.146 either before or after the 
notice of acknowledgement has issued.
    (k) If an affidavit or declaration is abandoned, the owner may file 
a new affidavit or declaration with a new filing fee.

(Sec. 15, 60 Stat. 433; 15 U.S.C. 1065; 35 U.S.C. 6; 15 U.S.C. 1113, 
1123)

[30 FR 13193, Oct. 16, 1965, as amended at 47 FR 41282, Sept. 17, 1982; 
64 FR 48925, Sept. 8, 1999; 73 FR 67773, Nov. 17, 2008; 74 FR 54910, 
Oct. 26, 2009; 80 FR 33188, June 11, 2015]



Sec.2.168  Affidavit or declaration under section 15 combined with 
affidavit or declaration under sections 8 or 71, or with renewal 
application.

    (a) The affidavit or declaration filed under section 15 of the Act 
may also be used as the affidavit or declaration required by section 8, 
if the affidavit or declaration meets the requirements of both sections 
8 and 15. The affidavit or declaration filed under section 15 of the Act 
may also be used as the affidavit or declaration required by section 71, 
if the affidavit or declaration meets the requirements of both sections 
71 and 15.
    (b) The affidavit or declaration filed under section 15 of the Act 
may be combined with an application for renewal of a registration under 
section 9

[[Page 345]]

of the Act, if the requirements of both sections 9 and 15 are met.

[64 FR 48925, Sept. 8, 1999, as amended at 75 FR 35976, June 24, 2010]

                 Correction, Disclaimer, Surrender, Etc.



Sec.2.171  New certificate on change of ownership.

    (a) Full change of ownership. If the ownership of a registered mark 
changes, the new owner may request that a new certificate of 
registration be issued in the name of the new owner. The assignment or 
other document changing title must be recorded in the Office. The 
request for the new certificate must include the fee required by Sec.
2.6(a)(8) and be signed by the owner of the registration, someone with 
legal authority to bind the owner (e.g., a corporate officer or general 
partner of a partnership), or a practitioner qualified to practice under 
Sec.11.14 of this chapter. In a registered extension of protection, 
the assignment must be recorded with the International Bureau of the 
World Intellectual Property Organization before it can be recorded in 
the Office (see Sec.7.22).
    (b) Partial change of ownership. (1) In a registration resulting 
from an application based on section 1 or section 44 of the Act, if 
ownership of a registration has changed with respect to some but not all 
of the goods and/or services, the owner(s) may file a request that the 
registration be divided into two or more separate registrations. The 
assignment or other document changing title must be recorded in the 
Office. The request to divide must include the fee required by Sec.
2.6(a)(8) for each new registration created by the division, and be 
signed by the owner of the registration, someone with legal authority to 
bind the owner (e.g., a corporate officer or general partner of a 
partnership), or a practitioner qualified to practice under Sec.11.14 
of this chapter, in accordance with Sec.2.193(e)(2) of this chapter.
    (2)(i) When the International Bureau of the World Intellectual 
Property Organization notifies the Office that an international 
registration has been divided as the result of a change of ownership 
with respect to some but not all of the goods and/or services, the 
Office will construe the International Bureau's notice as a request to 
divide. The Office will update Office records to reflect the change in 
ownership, divide out the assigned goods and/or services from the 
registered extension of protection (parent registration), and publish 
notice of the parent registration in the Official Gazette.
    (ii) The Office will create a new registration number for the child 
registration, and enter the information about the new registration in 
its automated records. The Office will notify the new owner that the new 
owner must pay the fee required by Sec.2.6 to obtain a new 
registration certificate for the child registration. It is not necessary 
for the new owner to file a separate request to divide.
    (iii) The Office will not divide a registered extension of 
protection unless the International Bureau notifies the Office that the 
international registration has been divided.

[73 FR 67774, Nov. 17, 2008, as amended at 74 FR 54910, Oct. 26, 2009; 
80 FR 2312, Jan. 16, 2015]



Sec.2.172  Surrender for cancellation.

    Upon application by the owner, the Director may permit any 
registration to be surrendered for cancellation. The application for 
surrender must be signed by the owner of the registration, someone with 
legal authority to bind the owner (e.g., a corporate officer or general 
partner of a partnership), or a practitioner qualified to practice under 
Sec.11.14 of this chapter. When a registration has more than one 
class, one or more entire class(es) but fewer than the total number of 
classes may be surrendered. Deletion of fewer than all the goods or 
services in a single class constitutes amendment of the registration as 
to that class (see Sec.2.173), rather than surrender. A surrender for 
cancellation may not subsequently be withdrawn.

[80 FR 2312, Jan. 16, 2015]



Sec.2.173  Amendment of registration.

    (a) Form of amendment. The owner of a registration may apply to 
amend a registration or to disclaim part of the mark in the 
registration. The owner

[[Page 346]]

must submit a written request specifying the amendment or disclaimer. If 
the registration is involved in an inter partes proceeding before the 
Trademark Trial and Appeal Board, the request must be filed by 
appropriate motion to the Board.
    (b) Requirements for request. A request for amendment or disclaimer 
must:
    (1) Include the fee required by Sec.2.6;
    (2) Be verified and signed in accordance with Sec.2.193(e)(6); and
    (3) If the amendment involves a change in the mark: one new specimen 
per class showing the mark as used on or in connection with the goods, 
services, or collective membership organization; a verified statement 
that the specimen was in use in commerce at least as early as the filing 
date of the amendment; and a new drawing of the amended mark. When 
requested by the Office, additional specimens must be provided.
    (4) The Office may require the owner to furnish such specimens, 
information, exhibits, and affidavits or declarations as may be 
reasonably necessary to the proper examination of the amendment.
    (c) Registration must still contain registrable matter. The 
registration as amended must still contain registrable matter, and the 
mark as amended must be registrable as a whole.
    (d) Amendment may not materially alter the mark. An amendment or 
disclaimer that materially alters the character of the mark will not be 
permitted, in accordance with section 7(e) of the Act.
    (e) Amendment of identification of goods, services, or collective 
membership organization. No amendment in the identification of goods or 
services, or description of the nature of the collective membership 
organization, in a registration will be permitted except to restrict the 
identification or to change it in ways that would not require 
republication of the mark.
    (f) Amendment of certification statement for certification marks. An 
amendment of the certification statement specified in Sec.
2.45(a)(4)(i)(A) or (a)(4)(ii)(A) that would materially alter the 
certification statement will not be permitted, in accordance with 
section 7(e) of the Act.
    (g) Conforming amendments may be required. If the registration 
includes a disclaimer, description of the mark, or other miscellaneous 
statement, any request to amend the registration must include a request 
to make any necessary conforming amendments to the disclaimer, 
description, or other statement.
    (h) Elimination of disclaimer. No amendment seeking the elimination 
of a disclaimer will be permitted, unless deletion of the disclaimed 
portion of the mark is also sought.
    (i) No amendment to add or delete section 2(f) claim of acquired 
distinctiveness. An amendment seeking the addition or deletion of a 
claim of acquired distinctiveness will not be permitted.

[73 FR 67774, Nov. 17, 2008, as amended at 77 FR 30207, May 22, 2012; 80 
FR 33189, June 11, 2015]



Sec.2.174  Correction of Office mistake.

    Whenever Office records clearly disclose a material mistake in a 
registration, incurred through the fault of the Office, the Office will 
issue a certificate of correction stating the fact and nature of the 
mistake, signed by the Director or by an employee designated by the 
Director, without charge. Thereafter, the corrected certificate shall 
have the same effect as if it had been originally issued in the 
corrected form. In the discretion of the Director, the Office may issue 
a new certificate of registration without charge.

[73 FR 67774, Nov. 17, 2008]



Sec.2.175  Correction of mistake by owner.

    (a) Whenever a mistake has been made in a registration and a showing 
has been made that the mistake occurred in good faith through the fault 
of the owner, the Director may issue a certificate of correction. In the 
discretion of the Director, the Office may issue a new certificate upon 
payment of the required fee, provided that the correction does not 
involve such changes in the registration as to require republication of 
the mark.
    (b) An application for such action must:
    (1) Include the following:

[[Page 347]]

    (i) Specification of the mistake for which correction is sought;
    (ii) Description of the manner in which it arose; and
    (iii) A showing that it occurred in good faith;
    (2) Be verified; and
    (3) Be accompanied by the required fee.

(Sec. 7, 60 Stat. 430, as amended; 15 U.S.C. 1057)

[30 FR 13193, Oct. 16, 1965, as amended at 31 FR 5262, Apr. 1, 1966; 69 
FR 51364, Aug. 19, 2004; 73 FR 67774, Nov. 17, 2008; 80 FR 33189, June 
11, 2015]



Sec.2.176  Consideration of above matters.

    The matters in Sec. Sec.2.171 to 2.175 will be considered in the 
first instance by the Post Registration examiners, except for requests 
to amend registrations involved in inter partes proceedings before the 
Trademark Trial and Appeal Board, as specified in Sec.2.173(a), which 
shall be considered by the Board. If an action of the examiner is 
adverse, the owner of the registration may petition the Director to 
review the action under Sec.2.146. If the owner does not respond to an 
adverse action of the examiner within six months of the date of 
issuance, the matter will be considered abandoned.

[73 FR 67774, Nov. 17, 2008]

                            Term and Renewal

    Authority: Secs. 2.181 to 2.184 also issued under sec. 9, 60 Stat. 
431; 15 U.S.C. 1059.



Sec.2.181  Term of original registrations and renewals.

    (a)(1) Subject to the provisions of section 8 of the Act requiring 
an affidavit or declaration of continued use or excusable nonuse, 
registrations issued or renewed prior to November 16, 1989, whether on 
the Principal Register or on the Supplemental Register, remain in force 
for twenty years from their date of issue or the date of renewal, and 
may be further renewed for periods of ten years, unless previously 
cancelled or surrendered.
    (2) Subject to the provisions of section 8 of the Act requiring an 
affidavit or declaration of continued use or excusable nonuse, 
registrations issued or renewed on or after November 16, 1989, whether 
on the Principal Register or on the Supplemental Register, remain in 
force for ten years from their date of issue or the date of renewal, and 
may be further renewed for periods of ten years, unless previously 
cancelled or surrendered.
    (b) Registrations issued under the Acts of 1905 and 1881 remain in 
force for their unexpired terms and may be renewed in the same manner as 
registrations under the Act of 1946.
    (c) Registrations issued under the Act of 1920 cannot be renewed 
unless renewal is required to support foreign registrations and in such 
case may be renewed on the Supplemental Register in the same manner as 
registrations under the Act of 1946.

[30 FR 13193, Oct. 16, 1965, as amended at 54 FR 37597, Sept. 11, 1989; 
64 FR 48926, Sept. 8, 1999]



Sec.2.182  Time for filing renewal application.

    An application for renewal must be filed within one year before the 
expiration date of the registration, or within the six-month grace 
period after the expiration date of the registration. If no renewal 
application is filed within this period, the registration will expire.

[64 FR 48926, Sept. 8, 1999]



Sec.2.183  Requirements for a complete renewal application.

    A complete renewal application must include:
    (a) A request for renewal of the registration, signed by the 
registrant or the registrant's representative;
    (b) The fee required by Sec.2.6 for each class;
    (c) The additional fee required by Sec.2.6 for each class if the 
renewal application is filed during the six-month grace period set forth 
in section 9(a) of the Act;
    (d) If the renewal application covers less than all the goods, 
services, or classes in the registration, then a list specifying the 
particular goods, services, or classes to be renewed.
    (e) If at least one fee is submitted for a multiple-class 
registration, but the fee is insufficient to cover all the classes and 
the class(es) to which the fee(s) should be applied are not specified, 
the

[[Page 348]]

Office will issue a notice requiring either the submission of additional 
fee(s) or an indication of the class(es) to which the original fee(s) 
should be applied. Additional fee(s) may be submitted if the 
requirements of Sec.2.185 are met. If the required fee(s) are not 
submitted and the class(es) to which the original fee(s) should be 
applied are not specified, the Office will presume that the fee(s) cover 
the classes in ascending order, beginning with the lowest numbered 
class.
    (f) Renewals of registrations issued under a prior classification 
system will be processed on the basis of that system, unless the 
registration has been amended to adopt international classification 
pursuant to Sec.2.85(e)(3).

[64 FR 48926, Sept. 8, 1999, as amended at 67 FR 79523, Dec. 30, 2002; 
73 FR 67775, Nov. 17, 2008; 80 FR 33189, June 11, 2015]



Sec.2.184  Refusal of renewal.

    (a) If the renewal application is not acceptable, the Office will 
issue a notice stating the reason(s) for refusal.
    (b)(1) The registrant must file a response to the refusal of renewal 
within six months of the date of issuance of the Office action, or 
before the expiration date of the registration, whichever is later. If 
no response is filed within this time period, the registration will 
expire, unless time remains in the grace period under section 9(a) of 
the Act. If time remains in the grace period, the registrant may file a 
complete new renewal application.
    (2) The response must be signed by the registrant, someone with 
legal authority to bind the registrant (e.g., a corporate officer or 
general partner of a partnership), or a practitioner who meets the 
requirements of Sec.11.14 of this chapter, in accordance with the 
requirements of Sec.2.193(e)(2).
    (c) If the renewal application is not filed within the time periods 
set forth in section 9(a) of the Act, the registration will expire.

[64 FR 48926, Sept. 8, 1999, as amended at 73 FR 67775, Nov. 17, 2008; 
74 FR 54910, Oct. 26, 2009]



Sec.2.185  Correcting deficiencies in renewal application.

    (a) If the renewal application is filed within the time periods set 
forth in section 9(a) of the Act, deficiencies may be corrected after 
notification from the Office, as follows:
    (1) Correcting deficiencies in renewal applications filed within one 
year before the expiration date of the registration. If the renewal 
application is filed within one year before the expiration date of the 
registration, deficiencies may be corrected before the expiration date 
of the registration without paying a deficiency surcharge. Deficiencies 
may be corrected after the expiration date of the registration with 
payment of the deficiency surcharge required by section 9(a) of the Act 
and Sec.2.6.
    (2) Correcting deficiencies in renewal applications filed during the 
grace period. If the renewal application is filed during the six-month 
grace period, deficiencies may be corrected before the expiration of the 
grace period without paying a deficiency surcharge. Deficiencies may be 
corrected after the expiration of the grace period with payment of the 
deficiency surcharge required by section 9(a) of the Act and Sec.2.6.
    (b) If the renewal application is not filed within the time periods 
set forth in section 9(a) of the Act, the registration will expire. This 
deficiency cannot be cured.

[64 FR 48926, Sept. 8, 1999, as amended at 80 FR 2312, Jan. 16, 2015]



Sec.2.186  Petition to Director to review refusal of renewal.

    (a) A response to the examiner's initial refusal of the renewal 
application is required before filing a petition to the Director, unless 
the examiner directs otherwise. See Sec.2.184(b) for the deadline for 
responding to an examiner's Office action.
    (b) If the examiner maintains the refusal of the renewal 
application, a petition to the Director to review the refusal may be 
filed. The petition must be filed within six months of the date of 
issuance of the Office action maintaining the refusal, or the renewal 
application will be abandoned and the registration will expire.
    (c) A decision by the Director is necessary before filing an appeal 
or commencing a civil action in any court.

[64 FR 48926, Sept. 8, 1999, as amended at 73 FR 67775, Nov. 17, 2008]

[[Page 349]]

        General Information and Correspondence in Trademark Cases

    Source: 68 FR 48289, Aug. 13, 2003, unless otherwise noted.



Sec. Sec.2.188  [Reserved]



Sec.2.189  Requirement to provide domicile address.

    An applicant or registrant must provide and keep current the address 
of its domicile, as defined in Sec.2.2(o).

[84 FR 31511, July 2, 2019]



Sec.2.190  Addresses for trademark correspondence with the 
United States Patent and Trademark Office.

    (a) Paper trademark documents. In general, trademark documents to be 
delivered by the USPS must be addressed to: Commissioner for Trademarks, 
P.O. Box 1451, Alexandria, VA 22313-1451. Trademark-related documents to 
be delivered by hand, private courier, or other delivery service may be 
delivered during the hours the Office is open to receive correspondence 
to the Trademark Assistance Center, James Madison Building--East Wing, 
Concourse Level, 600 Dulany Street, Alexandria, Virginia 22314.
    (b) Electronic trademark documents. Trademark documents filed 
electronically must be submitted through TEAS. Documents that relate to 
proceedings before the Trademark Trial and Appeal Board must be filed 
electronically with the Board through ESTTA.
    (c) Trademark assignment documents. Requests to record documents in 
the Assignment Recordation Branch may be filed electronically through 
ETAS. Paper documents and cover sheets to be recorded in the Assignment 
Recordation Branch should be addressed as designated in Sec.3.27 of 
this chapter.
    (d) Requests for certified copies of trademark documents. Paper 
requests for certified copies of trademark documents must be addressed 
to: Mail Stop Document Services, Director of the United States Patent 
and Trademark Office, P.O. Box 1450, Alexandria, Virginia 22313-1450.
    (e) Certain documents relating to international applications and 
registrations. International applications under Sec.7.11, subsequent 
designations under Sec.7.21, responses to notices of irregularity 
under Sec.7.14, requests to record changes in the International 
Register under Sec.7.23 and Sec.7.24, requests to note replacements 
under Sec.7.28, requests for transformation under Sec.7.31 of this 
chapter, and petitions to the Director to review an action of the 
Office's Madrid Processing Unit must be addressed to: Madrid Processing 
Unit, 600 Dulany Street, Alexandria, VA 22314-5796.

[84 FR 37096, July 31, 2019]



Sec.2.191  Action of the Office based on the written record.

    All business with the Office must be transacted in writing. The 
action of the Office will be based exclusively on the written record. No 
consideration will be given to any alleged oral promise, stipulation, or 
understanding when there is disagreement or doubt.

[84 FR 37096, July 31, 2019]



Sec.2.192  Business to be conducted with decorum and courtesy.

    Trademark applicants, registrants, and parties to proceedings before 
the Trademark Trial and Appeal Board and their attorneys or agents are 
required to conduct their business with decorum and courtesy. Documents 
presented in violation of this requirement will be submitted to the 
Director and will be returned by the Director's direct order. Complaints 
against trademark examining attorneys and other employees must be made 
in correspondence separate from other documents.



Sec.2.193  Trademark correspondence and signature requirements.

    (a) Signature required. Each piece of correspondence that requires a 
signature must bear:
    (1) A handwritten signature personally signed in permanent ink by 
the person named as the signatory, or a true copy thereof; or
    (2) An electronic signature that meets the requirements of paragraph 
(c) of this section, personally entered by the person named as the 
signatory. The Office will accept an electronic signature that meets the 
requirements

[[Page 350]]

of paragraph (c) of this section on correspondence filed on paper or 
through TEAS or ESTTA.
    (b) Copy of original signature. If a copy of an original signature 
is filed, the filer should retain the original as evidence of 
authenticity. If a question of authenticity arises, the Office may 
require submission of the original.
    (c) Requirements for electronic signature. A person signing a 
document electronically must:
    (1) Personally enter any combination of letters, numbers, spaces 
and/or punctuation marks that the signer has adopted as a signature, 
placed between two forward slash (``/'') symbols in the signature block 
on the electronic submission; or
    (2) Sign the document using some other form of electronic signature 
specified by the Director.
    (d) Signatory must be identified. The first and last name, and the 
title or position, of the person who signs a document in connection with 
a trademark application, registration, or proceeding before the 
Trademark Trial and Appeal Board must be set forth immediately below or 
adjacent to the signature.
    (e) Proper person to sign. Documents filed in connection with a 
trademark application or registration must be signed as specified in 
paragraphs (e)(1) through (9) of this section:
    (1) Verified statement of facts. A verified statement in support of 
an application for registration, amendment to an application for 
registration, allegation of use under Sec.2.76 or Sec.2.88, request 
for extension of time to file a statement of use under Sec.2.89, or an 
affidavit under section 8, 12(c), 15, or 71 of the Act must satisfy the 
requirements of Sec.2.2(n), and be signed by the owner or a person 
properly authorized to sign on behalf of the owner. A person who is 
properly authorized to verify facts on behalf of an owner is:
    (i) A person with legal authority to bind the owner (e.g., a 
corporate officer or general partner of a partnership);
    (ii) A person with firsthand knowledge of the facts and actual or 
implied authority to act on behalf of the owner; or
    (iii) An attorney as defined in Sec.11.1 of this chapter who has 
an actual written or verbal power of attorney or an implied power of 
attorney from the owner.
    (2) Responses, amendments to applications, requests for express 
abandonment, requests for reconsideration of final actions, and requests 
to divide. Responses to Office actions, amendments to applications, 
requests for express abandonment, requests for reconsideration of final 
actions, and requests to divide must be signed by the owner of the 
application or registration, someone with legal authority to bind the 
owner (e.g., a corporate officer or general partner of a partnership), 
or a practitioner qualified to practice under Sec.11.14 of this 
chapter, in accordance with the following guidelines:
    (i) If the owner is represented by a practitioner qualified to 
practice before the Office under Sec.11.14 of this chapter, the 
practitioner must sign, except where the owner is required to sign the 
correspondence; or
    (ii) If the owner is not represented by a practitioner qualified to 
practice under Sec.11.14 of this chapter, the individual owner or 
someone with legal authority to bind the owner (e.g., a corporate 
officer or general partner of a partnership) must sign. In the case of 
joint owners who are not represented by a qualified practitioner, all 
must sign.
    (3) Powers of attorney and revocations of powers of attorney. Powers 
of attorney and revocations of powers of attorney must be signed by the 
individual applicant, registrant or party to a proceeding pending before 
the Office, or by someone with legal authority to bind the applicant, 
registrant, or party (e.g., a corporate officer or general partner of a 
partnership). In the case of joint applicants, registrants, or parties, 
all must sign. Once the applicant, registrant or party has designated a 
qualified practitioner(s), the named practitioner may sign an associate 
power of attorney appointing another qualified practitioner(s) as an 
additional person(s) authorized to prosecute the application or 
registration. If the applicant, registrant, or party revokes the 
original power of attorney, the revocation discharges any associate 
power signed by the practitioner whose power has been revoked. If the 
practitioner

[[Page 351]]

who signed an associate power withdraws, the withdrawal discharges any 
associate power signed by the withdrawing practitioner upon acceptance 
of the request for withdrawal by the Office.
    (4) Petitions to revive under Sec.2.66. A petition to revive under 
Sec.2.66 must be signed by someone with firsthand knowledge of the 
facts regarding unintentional delay.
    (5) Petitions to Director under Sec.2.146 or Sec.2.147. A 
petition to the Director under Sec.2.146 or Sec.2.147 must be signed 
by the petitioner, someone with legal authority to bind the petitioner 
(e.g., a corporate officer or general partner of a partnership), or a 
practitioner qualified to practice under Sec.11.14 of this chapter, in 
accordance with the following guidelines:
    (i) If the petitioner is represented by a practitioner qualified to 
practice before the Office under Sec.11.14 of this chapter, the 
practitioner must sign; or
    (ii) If the petitioner is not represented by a practitioner 
authorized to practice before the Office under Sec.11.14 of this 
chapter, the individual petitioner or someone with legal authority to 
bind the petitioner (e.g., a corporate officer or general partner of a 
partnership) must sign. In the case of joint petitioners, all must sign.
    (6) Requests for correction, amendment or surrender of 
registrations. A request for correction, amendment or surrender of a 
registration must be signed by the owner of the registration, someone 
with legal authority to bind the owner (e.g., a corporate officer or 
general partner of a partnership), or a practitioner qualified to 
practice before the Office under Sec.11.14 of this chapter. In the 
case of joint owners who are not represented by a qualified 
practitioner, all must sign.
    (7) Renewal applications. A renewal application must be signed by 
the registrant or the registrant's representative.
    (8) Designations and revocations of domestic representative. A 
designation or revocation of a domestic representative must be signed by 
the applicant or registrant, someone with legal authority to bind the 
applicant or registrant (e.g., a corporate officer or general partner of 
a partnership), or a practitioner qualified to practice under Sec.
11.14 of this chapter. In the case of joint applicants or registrants, 
all must sign.
    (9) Requests to change correspondence address in an application or 
registration. A notice of change of correspondence address in an 
application or registration must be signed by the applicant or 
registrant, someone with legal authority to bind the applicant or 
registrant (e.g., a corporate officer or general partner of a 
partnership), or a practitioner qualified to practice under Sec.11.14 
of this chapter, in accordance with the following guidelines:
    (i) If the applicant or registrant is represented by a practitioner 
qualified to practice before the Office under Sec.11.14 of this 
chapter, the practitioner must sign; or
    (ii) If the applicant or registrant is not represented by a 
practitioner qualified to practice before the Office under Sec.11.14, 
the individual applicant or registrant or someone with legal authority 
to bind the applicant or registrant (e.g., a corporate officer or 
general partner of a partnership) must sign. In the case of joint 
applicants or joint registrants, all must sign.
    (10) Cover letters. A person transmitting paper documents to the 
Office may sign a cover letter or transmittal letter. The Office neither 
requires cover letters nor questions the authority of a person who signs 
a communication that merely transmits paper documents.
    (f) Signature as certification. The presentation to the Office 
(whether by signing, filing, submitting, or later advocating) of any 
document by any person, whether a practitioner or non-practitioner, 
constitutes a certification under Sec.11.18(b) of this chapter. 
Violations of Sec.11.18(b) of this chapter may jeopardize the validity 
of the application or registration, and may result in the imposition of 
sanctions under Sec.11.18(c) of this chapter. Any practitioner 
violating Sec.11.18(b) of this chapter may also be subject to 
disciplinary action. See Sec.11.18(d) and Sec.11.804 of this 
chapter.
    (g) Separate copies for separate files. (1) Since each file must be 
complete in itself, a separate copy of every document filed in 
connection with a trademark application, registration, or inter

[[Page 352]]

partes proceeding must be furnished for each file to which the document 
pertains, even though the documents filed in multiple files may be 
identical.
    (2) Parties should not file duplicate copies of documents in a 
single application, registration, or proceeding file, unless the Office 
requires the filing of duplicate copies.
    (h) Separate documents for separate branches of the Office. Since 
different branches or sections of the Office may consider different 
matters, each distinct subject, inquiry or order must be contained in a 
separate document to avoid confusion and delay in answering 
correspondence.
    (i) Certified documents required by statute. When a statute requires 
that a document be certified, a copy or facsimile transmission of the 
certification is not acceptable.

[74 FR 54910, Oct. 26, 2009, as amended at 80 FR 33189, June 11, 2015; 
83 FR 1559, Jan. 12, 2018; 84 FR 37096, July 31, 2019]



Sec.2.194  Identification of trademark application or registration.

    (a) No correspondence relating to a trademark application should be 
filed prior to receipt of the application serial number.
    (b) (1) A letter about a trademark application should identify the 
serial number, the name of the applicant, and the mark.
    (2) A letter about a registered trademark should identify the 
registration number, the name of the registrant, and the mark.



Sec.2.195  Filing date of trademark correspondence.

    The filing date of trademark correspondence is determined as 
follows:
    (a) Electronic submissions. The filing date of an electronic 
submission is the date the Office receives the submission, based on 
Eastern Time, regardless of whether that date is a Saturday, Sunday, or 
Federal holiday within the District of Columbia.
    (b) Paper correspondence. The filing date of a submission submitted 
on paper is the date the Office receives the submission, except as 
follows:
    (1) Priority Mail Express[supreg]. The filing date of the submission 
is the date of deposit with the USPS, if filed pursuant to the 
requirements of Sec.2.198.
    (2) Certificate of mailing. The filing date of the submission is the 
date of deposit with the USPS, if filed pursuant to the requirements of 
Sec.2.197.
    (3) Office closed. The Office is not open to receive paper 
correspondence on any day that is a Saturday, Sunday, or Federal holiday 
within the District of Columbia.
    (c) Email and facsimile submissions. Email and facsimile submissions 
are not permitted and, if submitted, will not be accorded a date of 
receipt.
    (d) Interruptions in USPS. If the Director designates a postal 
service interruption or emergency within the meaning of 35 U.S.C. 21(a), 
any person attempting to file correspondence by Priority Mail 
Express[supreg] Post Office to Addressee service who was unable to 
deposit the correspondence with the USPS due to the interruption or 
emergency may petition the Director to consider such correspondence as 
filed on a particular date in the Office. The petition must:
    (1) Be filed promptly after the ending of the designated 
interruption or emergency;
    (2) Include the original correspondence or a copy of the original 
correspondence; and
    (3) Include a statement that the correspondence would have been 
deposited with the USPS on the requested filing date but for the 
designated interruption or emergency in Priority Mail Express[supreg] 
service; and that the correspondence attached to the petition is the 
original correspondence or a true copy of the correspondence originally 
attempted to be deposited as Priority Mail Express[supreg] on the 
requested filing date.

[84 FR 37097, July 31, 2019]



Sec.2.196  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 regulation under this part for taking any action or paying 
any fee in the Office falls on a Saturday, Sunday, or Federal holiday 
within the District of Columbia, the

[[Page 353]]

action may be taken, or the fee paid, on the next succeeding day that is 
not a Saturday, Sunday, or a Federal holiday.



Sec.2.197  Certificate of mailing.

    (a) The filing date of correspondence submitted under this section 
is the date of deposit with the USPS if the correspondence:
    (1) Is addressed as set out in Sec.2.190 and deposited with the 
USPS with sufficient postage as first-class mail; and
    (2) Includes a certificate of mailing for each piece of 
correspondence that:
    (i) Attests to the mailing and the address used;
    (ii) Includes the name of the document and the application serial 
number or USPTO reference number, if assigned, or registration number to 
which the document pertains;
    (iii) Is signed separately from any signature for the correspondence 
by a person who has a reasonable basis to expect that the correspondence 
would be mailed on the date indicated; and
    (iv) Sets forth the date of deposit with the USPS.
    (b) If correspondence is mailed in accordance with paragraph (a) of 
this section, but not received by the Office, the party who mailed such 
correspondence may file a petition to the Director under Sec.
2.146(a)(2) to consider such correspondence filed in the Office on the 
date of deposit with the USPS. The petition must:
    (1) Be filed within two months after the date of mailing;
    (2) Include a copy of the previously mailed correspondence and 
certificate; and
    (3) Include a verified statement attesting to the facts of the 
original mailing.
    (c) If the certificate of mailing does not meet the requirements of 
paragraph (a)(2) of this section, the filing date is the date the Office 
receives the submission.

[84 FR 37097, July 31, 2019]



Sec.2.198  Filing of correspondence by Priority Mail Express[supreg].

    (a) The filing date of correspondence submitted under this section 
is the date of deposit with the USPS, as shown by the ``date accepted'' 
on the Priority Mail Express[supreg] label or other official USPS 
notation.
    (b) If the USPS deposit date cannot be determined, the filing date 
is the date the Office receives the submission.
    (c) If there is a discrepancy between the filing date accorded by 
the Office to the correspondence and the ``date accepted,'' the party 
who submitted the correspondence may file a petition to the Director 
under Sec.2.146(a)(2) to accord the correspondence a filing date as of 
the ``date accepted.'' The petition must:
    (1) Be filed within two months after the date of deposit;
    (2) Include a true copy of the Priority Mail Express[supreg] mailing 
label showing the ``date accepted,'' and any other official notation by 
the USPS relied upon to show the date of deposit; and
    (3) Include a verified statement attesting to the facts of the 
original mailing.
    (d) If the party who submitted the correspondence can show that the 
``date accepted'' was incorrectly entered or omitted by the USPS, the 
party may file a petition to the Director under Sec.2.146(a)(2) to 
accord the correspondence a filing date as of the date the 
correspondence is shown to have been deposited with the USPS. The 
petition must:
    (1) Be filed within two months after the date of deposit;
    (2) Include proof that the correspondence was deposited in the 
Priority Mail Express[supreg] Post Office to Addressee service prior to 
the last scheduled pickup on the requested filing date. Such proof must 
be corroborated by evidence from the USPS or evidence that came into 
being within one business day after the date of deposit; and
    (3) Include a verified statement attesting to the facts of the 
original mailing.
    (e) If correspondence is properly addressed to the Office pursuant 
to Sec.2.190 and deposited with sufficient postage in the Priority 
Mail Express[supreg] Post Office to Addressee service of the USPS, but 
not received by the Office, the party who submitted the correspondence 
may file a petition to the Director under Sec.2.146(a)(2) to consider 
such correspondence filed in the Office on the USPS deposit date. The 
petition must:

[[Page 354]]

    (1) Be filed within two months after the date of deposit;
    (2) Include a copy of the previously mailed correspondence showing 
the number of the Priority Mail Express[supreg] mailing label thereon; 
and
    (3) Include a verified statement attesting to the facts of the 
original mailing.

[84 FR 37097, July 31, 2019]

     Trademark Records and Files of the Patent and Trademark Office

    Source: 68 FR 48292, Aug. 13, 2003, unless otherwise noted.



Sec.2.200  Assignment records open to public inspection.

    (a)(1) Separate assignment records are maintained in the Office for 
patents and trademarks. The assignment records relating to trademark 
applications and registrations (for assignments recorded on or after 
January 1, 1955) are open to public inspection at the Office, and copies 
of those assignment records may be obtained upon request and payment of 
the fee set forth in Sec.2.6 of this chapter.
    (2) 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.
    (b) 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.

[68 FR 48292, Aug. 13, 2003, as amended at 81 FR 72707, Oct. 21, 2016]



Sec.2.201  Copies and certified copies.

    (a) Non-certified copies of trademark registrations and of any 
trademark records or trademark documents within the jurisdiction of the 
Office and open to the public, will be furnished by the Office to any 
person entitled thereto, upon payment of the appropriate fee required by 
Sec.2.6.
    (b) Certified copies of trademark registrations and of any trademark 
records or trademark documents within the jurisdiction of the Office and 
open to the public will be authenticated by the seal of the Office and 
certified by the Director, or in his or her name attested by an officer 
of the Office authorized by the Director, upon payment of the fee 
required by Sec.2.6.

              Fees and Payment of Money in Trademark Cases

    Source: 68 FR 48292, Aug. 13, 2003, unless otherwise noted.



Sec.2.206  Trademark fees payable in advance.

    (a) Trademark fees and charges payable to the 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.
    (b) All fees paid to the Office must be itemized in each individual 
trademark application or registration file, or trademark proceeding, so 
that the purpose for which the fees are paid is clear. The Office may 
return fees that are not itemized as required by this paragraph.



Sec.2.207  Methods of payment.

    (a) All payments of money required in trademark cases, including 
fees for the processing of international trademark applications and 
registrations that are paid through the Office, shall be made in U.S. 
dollars and in the form of a cashier's or certified check, Treasury 
note, national bank note, or United States Postal Service money order. 
If sent in any other form, the Office may delay or cancel the credit 
until collection is made. Checks and money orders must be made payable 
to the Director of the United States Patent and Trademark Office. 
(Checks made payable to the Commissioner of Patents and Trademarks will 
continue to be accepted.) Payments from foreign countries must be 
payable and immediately negotiable in the United States for the full 
amount of the fee required. Money sent to the Office by mail will be at 
the risk of the sender, and letters containing money should be 
registered with the United States Postal Service.
    (b) Payments of money required for trademark fees may also be made 
by credit card, except for replenishing a

[[Page 355]]

deposit account. Payment of a fee by credit card must specify the amount 
to be charged to the credit card and such other information as is 
necessary to process the charge, and is subject to collection of the 
fee. The Office will not accept a general authorization to charge fees 
to a credit card. If credit card information is provided on a form or 
document other than a form provided by the Office for the payment of 
fees by credit card, the Office will not be liable if the credit card 
number becomes public knowledge.

[68 FR 48292, Aug. 13, 2003, as amended at 69 FR 43752, July 22, 2004]



Sec.2.208  Deposit accounts.

    (a) For the convenience of attorneys, and the general public in 
paying any fees due, in ordering copies of records, or services offered 
by the Office, deposit accounts may be established in the Office. A 
minimum deposit of $1,000 is required for paying any fees due or in 
ordering any services offered by the Office. The Office will issue a 
deposit account statement at the end of each month. 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. An amount sufficient to cover all fees, 
copies, or services requested must always be on deposit. Charges to 
accounts with insufficient funds will not be accepted. A service charge 
(Sec.2.6(b)(11)) will be assessed for each month that the balance at 
the end of the month is below $1,000.
    (b) A general authorization to charge all fees, or only certain fees 
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 document filed. 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.
    (c) A deposit account holder may replenish the deposit account by 
submitting a payment to the Office. A payment to replenish a deposit 
account must be submitted by one of the methods set forth in paragraphs 
(c)(1), (c)(2), (c)(3), or (c)(4) of this section.
    (1) A payment to replenish a deposit account may be submitted by 
electronic funds transfer through the Federal Reserve Fedwire System, 
which requires that the following information be provided to the deposit 
account holder's bank or financial institution:
    (i) Name of the Bank, which is Treas NYC (Treasury New York City);
    (ii) Bank Routing Code, which is 021030004;
    (iii) United States Patent and Trademark Office account number with 
the Department of the Treasury, which is 13100001; and
    (iv) The deposit account holder's company name and deposit account 
number.
    (2) A payment to replenish a deposit account may be submitted by 
electronic funds transfer over the Office's Internet Web site 
(www.uspto.gov).
    (3) A payment to replenish a deposit account may be addressed to: 
Director of the United States Patent and Trademark Office, Attn: Deposit 
Accounts, 2051 Jamieson Avenue, Suite 300, Alexandria, Virginia 22314.

[68 FR 48292, Aug. 13, 2003, as amended at 69 FR 43752, July 22, 2004; 
70 FR 56128, Sept. 26, 2005; 73 FR 67775, Nov. 17, 2008; 81 FR 72707, 
Oct. 21, 2016]



Sec.2.209  Refunds.

    (a) The Director may refund any fee paid by mistake or in excess of 
that required. A change of purpose after the payment of a fee, such as 
when a party desires to withdraw a trademark application, appeal or 
other trademark filing for which a fee was paid, will not entitle a 
party to a refund of such fee. The Office will not refund amounts of 
twenty-five dollars or less unless a refund is specifically requested, 
and will not notify the payor of such amounts. If a party paying a fee 
or requesting a refund does not provide the banking information 
necessary for making refunds by electronic funds transfer (31 U.S.C. 
3332 and 31 CFR part 208), or instruct the Office that refunds are to be 
credited to a deposit account, the Director may require such 
information, or use the banking information on the payment instrument to 
make a refund.

[[Page 356]]

Any refund of a fee paid by credit card will be by a credit to the 
credit card account to which the fee was charged.
    (b) Any request for refund must be filed within two years from the 
date the fee was paid, except as otherwise provided in this paragraph. 
If the Office charges a deposit account by an amount other than an 
amount specifically indicated in an authorization (Sec.2.208(b)), any 
request for refund based upon such charge must be filed within two years 
from the date of the deposit account statement indicating such charge, 
and include a copy of that deposit account statement. The time periods 
set forth in this paragraph are not extendable.



PART 3_ASSIGNMENT, RECORDING AND RIGHTS OF ASSIGNEE--Table of Contents



    Editorial Note: Part 3 pertaining to both patents and trademarks is 
placed in the grouping pertaining to patents regulations.



PART 4_COMPLAINTS REGARDING INVENTION PROMOTERS--Table of Contents



    Editorial Note: Part 4 is placed in the separate grouping of parts 
pertaining to patents regulations.



PART 5_SECRECY OF CERTAIN INVENTIONS AND LICENSES TO EXPORT AND FILE 
APPLICATIONS IN FOREIGN COUNTRIES--Table of Contents



    Editorial Note: Part 5 is placed in the separate grouping of parts 
pertaining to patents regulations.



PART 6_CLASSIFICATION OF GOODS AND SERVICES UNDER THE TRADEMARK ACT--
Table of Contents



Sec.
6.1 International schedule of classes of goods and services.
6.2 Prior U.S. schedule of classes of goods and services.
6.3 Schedule for certification marks.
6.4 Schedule for collective membership marks.

    Authority: Secs. 30, 41, 60 Stat. 436, 440; 15 U.S.C. 1112, 1123; 35 
U.S.C. 2, unless otherwise noted.



Sec.6.1  International schedule of classes of goods and services.

                                  Goods

    1. Chemicals for use in industry, science and photography, as well 
as in agriculture, horticulture and forestry; unprocessed artificial 
resins, unprocessed plastics; fire extinguishing and fire prevention 
compositions; tempering and soldering preparations; substances for 
tanning animal skins and hides; adhesives for use in industry; putties 
and other paste fillers; compost, manures, fertilizers; biological 
preparations for use in industry and science.
    2. Paints, varnishes, lacquers; preservatives against rust and 
against deterioration of wood; colorants, dyes; inks for printing, 
marking and engraving; raw natural resins; metals in foil and powder 
form for use in painting, decorating, printing and art.
    3. Non-medicated cosmetics and toiletry preparations; non-medicated 
dentifrices; perfumery, essential oils; bleaching preparations and other 
substances for laundry use; cleaning, polishing, scouring and abrasive 
preparations.
    4. Industrial oils and greases, wax; lubricants; dust absorbing, 
wetting and binding compositions; fuels and illuminants; candles and 
wicks for lighting.
    5. Pharmaceuticals, medical and veterinary preparations; sanitary 
preparations for medical purposes; dietetic food and substances adapted 
for medical or veterinary use, food for babies; dietary supplements for 
human beings and animals; plasters, materials for dressings; material 
for stopping teeth, dental wax; disinfectants; preparations for 
destroying vermin; fungicides, herbicides.
    6. Common metals and their alloys, ores; metal materials for 
building and construction; transportable buildings of metal; non-
electric cables and wires of common metal; small items of metal 
hardware; metal containers for storage or transport; safes.
    7. Machines, machine tools, power-operated tools; motors and 
engines, except for land vehicles; machine coupling and transmission 
components, except for land vehicles; agricultural implements, other 
than hand-operated hand tools; incubators for eggs; automatic vending 
machines.
    8. Hand tools and implements, hand-operated; cutlery; side arms, 
except firearms; razors.
    9. Scientific, research, navigation, surveying, photographic, 
cinematographic, audiovisual, optical, weighing, measuring, signalling, 
detecting, testing, inspecting, life-saving and teaching apparatus and 
instruments; apparatus and instruments for conducting, switching, 
transforming, accumulating, regulating or controlling the distribution 
or use of electricity; apparatus and

[[Page 357]]

instruments for recording, transmitting, reproducing or processing 
sound, images or data; recorded and downloadable media, computer 
software, blank digital or analogue recording and storage media; 
mechanisms for coin-operated apparatus; cash registers, calculating 
devices; computers and computer peripheral devices; diving suits, 
divers' masks, ear plugs for divers, nose clips for divers and swimmers, 
gloves for divers, breathing apparatus for underwater swimming; fire-
extinguishing apparatus.
    10. Surgical, medical, dental and veterinary apparatus and 
instruments; artificial limbs, eyes and teeth; orthopaedic articles; 
suture materials; therapeutic and assistive devices adapted for persons 
with disabilities; massage apparatus; apparatus, devices and articles 
for nursing infants; sexual activity apparatus, devices and articles.
    11. Apparatus and installations for lighting, heating, cooling, 
steam generating, cooking, drying, ventilating, water supply and 
sanitary purposes.
    12. Vehicles; apparatus for locomotion by land, air or water.
    13. Firearms; ammunition and projectiles; explosives; fireworks.
    14. Precious metals and their alloys; jewellery, precious and semi-
precious stones; horological and chronometric instruments.
    15. Musical instruments; music stands and stands for musical 
instruments; conductors' batons.
    16. Paper and cardboard; printed matter; bookbinding material; 
photographs; stationery and office requisites, except furniture; 
adhesives for stationery or household purposes; drawing materials and 
materials for artists; paintbrushes; instructional and teaching 
materials; plastic sheets, films and bags for wrapping and packaging; 
printers' type, printing blocks.
    17. Unprocessed and semi-processed rubber, gutta-percha, gum, 
asbestos, mica and substitutes for all these materials; plastics and 
resins in extruded form for use in manufacture; packing, stopping and 
insulating materials; flexible pipes, tubes and hoses, not of metal.
    18. Leather and imitations of leather; animal skins and hides; 
luggage and carrying bags; umbrellas and parasols; walking sticks; 
whips, harness and saddlery; collars, leashes and clothing for animals.
    19. Materials, not of metal, for building and construction; rigid 
pipes, not of metal, for building; asphalt, pitch, tar and bitumen; 
transportable buildings, not of metal; monuments, not of metal.
    20. Furniture, mirrors, picture frames; containers, not of metal, 
for storage or transport; unworked or semi-worked bone, horn, whalebone 
or mother-of-pearl; shells; meerschaum; yellow amber.
    21. Household or kitchen utensils and containers; cookware and 
tableware, except forks, knives and spoons; combs and sponges; brushes, 
except paintbrushes; brush-making materials; articles for cleaning 
purposes; unworked or semi-worked glass, except building glass; 
glassware, porcelain and earthenware.
    22. Ropes and string; nets; tents and tarpaulins; awnings of textile 
or synthetic materials; sails; sacks for the transport and storage of 
materials in bulk; padding, cushioning and stuffing materials, except of 
paper, cardboard, rubber or plastics; raw fibrous textile materials and 
substitutes therefor.
    23. Yarns and threads for textile use.
    24. Textiles and substitutes for textiles; household linen; curtains 
of textile or plastic.
    25. Clothing, footwear, headwear.
    26. Lace, braid and embroidery, and haberdashery ribbons and bows; 
buttons, hooks and eyes, pins and needles; artificial flowers; hair 
decorations; false hair.
    27. Carpets, rugs, mats and matting, linoleum and other materials 
for covering existing floors; wall hangings, not of textile.
    28. Games, toys and playthings; video game apparatus; gymnastic and 
sporting articles; decorations for Christmas trees.
    29. Meat, fish, poultry and game; meat extracts; preserved, frozen, 
dried and cooked fruits and vegetables; jellies, jams, compotes; eggs; 
milk, cheese, butter, yogurt and other milk products; oils and fats for 
food.
    30. Coffee, tea, cocoa and artificial coffee; rice, pasta and 
noodles; tapioca and sago; flour and preparations made from cereals; 
bread, pastries and confectionery; chocolate; ice cream, sorbets and 
other edible ices; sugar, honey, treacle; yeast, baking-powder; salt, 
seasonings, spices, preserved herbs; vinegar, sauces and other 
condiments; ice (frozen water).
    31. Raw and unprocessed agricultural, aquacultural, horticultural 
and forestry products; raw and unprocessed grains and seeds; fresh 
fruits and vegetables, fresh herbs; natural plants and flowers; bulbs, 
seedlings and seeds for planting; live animals; foodstuffs and beverages 
for animals; malt.
    32. Beers; non-alcoholic beverages; mineral and aerated waters; 
fruit beverages and fruit juices; syrups and other non-alcoholic 
preparations for making beverages.
    33. Alcoholic beverages, except beers; alcoholic preparations for 
making beverages.
    34. Tobacco and tobacco substitutes; cigarettes and cigars; 
electronic cigarettes and oral vaporizers for smokers; smokers' 
articles; matches.

                                Services

    35. Advertising; business management, organization and 
administration; office functions.

[[Page 358]]

    36. Financial, monetary and banking services; insurance services; 
real estate affairs.
    37. Construction services; installation and repair services; mining 
extraction, oil and gas drilling.
    38. Telecommunications services.
    39. Transport; packaging and storage of goods; travel arrangement.
    40. Treatment of materials; recycling of waste and trash; air 
purification and treatment of water; printing services; food and drink 
preservation.
    41. Education; providing of training; entertainment; sporting and 
cultural activities.
    42. Scientific and technological services and research and design 
relating thereto; industrial analysis, industrial research and 
industrial design services; quality control and authentication services; 
design and development of computer hardware and software.
    43. Services for providing food and drink; temporary accommodation.
    44. Medical services; veterinary services; hygienic and beauty care 
for human beings or animals; agriculture, aquaculture, horticulture and 
forestry services.
    45. Legal services; security services for the physical protection of 
tangible property and individuals; personal and social services rendered 
by others to meet the needs of individuals.

[85 FR 69503, Nov. 3, 2020]



Sec.6.2  Prior U.S. schedule of classes of goods and services.

------------------------------------------------------------------------
Class                                Title
------------------------------------------------------------------------
                                  Goods
 
    1  Raw or partly prepared materials.
    2  Receptacles.
    3  Baggage, animal equipments, portfolios, and pocket books.
    4  Abrasives and polishing materials.
    5  Adhesives.
    6  Chemicals and chemical compositions.
    7  Cordage.
    8  Smokers' articles, not including tobacco products.
    9  Explosives, firearms, equipments, and projectiles.
   10  Fertilizers.
   11  Inks and inking materials.
   12  Construction materials.
   13  Hardware and plumbing and steamfitting supplies.
   14  Metals and metal castings and forgings.
   15  Oils and greases.
   16  Protective and decorative coatings.
   17  Tobacco products.
   18  Medicines and pharmaceutical preparations.
   19  Vehicles.
   20  Linoleum and oiled cloth.
   21  Electrical apparatus, machines, and supplies.
   22  Games, toys, and sporting goods.
   23  Cutlery, machinery, and tools, and parts thereof.
   24  Laundry appliances and machines.
   25  Locks and safes.
   26  Measuring and scientific appliances.
   27  Horological instruments.
   28  Jewelry and precious-metal ware.
   29  Brooms, brushes, and dusters.
   30  Crockery, earthenware, and porcelain.
   31  Filters and refrigerators.
   32  Furniture and upholstery.
   33  Glassware.
   34  Heating, lighting, and ventilating apparatus.
   35  Belting, hose, machinery packing, and nonmetallic tires.
   36  Musical instruments and supplies.
   37  Paper and stationery.
   38  Prints and publications.
   39  Clothing.
   40  Fancy goods, furnishings, and notions.
   41  Canes, parasols, and umbrellas.
   42  Knitted, netted, and textile fabrics, and substitutes therefor.
   43  Thread and yarn.
   44  Dental, medical, and surgical appliances.
   45  Soft drinks and carbonated waters.
   46  Foods and ingredients of foods.
   47  Wines.
   48  Malt beverages and liquors.
   49  Distilled alcoholic liquors.
   50  Merchandise not otherwise classified.
   51  Cosmetics and toilet preparations.
   52  Detergents and soaps.
 
                                Services
 
  100  Miscellaneous.
  101  Advertising and business.
  102  Insurance and financial.
  103  Construction and repair.
  104  Communication.
  105  Transportation and storage.
  106  Material treatment.
  107  Education and entertainment.
------------------------------------------------------------------------


[24 FR 10383, Dec. 22, 1959. Redesignated at 38 FR 14681, June 4, 1973]



Sec.6.3  Schedule for certification marks.

    In applications for registration of certification marks based on 
sections 1 and 44 of the Trademark Act and registrations resulting from 
such applications, goods and services are classified in two classes as 
follows:
    A. Goods.
    B. Services.

[73 FR 67775, Nov. 15, 2008]



Sec.6.4  Schedule for collective membership marks.

    All collective membership marks in applications based on sections 1 
and 44 of the Trademark Act and registrations resulting from such 
applications are classified as follows:

------------------------------------------------------------------------
              Class                                Title
------------------------------------------------------------------------
200..............................  Collective Membership.
------------------------------------------------------------------------


[73 FR 67775, Nov. 17, 2008]

[[Page 359]]



PART 7_RULES OF PRACTICE IN FILINGS PURSUANT TO THE PROTOCOL RELATING
TO THE MADRID AGREEMENT CONCERNING THE INTERNATIONAL REGISTRATION OF
MARKS--Table of Contents



                      Subpart A_General Information

Sec.
7.1 Definitions of terms as used in this part.
7.2 [Reserved]
7.3 Correspondence must be in English.
7.4 International applications and registrations originating from the 
          USPTO--Requirements to electronically file and communicate 
          with the Office.
7.5 [Reserved]
7.6 Schedule of U.S. process fees.
7.7 Payments of fees to International Bureau.

 Subpart B_International Application Originating From the United States

7.11 Requirements for international application originating from the 
          United States.
7.12 Claim of color.
7.13 Certification of international application.
7.14 Correcting irregularities in international application.

      Subpart C_Subsequent Designation Submitted Through the Office

7.21 Subsequent designation.

        Subpart D_Recording Changes to International Registration

7.22 Recording changes to international registration.
7.23 Requests for recording assignments at the International Bureau.
7.24 Requests to record security interest or other restriction of 
          holder's rights of disposal or release of such restriction 
          submitted through the Office.

         Subpart E_Extension of Protection to the United States

7.25 Sections of part 2 applicable to extension of protection.
7.26 Filing date of extension of protection for purposes of examination 
          in the Office.
7.27 Priority claim of extension of protection for purposes of 
          examination in the Office.
7.28 Replacement of U.S. registration by registered extension of 
          protection.
7.29 Effect of replacement on U.S. registration.
7.30 Effect of cancellation or expiration of international registration.
7.31 Requirements for transformation of an extension of protection to 
          the United States into a U.S. application.

    Subpart F_Affidavit Under Section 71 of the Act for Extension of 
                     Protection to the United States

7.36 Affidavit or declaration of use in commerce or excusable nonuse 
          required to avoid cancellation of an extension of protection 
          to the United States.
7.37 Requirements for a complete affidavit or declaration of use in 
          commerce or excusable nonuse; requirement for the submission 
          of additional information, exhibits, affidavits or 
          declarations, and specimens; and fee for deletions of goods, 
          services, and/or classes from a registration.
7.38 Notice to holder of extension of protection.
7.39 Acknowledgment of receipt of and correcting deficiencies in 
          affidavit or declaration of use in commerce or excusable 
          nonuse.
7.40 Petition to Director to review refusal.

    Subpart G_Renewal of International Registration and Extension of 
                               Protection

7.41 Renewal of international registration and extension of protection.

    Authority: 15 U.S.C. 1123, 35 U.S.C. 2, unless othe rwise noted.

    Source: 68 FR 55769, Sept. 26, 2003, unless otherwise noted.



                      Subpart A_General Information



Sec.7.1  Definitions of terms as used in this part.

    (a) the Act means the Trademark Act of 1946, 60 Stat. 427, as 
amended, codified in 15 U.S.C. 1051 et seq.
    (b) Subsequent designation means a request for extension of 
protection of an international registration to a Contracting Party made 
after the International Bureau registers the mark.
    (c) The acronym TEAS means the Trademark Electronic Application 
System, and, as used in this part, includes all related electronic 
systems required to complete an electronic submission through TEAS.
    (d) The term Office or the abbreviation USPTO means the United 
States Patent and Trademark Office.
    (e) All references to sections in this part refer to 37 Code of 
Federal Regulations, except as otherwise stated.

[[Page 360]]

    (f) The definitions specified in Sec.2.2 of this chapter apply to 
this part.

[68 FR 55769, Sept. 26, 2003, as amended at 80 FR 33190, June 11, 2015; 
84 FR 31511, July 2, 2019; 84 FR 37098, July 31, 2019]



Sec.7.2  [Reserved]



Sec.7.3  Correspondence must be in English.

    International applications and registrations, requests for extension 
of protection and all other related correspondence with the Office must 
be in English. The Office will not process correspondence that is in a 
language other than English.



Sec.7.4  International applications and registrations originating 
from the USPTO--Requirements to electronically file and communicate
with the Office.

    (a) Unless stated otherwise in this chapter, all correspondence 
filed with the USPTO relating to international applications and 
registrations originating from the USPTO must be submitted through TEAS 
and include a valid email address for correspondence.
    (b) Applicants and registrants under this section must provide and 
maintain a valid email address for correspondence with the Office.
    (c) If an applicant or registrant under this section is a national 
of a country that has acceded to the Trademark Law Treaty, but not to 
the Singapore Treaty on the Law of Trademarks, the requirements of 
paragraphs (a) and (b) of this section do not apply.
    (d) If TEAS is unavailable, or in an extraordinary situation, an 
applicant or registrant under this section who is required to file a 
submission through TEAS may submit a petition to the Director under 
Sec.2.146(a)(5) and (c) of this chapter to accept the submission filed 
on paper.

[84 FR 37098, July 31, 2019]



Sec.7.5  [Reserved]



Sec.7.6  Schedule of U.S. process fees.

    (a) The Office requires the following process fees:
    (1) Certification of international application based on single 
application or registration. (i) For certifying an international 
application based on a single basic application or registration, filed 
on paper, per class--$200.00
    (ii) For certifying an international application based on a single 
basic application or registration, filed through TEAS, per class--
$100.00
    (2) Certification of international application based on more than 
one application or registration. (i) For certifying an international 
application based on more than one basic application or registration 
filed on paper, per class--$250.00
    (ii) For certifying an international application based on more than 
one basic application or registration filed through TEAS, per class--
$150.00
    (3) Transmission of subsequent designation. (i) For transmitting a 
subsequent designation under Sec.7.21, filed on paper--$200.00
    (ii) For transmitting a subsequent designation under Sec.7.21, 
filed through TEAS--$100.00
    (4) Transmission of request to record an assignment or restriction. 
(i) For transmitting a request to record an assignment or restriction, 
or release of a restriction, under Sec.7.23 or Sec.7.24 filed on 
paper--$200.00
    (ii) For transmitting a request to record an assignment or 
restriction, or release of a restriction, under Sec.7.23 or Sec.7.24 
filed through TEAS--$100.00
    (5) Notice of replacement. (i) For filing a notice of replacement 
under Sec.7.28 on paper, per class--$200.00
    (ii) For filing a notice of replacement under Sec.7.28 through 
TEAS, per class--$100.00
    (6) Affidavit under section 71. (i) For filing an affidavit under 
section 71 of the Act on paper, per class--$325.00
    (ii) For filing an affidavit under section 71 of the Act through 
TEAS, per class--$225.00
    (iii) For deleting goods, services, and/or classes after submission 
and prior to acceptance of an affidavit under section 71 of the Act on 
paper, per class--$350.00
    (iv) For deleting goods, services, and/or classes after submission 
and prior to acceptance of an affidavit under section 71 of the Act 
through TEAS, per class --$250.00
    (7) Filing affidavit under section 71 during grace period. (i) 
Surcharge for filing

[[Page 361]]

an affidavit under section 71 of the Act during the grace period on 
paper, per class--$200.00
    (ii) Surcharge for filing an affidavit under section 71 of the Act 
during the grace period through TEAS, per class--$100.00
    (8) Correcting deficiency in section 71 affidavit. (i) For 
correcting a deficiency in a section 71 affidavit filed on paper--
$200.00
    (ii) For correcting a deficiency in a section 71 affidavit filed 
through TEAS--$100.00
    (b) The fees required in paragraph (a) of this section must be paid 
in U.S. dollars at the time of submission of the requested action. See 
Sec.2.207 of this chapter for acceptable forms of payment and Sec.
2.208 of this chapter for payments using a deposit account established 
in the Office.

[81 FR 72708, Oct. 21, 2016, as amended at 85 FR 73217, Nov. 17, 2020]



Sec.7.7  Payments of fees to International Bureau.

    (a) For documents filed through TEAS, the following fees may be paid 
either directly to the International Bureau or through the Office:
    (1) International application fees;
    (2) Subsequent designation fees; and
    (3) Recording fee for an assignment of an international registration 
under Sec.7.23.
    (b) The fees in paragraph (a) of this section may be paid as 
follows:
    (1)(i) Directly to the International Bureau by debit to a current 
account with the International Bureau. In this case, an applicant or 
holder's submission to the Office must include the International Bureau 
account number; or
    (ii) Directly to the International Bureau using any other acceptable 
method of payment. In this case, an applicant or holder's submission to 
the Office must include the International Bureau receipt number for 
payment of the fees; or
    (2) Through the Office. Fees paid through the Office must be paid in 
U.S. dollars at the time of submission. See Sec.2.207 of this chapter 
for acceptable forms of payment and Sec.2.208 of this chapter for 
payments using a deposit account established in the Office.
    (c) All fees for paper filings must be paid directly to the 
International Bureau.
    (d) The International Bureau fee calculator may be viewed on the Web 
site of the World Intellectual Property Organization, currently 
available at: http:// www.wipo.int/ madrid/en/.

[68 FR 55769, Sept. 26, 2003, as amended at 69 FR 57185, Sept. 24, 2004]



 Subpart B_International Application Originating From the United States



Sec.7.11  Requirements for international application originating from
the United States.

    (a) The Office will grant a date of receipt to an international 
application that is filed through TEAS in accordance with Sec.7.4(a), 
or typed on the official paper form issued by the International Bureau, 
if permitted under Sec.7.4(c) or accepted on petition pursuant to 
Sec.7.4(d). The international application must include all of the 
following:
    (1) The filing date and serial number of the basic application and/
or the registration date and registration number of the basic 
registration;
    (2) The name and entity of the international applicant that is 
identical to the name and entity of the applicant or registrant in the 
basic application or basic registration, and the applicant's current 
address;
    (3) A reproduction of the mark that is the same as the mark in the 
basic application and/or registration and that meets the requirements of 
Sec.2.52 of this title.
    (i) If the mark in the basic application and/or registration is 
depicted in black and white and the basic application or registration 
does not include a color claim, the reproduction of the mark in the 
international application must be black and white.
    (ii) If the mark in the basic application or registration is 
depicted in black and white and includes a color claim, the 
international application must include both a black and white 
reproduction of the mark and a color reproduction of the mark.
    (iii) If the mark in the basic application and/or registration is 
depicted in color, the reproduction of the mark in

[[Page 362]]

the international application must be in color.
    (iv) If the international application is filed on paper, the mark 
must be no more than 3.15 inches (8 cm) high by 3.15 inches (8 cm) wide, 
and must appear in the box designated by the International Bureau on the 
International Bureau's official form;
    (4) A color claim as set out in Sec.7.12, if appropriate;
    (5) A description of the mark that is the same as the description of 
the mark in the basic application or registration, as appropriate;
    (6) An indication of the type of mark if the mark in the basic 
application and/or registration is a three-dimensional mark, a sound 
mark, a collective mark or a certification mark;
    (7) A list of the goods and/or services that is identical to or 
narrower than the list of goods and/or services in each claimed basic 
application or registration and classified according to the Nice 
Agreement Concerning the International Classification of Goods and 
Services for the Purposes of the Registration of Marks;
    (8) A list of the designated Contracting Parties. If the goods and/
or services in the international application are not the same for each 
designated Contracting Party, the application must list the goods and/or 
services in the international application that pertain to each 
designated Contracting Party;
    (9) The certification fee required by Sec.7.6;
    (10) If the application is filed through TEAS, the international 
application fees for all classes, and the fees for all designated 
Contracting Parties identified in the international application (see 
Sec.7.7); and
    (11) A statement that the applicant is entitled to file an 
international application in the Office, specifying that applicant: Is a 
national of the United States; has a domicile in the United States; or 
has a real and effective industrial or commercial establishment in the 
United States. Where an applicant's address is not in the United States, 
the applicant must provide the address of its U.S. domicile or 
establishment.
    (b) For requirements for certification, see Sec.7.13.

[68 FR 55769, Sept. 26, 2003, as amended at 69 FR 57185, Sept. 24, 2004; 
73 FR 67775, Nov. 17, 2008; 84 FR 37098, July 31, 2019]



Sec.7.12  Claim of color.

    (a) If color is claimed as a feature of the mark in the basic 
application and/or registration, the international application must 
include a statement that color is claimed as a feature of the mark and 
set forth the same name(s) of the color(s) claimed in the basic 
application and/or registration.
    (b) If color is not claimed as a feature of the mark in the basic 
application and/or registration, color may not be claimed as a feature 
of the mark in the international application.



Sec.7.13  Certification of international application.

    (a) When an international application contains all the elements set 
forth in Sec.7.11(a), the Office will certify to the International 
Bureau that the information contained in the international application 
corresponds to the information contained in the basic application(s) 
and/or basic registration(s) at the time of certification, and will then 
forward the international application to the International Bureau.
    (b) When an international application does not meet the requirements 
of Sec.7.11(a), the Office will not certify or forward the 
international application. If the international applicant paid the 
international application fees (see Sec.7.7) through the Office, the 
Office will refund the international fees. The Office will not refund 
the certification fee.



Sec.7.14  Correcting irregularities in international application.

    (a) Response period. Upon receipt of a notice of irregularities in 
an international application from the International Bureau, the 
applicant must respond to the International Bureau within the period set 
forth in the notice.
    (b) Classification and Identification of Goods and Services. 
Responses to International Bureau notices of irregularities in the 
classification or identification of goods or services in an 
international application must be submitted

[[Page 363]]

through the Office for forwarding to the International Bureau. The 
Office will review an applicant's response to a notice of irregularities 
in the identification of goods or services to ensure that the response 
does not identify goods or services that are broader than the scope of 
the goods or services in the basic application or registration.
    (c) Fees. If the International Bureau notice of irregularities 
requires the payment of fees, the fees for correcting irregularities in 
the international application must be paid directly to the International 
Bureau.
    (d) Other Irregularities Requiring Response from Applicant. Except 
for responses to irregularities mentioned in paragraph (b) of this 
section and payment of fees for correcting irregularities mentioned in 
paragraph (c) of this section, all other responses may be submitted 
through the Office in accordance with Sec.7.14(e), or filed directly 
at the International Bureau. The Office will forward timely responses to 
the International Bureau, but will not review the responses or respond 
to any irregularities on behalf of the international applicant.
    (e) Procedure for response. To be considered timely, a response must 
be received by the International Bureau before the end of the response 
period set forth in the International Bureau's notice. Receipt in the 
Office does not fulfill this requirement. Any response submitted through 
the Office for forwarding to the International Bureau should be 
submitted as soon as possible, but at least one month before the end of 
the response period in the International Bureau's notice. The Office 
will not process any response received in the Office after the 
International Bureau's response deadline.

[68 FR 55769, Sept. 26, 2003, as amended at 69 FR 57186, Sept. 24, 2004; 
73 FR 67776, Nov. 17, 2008]



      Subpart C_Subsequent Designation Submitted Through the Office



Sec.7.21  Subsequent designation.

    (a) A subsequent designation may be filed directly with the 
International Bureau, or, if it meets the requirements of paragraph (b) 
of this section, submitted through the Office.
    (b) The Office will grant a date of receipt to a subsequent 
designation that is filed through TEAS in accordance with Sec.7.4(a), 
or typed on the official paper form issued by the International Bureau, 
if permitted under Sec.7.4(c) or accepted on petition pursuant to 
Sec.7.4(d). The subsequent designation must contain all of the 
following:
    (1) The international registration number;
    (2) The serial number of the U.S. application or registration number 
of the U.S. registration that formed the basis of the international 
registration;
    (3) The name and address of the holder of the international 
registration;
    (4) A statement that the holder is entitled to file a subsequent 
designation in the Office, specifying that holder: Is a national of the 
United States; has a domicile in the United States; or has a real and 
effective industrial or commercial establishment in the United States. 
Where a holder's address is not in the United States, the holder must 
provide the address of its U.S. domicile or establishment;
    (5) A list of goods and/or services that is identical to or narrower 
than the list of goods and/or services in the international 
registration;
    (6) A list of the designated Contracting Parties. If the goods and/
or services in the subsequent designation are not the same for each 
designated Contracting Party, the holder must list the goods and/or 
services covered by the subsequent designation that pertain to each 
designated Contracting Party;
    (7) The U.S. transmittal fee required by Sec.7.6; and
    (8) If the subsequent designation is filed through TEAS, the 
subsequent designation fees (see Sec.7.7).
    (c) If the subsequent designation is accorded a date of receipt, the 
Office will then forward the subsequent designation to the International 
Bureau.
    (d) If the subsequent designation fails to contain all the elements 
set forth in paragraph (b) of this section, the Office will not forward 
the subsequent designation to the International Bureau. The Office will 
notify the holder of the

[[Page 364]]

reason(s). If the holder paid the subsequent designation fees (see Sec.
7.7) through the Office, the Office will refund the subsequent 
designation fees. The Office will not refund the transmittal fee.
    (e) Correspondence to correct any irregularities in a subsequent 
designation must be made directly with the International Bureau.

[68 FR 55769, Sept. 26, 2003, as amended at 69 FR 57186, Sept. 24, 2004; 
85 FR 37098, July 31, 2019]



        Subpart D_Recording Changes to International Registration



Sec.7.22  Recording changes to international registration.

    Except as provided in Sec. Sec.7.23 and 7.24, requests to record 
changes to an international registration must be filed with the 
International Bureau. If a request to record an assignment or 
restriction of a holder's right of disposal of an international 
registration or the release of such a restriction meets the requirements 
of Sec.7.23 or 7.24, the Office will forward the request to the 
International Bureau. Section 10 of the Act and part 3 of this chapter 
are not applicable to assignments or restrictions of international 
registrations.



Sec.7.23  Requests for recording assignments at the International
Bureau.

    A request to record an assignment of an international registration 
may be submitted through the Office for forwarding to the International 
Bureau only if the assignee cannot obtain the assignor's signature for 
the request to record the assignment.
    (a) A request to record an assignment submitted through the Office 
must include all of the following:
    (1) The international registration number;
    (2) The name and address of the holder of the international 
registration;
    (3) The name and address of the assignee of the international 
registration;
    (4) A statement that the assignee: Is a national of the United 
States; has a domicile in the United States; or has a real and effective 
industrial or commercial establishment in the United States. Where an 
assignee's address is not in the United States, the assignee must 
provide the address of its U.S. domicile or establishment;
    (5) A statement, signed and verified (sworn to) or supported by a 
declaration under Sec.2.20 of this chapter, that, for the request to 
record the assignment, either the assignee could not obtain the 
assignor's signature because the holder no longer exists, or, after a 
good-faith effort, the assignee could not obtain the assignor's 
signature;
    (6) An indication that the assignment applies to the designation to 
the United States or an international registration that is based on a 
U.S. application or registration;
    (7) A statement that the assignment applies to all the goods and/or 
services in the international registration, or if less, a list of the 
goods and/or services in the international registration that have been 
assigned that pertain to the designation to the United States; and
    (8) The U.S. transmittal fee required by Sec.7.6.
    (b) If a request to record an assignment contains all the elements 
set forth in paragraph (a) of this section, the Office will forward the 
request to the International Bureau. Forwarding the request to the 
International Bureau is not a determination by the Office of the 
validity of the assignment or the effect that the assignment has on the 
title of the international registration.
    (c) If the request fails to contain all the elements set forth in 
paragraph (a) of this section, the Office will not forward the request 
to the International Bureau. The Office will notify the assignee(s) of 
the reason(s). If the assignee paid the fees to record the assignment 
(see Sec.7.7) through the Office, the Office will refund the recording 
fee. The Office will not refund the transmittal fee.
    (d) Correspondence to correct any irregularities in a request to 
record an assignment must be made directly with the International 
Bureau.

[68 FR 55769, Sept. 26, 2003, as amended at 69 FR 57186, Sept. 24, 2004; 
80 FR 2313, Jan. 16, 2015]

[[Page 365]]



Sec.7.24  Requests to record security interest or other restriction 
of holder's rights of disposal or release of such restriction submitted
through the Office.
          

    (a) A party who obtained a security interest or other restriction of 
a holder's right to dispose of an international registration, or the 
release of such a restriction, may submit a request to record the 
restriction or release through the Office for forwarding to the 
International Bureau only if:
    (1) The restriction or release:
    (i) Is the result of a court order; or
    (ii) Is the result of an agreement between the holder of the 
international registration and the party restricting the holder's right 
of disposal, and the signature of the holder cannot be obtained for the 
request to record the restriction or release;
    (2) The party who obtained the restriction is a national of, is 
domiciled in, or has a real and effective industrial or commercial 
establishment in the United States; and
    (3) The restriction or release applies to the holder's right to 
dispose of the international registration in the United States.
    (b) A request to record a restriction or the release of a 
restriction must be submitted by the party who obtained the restriction 
of the holder's right of disposal and include all the following:
    (1) The international registration number;
    (2) The name and address of the holder of the international 
registration;
    (3) The name and address of the party who obtained the restriction;
    (4) A statement that the party who submitted the request: Is a 
national of the United States; has a domicile in the United States; or 
has a real and effective industrial or commercial establishment in the 
United States. Where a party's address is not in the United States, the 
party must provide the address of its U.S. domicile or establishment;
    (5)(i) A statement that the restriction is the result of a court 
order, or
    (ii) Where the restriction is the result of an agreement between the 
holder of the international registration and the party restricting the 
holder's right of disposal, a statement, signed and verified (sworn to) 
or supported by a declaration under Sec.2.20 of this chapter, that, 
for the request to record the restriction, or release of the 
restriction, either the holder of the international registration could 
not obtain the signature of the party restricting the holder's right of 
disposal because the party restricting the holder's right of disposal no 
longer exists, or, after a good-faith effort, the holder of the 
international registration could not obtain the signature of the party 
restricting the holder's right of disposal;
    (6) A summary of the main facts concerning the restriction;
    (7) An indication that the restriction, or the release of the 
restriction, of the holder's right of disposal of the international 
registration applies to the designation to the United States or an 
international registration that is based on a U.S. application or 
registration; and
    (8) The U.S. transmittal fee required by Sec.7.6.
    (c) If a request to record a restriction, or the release of a 
restriction, contains all the elements set forth in paragraph (b) of 
this section, the Office will forward the request to the International 
Bureau. Forwarding the request to the International Bureau is not a 
determination by the Office of the validity of the restriction, or its 
release, or the effect that the restriction has on the holder's right to 
dispose of the international registration.
    (d) If the request fails to contain all the elements set forth in 
paragraph (b) of this section, the Office will not forward the request. 
The Office will notify the party who submitted the request of the 
reason(s). The Office will not refund the transmittal fee.
    (e) Correspondence to correct any irregularities in a request to 
record a restriction of a holder's right to dispose of an international 
registration or the release of such a restriction must be made directly 
with the International Bureau.

[68 FR 55769, Sept. 26, 2003, as amended at 80 FR 2313, Jan. 16, 2015]

[[Page 366]]



         Subpart E_Extension of Protection to the United States



Sec.7.25  Sections of part 2 applicable to extension of protection.

    (a) Except for Sec. Sec.2.21, 2.22, 2.76, 2.88, 2.89, 2.130, 
2.131, 2.160 through 2.166, 2.168, 2.173, 2.175, and 2.181 through 
2.186, all sections in parts 2 and 11 of this chapter shall apply to an 
extension of protection of an international registration to the United 
States, including sections related to proceedings before the Trademark 
Trial and Appeal Board, unless otherwise stated.
    (b) The Office will refer to a request for an extension of 
protection to the United States as an application under section 66(a) of 
the Act, and references to applications and registrations in part 2 of 
this chapter include extensions of protection to the United States.
    (c) Upon registration in the United States under section 69 of the 
Act, an extension of protection to the United States is referred to as a 
registration, a registered extension of protection, or a section 66(a) 
registration.

[68 FR 55769, Sept. 26, 2003, as amended at 69 FR 57186, Sept. 24, 2004; 
70 FR 38774, July 6, 2005; 73 FR 47686, Aug. 14, 2008; 73 FR 67776, Nov. 
17, 2008; 75 FR 35977, June 24, 2010; 78 FR 20197, Apr. 3, 2013; 80 FR 
2313, Jan. 16, 2015; 84 FR 37099, July 31, 2019]



Sec.7.26  Filing date of extension of protection for purposes of
examination in the Office.

    (a) If a request for extension of protection of an international 
registration to the United States is made in an international 
application and the request includes a declaration of a bona fide 
intention to use the mark in commerce as set out in Sec.2.33(e) of 
this chapter, the filing date of the extension of protection to the 
United States is the international registration date.
    (b) If a request for extension of protection of an international 
registration to the United States is made in a subsequent designation 
and the request includes a declaration of a bona fide intention to use 
the mark in commerce as set out in Sec.2.33(e), the filing date of the 
extension of protection to the United States is the date that the 
International Bureau records the subsequent designation.



Sec.7.27  Priority claim of extension of protection for purposes of
examination in the Office.

    An extension of protection of an international registration to the 
United States is entitled to a claim of priority under section 67 of the 
Act if:
    (a) The request for extension of protection contains a claim of 
priority;
    (b) The request for extension of protection specifies the filing 
date, serial number and the country of the application that forms the 
basis for the claim of priority; and
    (c) The date of the international registration or the date of 
recording of the subsequent designation at the International Bureau of 
the request for extension of protection to the United States is not 
later than six months after the filing date of the application that 
forms the basis for the claim of priority.



Sec.7.28  Replacement of U.S. registration by registered extension 
of protection.

    (a) A registered extension of protection affords the same rights as 
those afforded to a previously issued U.S. registration if:
    (1) Both registrations are owned by the same person and identify the 
same mark; and
    (2) All the goods and/or services listed in the U.S. registration 
are also listed in the registered extension of protection.
    (b) The holder of an international registration with a registered 
extension of protection to the United States that meets the requirements 
of paragraph (a) of this section may file a request to note replacement 
of the U.S. registration with the extension of protection. If the 
request contains all of the following, the Office will take note of the 
replacement in its automated records:
    (1) The serial number or registration number of the extension of 
protection;
    (2) The registration number of the replaced U.S. registration; and
    (3) The fee required by Sec.7.6.
    (c) If the request to note replacement is denied, the Office will 
notify the holder of the reason(s) for refusal.

[[Page 367]]



Sec.7.29  Effect of replacement on U.S. registration.

    A U.S. registration that has been replaced by a registered extension 
of protection under section 74 of the Act and Sec.7.28 will remain in 
force, unless cancelled, expired or surrendered, as long as:
    (a) The owner of the replaced U.S. registration continues to file 
affidavits or declarations of use in commerce or excusable nonuse under 
section 8 of the Act; and
    (b) The replaced U.S. registration is renewed under section 9 of the 
Act.



Sec.7.30  Effect of cancellation or expiration of international 
registration.

    When the International Bureau notifies the Office of the 
cancellation or expiration of an international registration, in whole or 
in part, the Office shall cancel, in whole or in part, the corresponding 
pending or registered extension of protection to the United States. The 
date of cancellation of an extension of protection or relevant part 
shall be the date of cancellation or expiration of the corresponding 
international registration or relevant part.



Sec.7.31  Requirements for transformation of an extension of
protection to the United States into a U.S. application.

    If the International Bureau cancels an international registration in 
whole or in part, under Article 6(4) of the Madrid Protocol, the holder 
of that international registration may file a request to transform the 
goods and/or services to which the cancellation applies in the 
corresponding pending or registered extension of protection to the 
United States into an application under section 1 or 44 of the Act.
    (a) The holder of the international registration must file a request 
for transformation within three months of the date of cancellation of 
the international registration and include:
    (1) The serial number or registration number of the extension of 
protection to the United States;
    (2) The name and address of the holder of the international 
registration;
    (3) Identify the goods and/or services to be transformed, if other 
than all the goods and/or services that have been cancelled;
    (4) The application filing fee for at least one class of goods or 
services required by Sec.2.6(a)(1) of this chapter; and
    (5) An email address for receipt of correspondence from the Office.
    (b) If the request for transformation contains all the elements set 
forth in paragraph (a) of this section, the extension of protection 
shall be transformed into an application under section 1 and/or 44 of 
the Act and accorded the same filing date and the same priority that was 
accorded to the extension of protection.
    (c) The application under section 1 and/or 44 of the Act that 
results from a transformed extension of protection will be examined 
under part 2 of this chapter.
    (d) A request for transformation that fails to contain all the 
elements set forth in paragraph (a) of this section will not be 
accepted.

[68 FR 55769, Sept. 26, 2003, as amended at 69 FR 57186, Sept. 24, 2004; 
80 FR 2313, Jan. 16, 2015]



    Subpart F_Affidavit Under Section 71 of the Act for Extension of 
                     Protection to the United States



Sec.7.36  Affidavit or declaration of use in commerce or excusable 
nonuse required to avoid cancellation of an extension of protection 
to the United States.

    (a) Subject to the provisions of section 71 of the Act, a registered 
extension of protection shall remain in force for the term of the 
international registration upon which it is based unless the 
international registration expires or is cancelled under section 70 of 
the Act due to cancellation of the international registration by the 
International Bureau.
    (b) During the following time periods, the holder of an 
international registration must file an affidavit or declaration of use 
or excusable nonuse, or the registered extension of protection will be 
cancelled under section 71 of the Act:
    (1) On or after the fifth anniversary and no later than the sixth 
anniversary

[[Page 368]]

after the date of registration in the United States; and
    (2) Within the year before the end of every ten-year period after 
the date of registration in the United States.
    (3) The affidavit or declaration may be filed within a grace period 
of six months after the end of the deadline set forth in paragraphs 
(b)(1) and (b)(2) of this section, with payment of the grace period 
surcharge per class required by section 71(a)(3) of the Act and Sec.
7.6.
    (c) For the requirements for the affidavit or declaration, see Sec.
7.37.

[68 FR 55769, Sept. 26, 2003, as amended at 75 FR 35977, June 24, 2010]



Sec.7.37  Requirements for a complete affidavit or declaration of use
in commerce or excusable nonuse; requirement for the submission of 
additional  information, exhibits, affidavits or declarations, and 
          specimens; and fee for deletions of goods, services, and/or 
          classes from a registration.

    (a) Requirements for a complete affidavit or declaration. A complete 
affidavit or declaration under section 71 of the Act must:
    (1) Be filed by the holder of the international registration within 
the period set forth in Sec.7.36(b);
    (2) Include a verified statement attesting to the use in commerce or 
excusable nonuse of the mark within the period set forth in section 71 
of the Act. The verified statement must be executed on or after the 
beginning of the filing period specified in Sec.7.36(b). A person who 
is properly authorized to sign on behalf of the holder is:
    (i) A person with legal authority to bind the holder;
    (ii) A person with firsthand knowledge of the facts and actual or 
implied authority to act on behalf of the holder; or
    (iii) An attorney, as defined in Sec.11.1 of this chapter, who has 
an actual written or verbal power of attorney or an implied power of 
attorney from the holder;
    (3) Include the U.S. registration number;
    (4)(i) Include the fee required by Sec.7.6 for each class that the 
affidavit or declaration covers;
    (ii) If the affidavit or declaration is filed during the grace 
period under section 71(a)(3) of the Act, include the grace period 
surcharge per class required by Sec.7.6;
    (iii) If at least one fee is submitted for a multiple-class 
registration, but the fee is insufficient to cover all the classes, and 
the class(es) to which the fee(s) should be applied is not specified, 
the Office will issue a notice requiring either submission of the 
additional fee(s) or specification of the class(es) to which the initial 
fee(s) should be applied. Additional fees may be submitted if the 
requirements of Sec.7.39 are met. If the additional fee(s) is not 
submitted within the time period set out in the Office action, and the 
class(es) to which the original fee(s) should be applied is not 
specified, the Office will presume that the fee(s) covers the classes in 
ascending order, beginning with the lowest numbered class;
    (5)(i) Specify the goods, services, or nature of the collective 
membership organization for which the mark is in use in commerce, and/or 
the goods, services, or nature of the collective membership organization 
for which excusable nonuse is claimed under paragraph (a)(6)(ii) of this 
section; and
    (ii) Specify the goods, services, or classes being deleted from the 
registration, if the affidavit or declaration covers fewer than all the 
goods, services, or classes in the registration;
    (6)(i) State that the registered mark is in use in commerce; or
    (ii) If the registered mark is not in use in commerce on or in 
connection with all the goods, services, or classes specified in the 
registration, set forth the date when such use of the mark in commerce 
stopped and the approximate date when such use is expected to resume, 
and recite facts to show that nonuse as to those goods, services, or 
classes is due to special circumstances that excuse the nonuse and is 
not due to an intention to abandon the mark; and
    (7) Include one specimen showing how the mark is in use in commerce 
for each class in the registration, unless excusable nonuse is claimed 
under paragraph (a)(6)(ii) of this section. When requested by the 
Office, additional specimens must be provided. The

[[Page 369]]

specimen must meet the requirements of Sec.2.56 of this chapter.
    (8) Additional requirements for a collective mark: In addition to 
the above requirements, a complete affidavit or declaration pertaining 
to a collective mark must:
    (i) State that the holder is exercising legitimate control over the 
use of the mark in commerce; and
    (ii) State the nature of the holder's control over the use of the 
mark by the members in the first affidavit or declaration filed under 
paragraph (a)(1) of this section.
    (9) Additional requirements for a certification mark: In addition to 
the above requirements, a complete affidavit or declaration pertaining 
to a certification mark must:
    (i) Include a copy of the certification standards specified in Sec.
2.45(a)(4)(i)(B) of this chapter;
    (A) Submitting certification standards for the first time. In the 
first affidavit or declaration filed under paragraph (a)(1) of this 
section, include a copy of the certification standards; or
    (B) Certification standards submitted in prior filing. If the 
certification standards in use at the time of filing the affidavit or 
declaration have not changed since the date they were previously 
submitted to the Office, include a statement to that effect. If the 
certification standards in use at the time of filing the affidavit or 
declaration have changed since the date they were previously submitted 
to the Office, include a copy of the revised certification standards;
    (ii) State that the holder is exercising legitimate control over the 
use of the mark in commerce; and
    (iii) Satisfy the requirements of Sec.2.45(a)(4)(i)(A) and (C) of 
this chapter.
    (b) Requirement for the submission of additional information, 
exhibits, affidavits or declarations, and specimens. The Office may 
require the holder to furnish such information, exhibits, affidavits or 
declarations, and such additional specimens as may be reasonably 
necessary to the proper examination of the affidavit or declaration 
under section 71 of the Act or for the Office to assess and promote the 
accuracy and integrity of the register.
    (c) Fee for deletions of goods, services, and/or classes from a 
registration. Deletions by the holder of goods, services, and/or classes 
from a registration after submission and prior to acceptance of the 
affidavit or declaration must be accompanied by the relevant fee in 
Sec.7.6(a)(6)(iii) or (iv).

[85 FR 73217, Nov. 17, 2020]



Sec.7.38  Notice to holder of extension of protection.

    The registration certificate for an extension of protection to the 
United States includes a notice of the requirement for filing the 
affidavit or declaration of use or excusable nonuse under section 71 of 
the Act. However, the affidavit or declaration must be filed within the 
time period required by section 71 of the Act regardless of whether this 
notice is received.



Sec.7.39  Acknowledgment of receipt of and correcting deficiencies 
in affidavit or declaration of use in commerce or excusable nonuse.

    The Office will issue a notice as to whether an affidavit or 
declaration is acceptable, or the reasons for refusal.
    (a) A response to the refusal must be filed within six months of the 
date of issuance of the Office action, or before the end of the filing 
period set forth in section 71(a) of the Act, whichever is later. The 
response must be signed by the holder, someone with legal authority to 
bind the holder (e.g., a corporate officer or general partner of a 
partnership), or a practitioner qualified to practice under Sec.11.14 
of this chapter, in accordance with the requirements of Sec.
2.193(e)(2).
    (b) If no response is filed within this time period, the extension 
of protection will be cancelled, unless time remains in the grace period 
under section 71(a)(3) of the Act. If time remains in the grace period, 
the holder may file a complete, new affidavit.
    (c) If the affidavit or declaration is filed within the time periods 
set forth in section 71 of the Act, deficiencies may be corrected after 
notification from the Office, as follows:
    (1) Correcting deficiencies in affidavits or declarations timely 
filed within the periods set forth in sections 71(a)(1) and 71(a)(2) of 
the Act. If the affidavit or

[[Page 370]]

declaration is timely filed within the relevant filing period set forth 
in section 71(a)(1) or section 71(a)(2) of the Act, deficiencies may be 
corrected before the end of this filing period without paying a 
deficiency surcharge. Deficiencies may be corrected after the end of 
this filing period with payment of the deficiency surcharge required by 
section 71(c) of the Act and Sec.7.6.
    (2) Correcting deficiencies in affidavits or declarations filed 
during the grace period. If the affidavit or declaration is filed during 
the six-month grace period provided by section 71(a)(3) of the Act, 
deficiencies may be corrected before the expiration of the grace period 
without paying a deficiency surcharge. Deficiencies may be corrected 
after the expiration of the grace period with payment of the deficiency 
surcharge required by section 71(c) of the Act and Sec.7.6.
    (d) If the affidavit or declaration is not filed within the time 
periods set forth in section 71 of the Act, the registration will be 
cancelled.

[75 FR 35977, June 24, 2010, as amended at 76 FR 69133, Nov. 8, 2011]



Sec.7.40  Petition to Director to review refusal.

    (a) A response to the examiner's initial refusal to accept an 
affidavit or declaration is required before filing a petition to the 
Director, unless the examiner directs otherwise. See Sec.7.39(b) for 
the deadline for responding to an examiner's Office action.
    (b) If the examiner maintains the refusal of the affidavit or 
declaration, the holder may file a petition to the Director to review 
the examiner's action. The petition must be filed within six months of 
the date of issuance of the action maintaining the refusal, or the 
Office will cancel the registration.
    (c) A decision by the Director is necessary before filing an appeal 
or commencing a civil action in any court.

[68 FR 55769, Sept. 26, 2003, as amended at 73 FR 67776, Nov. 17, 2008]



    Subpart G_Renewal of International Registration and Extension of 
                               Protection



Sec.7.41  Renewal of international registration and extension 
of protection.

    (a) Any request to renew an international registration and its 
extension of protection to the United States must be made at the 
International Bureau in accordance with Article 7 of the Madrid 
Protocol.
    (b) A request to renew an international registration or extension of 
protection to the United States submitted through the Office will not be
processed.

[[Page 371]]

                  INDEX II_RULES RELATING TO TRADEMARKS

  Editorial Note: This listing is provided for information purposes 
only. It is compiled and kept up-to-date by the Department of Commerce. 
This index is updated as of July 1, 2021.

                                                                 Section

                                 A

Abandonment of application or mark:
During inter partes proceeding.....................................2.135
Express abandonment.................................................2.68
For failure to respond or to respond completely to official action
                                                                 2.65(a)
For failure to timely file a statement of use....................2.65(c)
Revival of abandoned application....................................2.66
Acceptance of affidavit under sec. 8...............................2.163
Access:
To applications, and all proceedings relating thereto, after 
publication or registration......................................2.27(d)
To applications prior to publication.............................2.27(b)
To assignment records..............................................2.200
To decisions of Director and the Trademark Trial and Appeal Board 
                                                                 2.27(c)
To materials filed under seal pursuant to a protective order....2.27(e); 
                                                                2.126(c)
To pending trademark application index...........................2.27(a)
Acknowledgment of receipt of affidavit or declaration:
Filed under sec. 8.................................................2.163
Filed under sec. 71.................................................7.39
Act, The, defined.................................................2.2(a)
Action by assignee of record or owner......................3.71(d), 3.73
Action by Examiner on application...................................2.61
Adding party to an interference.....................................2.98
Address for correspondence with U.S. Patent and Trademark Office 
                                                                   2.190
Additional specimens:
Bases for filing..........................................2.34(a)(1)(iv)
Specimens........................................................2.56(a)
Action by examiner...............................................2.61(b)
Amendment to allege use.......................................2.76(b)(2)
Application may include multiple classes.................2.86(a)(3), (b)
Filing statement of use after notice of allowance.............2.88(a)(1)
Requirements for a complete affidavit or declaration of continued 
use or excusable nonuse.........................................2.161(a)
Amendment of registration...............................2.173(b)(3), (4)
Requirements for a complete affidavit or declaration of use in 
commerce or excusable nonuse................................7.37(a), (h)
Admissions, request for (discovery):
Motion to determine sufficiency of response.....................2.120(i)
Numerical limit on..............................................2.120(i)
Timing of.......................................................2.120(a)
Use of admission................................................2.120(k)
When to file copy of request with Trademark Trial and Appeal Board
                                                             2.120(k)(8)
Advertising by attorneys and others, restricted...................11.702
Affidavit or declaration:

[[Page 372]]

Claiming benefits of Act of 1946...................................2.153
Combined secs. 8 and 15.........................................2.168(a)
Combined secs. 9 and 15.........................................2.168(b)
For incontestability under sec. 15.................................2.167
Of use in commerce or excusable nonuse under sec. 8............2.160-166
Of use in commerce or excusable nonuse under sec. 71...........7.36-7.40
Reconsideration of, under sec. 8.............................2.163-2.165
Reconsideration of, under sec. 71.............................7.39, 7.40
Testimony in inter partes proceeding...............2.122(b)(2), 2.123(a)
To avoid cancellation of registration under sec. 8...........2.160-2.166
To avoid cancellation of registration under sec. 71............7.36-7.40
Agent. (See Attorneys and other representatives)
Allegations in application or registration not evidence on behalf 
of applicant or registrant in inter partes proceeding........2.122(b)(2)
Allowance, notice of.......................................2.81(b), 2.88
Amendment of application:
After final action...............................................2.64(b)
After publication....................................2.35(b)(2), 2.84(b)
Between notice of allowance and statement of use....................2.77
Description or drawing of mark......................................2.72
Form of amendment...................................................2.74
Involved in inter partes proceedings...............................2.133
To allege use.......................................................2.76
To change to different register.....................................2.75
To correct informalities............................................2.71
To seek concurrent use registration.................................2.73
Amendment of pleadings in inter partes proceedings:
Cancellation.......................................................2.115
Opposition.........................................................2.107
Amendment of registration:
During inter partes proceedings....................................2.133
Requirements for, in general.......................................2.173
Amendment to allege use.............................................2.76
Amendments to description or drawing of mark after filing........2.72(b)
Correction of deficiency in......................................2.76(g)
Filed during final action response period........................2.64(c)
Minimum requirements for filing..................................2.76(e)
Requirements for.................................................2.76(b)
Time for filing..................................................2.76(a)
Withdrawal of....................................................2.76(h)
Answer to pleadings in opposition and cancellation proceedings....2.106, 
                                                                   2.114
Contents of answer..............................2.106(b)(1), 2.114(b)(2)
Corresponds to answer in court proceeding.......................2.116(c)
Counterclaim....................................2.106(b)(3), 2.114(b)(3)
Failure to timely answer..............................2.106(a), 2.114(a)
Answer to notice instituting concurrent use proceeding...........2.99(d)
Failure to answer.............................................2.99(d)(3)
Who needs to answer and when..................................2.99(d)(2)
Appeal to Court and civil action...................................2.145
Appeal to Court from decision of Director..........................2.145
Appeal to Court from decision of Trademark Trial and Appeal Board 
                                                                   2.145
Appeal to U.S. Court of Appeals for the Federal Circuit.........2.145(a)
Civil action....................................................2.145(c)
Extensions of time to appeal....................................2.145(e)
Notice of appeal to Court....................................2.145(c)(3)
Notice of appeal to U.S. Court of Appeals for the Federal Circuit 
                                                        2.145(a)(2), (3)

[[Page 373]]

Notice of election by appellee to proceed by civil action after 
appeal to U.S. Court of Appeals for the Federal circuit......2.145(b)(2)
Time for appeal or civil action.................................2.145(d)
Appeal to Trademark Trial and Appeal Board:
Appropriate response to final refusal or second refusal on the 
same grounds..............................................2.64(a), 2.141
Briefs on appeal................................................2.142(b)
Compliance with requirements not on appeal......................2.142(c)
Failure of appellant to file brief...........................2.142(b)(1)
Introduction of new evidence after filing of appeal.............2.142(d)
Oral hearing on appeal..........................................2.142(e)
Reconsideration of decision on appeal..............................2.144
Remand to Examiner re new issue prior to decision...............2.142(f)
Reopening of examination of application after decision on appeal 
                                                                2.142(g)
Time and manner of filing appeal................................2.142(a)
Applicant:
Foreign.................................................2.24, 2.34(a)(3)
Name of...........................................2.21(a)(1), 2.32(a)(2)
Signature and oath or declaration...................................2.33
Application for registration...................................2.21-2.47
Access to pending applications......................................2.27
Amendment of. See Amendment of application.
Basis for filing..............................................2.34, 2.35
Certification mark..................................................2.45
Collective mark.....................................................2.44
Color claim in................................................2.52(b)(1)
Concurrent use..........................................2.42, 2.73, 2.99
Conflicting marks, co-pending applications for......................2.83
Description of mark.................................................2.37
Different classes may be combined...................................2.86
Dividing of applications............................................2.87
Drawing required....................................................2.51
Extension of protection of international registration to United 
States.........................................................7.25-7.41
Filing-date requirements............................................2.21
Form of application............................................2.32-2.47
For international registration. See International registration, 
application for
Must be in English...............................................2.32(a)
Principal Register..................................................2.46
Priority claim based on foreign application.............2.34(a)(4), 7.27
Prior registrations should be identified............................2.36
Requirements for drawings......................................2.52-2.54
Requirements for written application...........................2.32-2.34
Service mark........................................................2.43
Signature of........................................................2.33
Specimens filed with..........................................2.56, 2.59
Supplemental Register...............................................2.47
Verification of.......................................2.32(b), (c), 2.33
Assignee:
Certificate of registration may be issued to........................3.85
New certificate of registration may be issued to...................2.171
Not domiciled in U.S................................................3.61
Right to take action when assignment is recorded or proof of 
assignment has been submitted..............................3.71(d), 3.73
Assignment of registered marks or marks subject to pending 
applications..............................................3.1-3.85, 7.23
Cover sheet required to record................................3.28, 3.31
Effect of recording.................................................3.54

[[Page 374]]

Electronically filed requests to record...........3.25(c)(1), 3.31(a)(7)
Extension of protection of international registration to U.S., 
assignment of.................................................7.22, 7.23
Original documents should not be submitted for recordation.........3.25, 
                                                                 3.34(b)
Recording fees......................................................3.41
Recording in U.S. Patent and Trademark Office of assignments or 
other instruments relating to such marks............................3.11
Recording of changes to International registrations or 
applications not applicable.........................................7.22
Records open to public inspection...........................2.200, 2.201
Requirements for recording...............................3.25-3.31, 3.41
Assignment of trial dates in inter partes proceedings....2.120(a), 2.121
Consolidated proceedings.....................................2.121(b)(2)
Counterclaim.................................................2.121(b)(2)
Discovery period................................................2.120(a)
Extending, Rescheduling.....................2.120(a), 2.121(a), (c), (d)
Testimony periods..................................................2.121
Trial order mailed with notice of institution...................2.120(a)
Attorney conflict of interest............2.61(c), 11.107, 11.108, 11.111
Attorneys and other representatives............2.11, 2.17-2.19, 2.119(d)
Attorneys fees:
Unavailable.....................................................2.127(f)
Authentication of copies of assignment records...............2.200(a)(2)

                                 B

Basis for filing an application...............................2.34, 2.35
Bona fide intention to use....................2.34(a)(2), 2.34(a)(3)(i), 
                               2.34(a)(4)(B)(ii), 2.89(a)(3), 2.89(b)(3)
Briefs:
At final hearing in inter partes case..............................2.128
Failure of appellant to file brief on appeal.................2.142(b)(1)
Failure of inter partes plaintiff to file brief at final hearing 
                                                             2.128(a)(3)
Failure to file brief on inter partes motion....................2.127(a)
On appeal to Trademark Trial and Appeal Board...................2.142(b)
On motions in inter partes cases........................2.127(a), (e)(1)
On petitions to Director...................................2.146(c), (e)
Burden of proof in an interference..................................2.96
Business with U.S. Patent and Trademark Office to be conducted 
with decorum and courtesy..........................................2.192
Business with U.S. Patent and Trademark Office transacted in 
writing............................................................2.191

                                 C

Cancellation of registrations (See also International Registration, 
cancellation of):
By cancellation proceeding; pleadings and procedure................2.111
(See also Petition for Cancellation)
By registrant...............................................2.134, 2.172
For failure to file affidavit or declaration of use under sec. 8 
                                                             2.160-2.166
For failure to file affidavit or declaration of use under sec. 71 
                                                               7.36-7.40
During cancellation proceeding.....................................2.134
Cases not specifically defined in rules, petition to the Director 
                                                             2.146(a)(4)
Certificate of correction of registration...................2.174, 2.175
Certificate of mailing by first class mail.........................2.197
Certificate of registration:
As evidence in inter partes proceeding................2.122(b), (d), (e)
Contents...........................................................2.151

[[Page 375]]

In Registered extension of protection of international 
registration to United States.......................................7.28
Issuance of new certificate to assignee............................2.171
When and how issued....................................2.81, 2.82, 2.151
Certification mark......................................2.45, 2.56(b)(5)
Certification of international application..........................7.13
Certified copies of registrations and records......................2.201
Citizenship of applicant......................................2.32(a)(3)
Civil action:
From decision of Director.......................................2.145(c)
From decision of Trademark Trial and Appeal Board...............2.145(c)
Notice of election by appellee to proceed by civil action after 
appeal to U.S. Court of Appeals for the Federal Circuit......2.145(b)(2)
Notice to Trademark Trial and Appeal Board of election to commence 
civil action for review of Board decision....................2.145(c)(3)
Suspension of action in application pending outcome.................2.67
Suspension of inter partes proceedings pending outcome.............2.117
Time for commencing civil action from decision of Director or 
Trademark Trial and Appeal Board.............................2.145(d)(3)
Waiver of right to proceed by civil action in ex parte case 
                                                             2.145(b)(1)
Civil Procedure, Federal Rules of, applied to inter partes 
proceedings.................................2.116(a), 2.120(a), 2.122(a)
Claim of benefits of Act of 1946 for marks registered under prior 
Acts.........................................................2.153-2.156
Classification of goods and services................................2.85
Application limited to single class..............................2.86(a)
Combined applications...............................................2.86
Schedules of classes.............................................6.1-6.4
Collective mark.........................................2.44, 2.56(b)(3)
Color claim:
In application for registration in United States..............2.52(b)(1)
In application for international registration...........7.11(a)(4), 7.12
Combined applications...............................................2.86
Combined inter partes proceedings:
Cancellation....................................................2.112(b)
Opposition......................................................2.104(b)
Commencement of cancellation....................................2.111(a)
Commencement of opposition......................................2.101(a)
Communication with attorney or other representative.................2.18
Complaints against U.S. Patent and Trademark Office employees......2.192
Compliance of applicant with other laws.............................2.69
Compliance with discovery order of Trademark Trial and Appeal 
Board...........................................................2.120(h)
Compulsory counterclaim...................2.106(b)(3)(i), 2.114(b)(3)(i)
Concurrent use registration...................................2.42, 2.99
Amendment to seek...................................................2.73
Answer to notice of concurrent use proceeding, by whom and when 
                                                                 2.99(d)
Application requirements............................................2.42
Based upon court determination...................................2.99(f)
Burden of proving entitlement to.................................2.99(e)
Consideration and determination by Trademark Trial and Appeal 
Board..................................................2.99(h), 2.133(c)
Examination by Examiner.....................................2.99(a), (b)
Intent-to-use applications, when subject to................2.73, 2.99(g)
Mark must first be published for opposition purposes.............2.99(b)
Notice of concurrent use proceeding.........................2.99(c), (d)

[[Page 376]]

Registrations and applications to register on Supplemental 
Register and registrations under Act of 1920 not subject to......2.99(g)
Request to divide application during concurrent use proceeding 
                                                              2.87(c)(1)
Conduct of practitioners...................................11.101-11.901
Conference, pre-trial, in inter partes cases.................2.120(j)(2)
Conference, telephone, in inter partes cases.................2.120(j)(1)
Confidential matters...............2.27(e), 2.125(f), 2.116(g), 2.126(c)
Conflict of interest, attorney...........2.61(c), 11.107, 11.108, 11.111
Conflicting marks, co-pending applications for................2.83, 2.91
Consent of applicant or authorized representative to withdrawal of 
opposition after answer.........................................2.106(c)
Consent of opposer to abandonment of application or mark...........2.135
Consent of petitioner to surrender or voluntary cancellation of 
registration.......................................................2.134
Consent of registrant withdrawal of cancellation after answer...2.114(c)
Consolidated inter partes proceedings:
Filing consolidated petition to cancel..........................2.112(b)
Filing consolidated opposition..................................2.104(b)
Times for filing briefs......................................2.128(a)(2)
Times for taking testimony...................................2.121(b)(2)
Constructive use, entry of judgment subject to establishment of in 
inter partes proceedings........................................2.129(d)
Contested or inter partes case procedures....................2.116-2.136
Copies of registrations and records........................2.6(b), 2.201
Correction of informalities by amendment............................2.71
Correction of mistake in certificate of registration:
Mistake by U.S. Patent and Trademark Office........................2.174
Mistake by registrant..............................................2.175
Mistake in international registration...............................7.22
Correspondence, addresses for.................................2.190, 7.4
Correspondence, with whom held......................2.18, 2.24, 2.119(d)
Counterclaim in opposition and cancellation.....2.106(b)(3), 2.114(b)(3)
Court determination as basis for concurrent use registration.....2.99(f)
Courtesy and decorum in dealing with U.S. Patent and Trademark 
Office.............................................................2.192
Court of Appeals for the Federal Circuit, U.S., appeal to..........2.145

                                 D

Date of first use and first use in commerce:
Amendment of.....................................................2.71(c)
Required in amendment to allege use.................2.76(b)(1)(iii), (c)
Required in statement of use........................2.88(b)(1)(iii), (c)
Required in use applications under sec. l(a)....2.34(a)(1)(ii) and (iii)
Date of use allegation in application or registration not evidence 
on behalf of applicant or registrant in inter partes case....2.122(b)(2)
Declaration in lieu of oath or verification.........................2.20
Declaration of interference.........................................2.91
Default judgment for failure to offer evidence in inter partes 
proceeding......................................................2.132(a)
Delay in responding to official action..............................2.66
Deposit accounts for paying fees...................................2.208
Depositions, discovery, in inter partes cases:
Domestic party..................................................2.120(b)
Foreign party or representative.................................2.120(c)
Motion to compel attendance.....................................2.120(f)
Nonparty........................................................2.120(b)
Time for taking.................................................2.120(a)

[[Page 377]]

Use of..........................................................2.120(k)
When to file with Trademark Trial and Appeal Board...........2.120(k)(8)
Depositions, discovery or trial testimony, upon written questions 
                                                                   2.124
Depositions, trial testimony.......................................2.123
Before whom taken...............................................2.123(d)
Certification and filing........................................2.123(f)
Corresponds to the trial in court proceedings...................2.116(e)
Effect of errors and irregularities.............................2.123(i)
Examination of witnesses........................................2.123(e)
Filing and service of testimony transcript............2.123(f)(2), 2.125
Form of depositions.............................................2.123(g)
Manner of taking................................................2.123(a)
Must be filed...................................................2.123(h)
Notice of taking................................................2.123(c)
Protective order relating to transcript or exhibits.............2.125(f)
Raising of objections.................................2.123(e), (i), (j)
Stipulations concerning.........................................2.123(b)
Taken in foreign country.....................................2.123(a)(2)
Timing.............................................................2.121
Description of mark in application......................2.37, 2.52(b)(5)
Amendment to........................................................2.72
Designation of representative by foreign applicant, registrant, or 
party:
Application.........................................................2.24
Assignment..........................................................3.61
In inter partes proceeding......................................2.119(d)
Director of United States Patent and Trademark Office:
May suspend certain rules................................2.146(a), 2.148
Petition to........................................................2.146
Disciplinary Proceedings....................................11.19 -11.62
Disclaimer:
During inter partes cases..........................................2.133
In part, of registered mark........................................2.173
Disclosures:
Expert disclosures......................................2.120(a)(2)(iii)
Failure to make.................................................2.120(f)
Filing with Board.......................................2.120(k)(5), (8)
Initial disclosures.....................................2.120(a)(2), (3)
Motion to compel................................................2.120(f)
Protective order................................................2.120(g)
Sanctions....................................................2.120(h)(2)
Discovery depositions. See Depositions, discovery, in inter partes 
cases.
Discovery procedure................................................2.120
Automatic disclosure and discovery provisions of Federal Rules of 
Civil Procedure applicable......................................2.120(a)
Discovery conference............................................2.120(a)
Discovery deposition of domestic party..........................2.120(b)
Discovery deposition of foreign party...........................2.120(c)
Discovery provisions of Federal Rules of Civil Procedure apply 
except as otherwise provided....................................2.120(a)
Electronically stored information..........................2.120(e), (f)
Failure to comply with discovery order of Trademark Trial and 
Appeal Board....................................................2.120(h)
Interrogatories.................................................2.120(d)
Motion for order to compel discovery..................2.120(d), 2.120(f)
Motion for a protective order...................................2.120(g)
Place of production of documents and things.....................2.120(e)
Pre-trial conference.........................................2.120(j)(2)
Proceeding suspended pending decision on motion to compel....2.120(f)(2)

[[Page 378]]

Request for admissions..........................................2.120(i)
Sanctions for failure to comply with discovery order of Trademark 
Trial and Appeal Board..........................................2.120(h)
Telephone conference.........................................2.120(j)(1)
Time for discovery..............................................2.120(a)
Use of discovery deposition, answer to interrogatory, or admission
                                                                2.120(k)
When to file discovery materials with Trademark Trial and Appeal 
Board........................................................2.120(k)(8)
Dismissal:
For failure to file brief on appeal to Trademark Trial and Appeal 
Board........................................................2.142(b)(1)
For failure to take testimony or offer other evidence in inter 
partes case........................................................2.132
Distinctiveness under sec. 2(f), proof of...........................2.41
Dividing an application.............................................2.87
Dividing a registration.........................................2.171(b)
Domestic representative of foreign applicant, registrant, or party:
Application.........................................................2.24
Assignment..........................................................3.61
In inter partes proceeding......................................2.119(d)
Domicile of applicant.........................................2.32(a)(2)
Drawing........................................................2.51-2.54
Amendment to mark in................................................2.72
Color in......................................................2.52(b)(1)
Drawings required...................................................2.51
Electronically filed.......................................2.52(c), 2.53
Paper...............................................................2.54
Requirements for drawing.......................................2.52-2.54
Standard character drawing.......................................2.52(a)
Typed drawing. See Standard character drawing
Duplicate registrations, Office does not issue......................2.48
Domicile:
Complete application..........................................2.32(a)(2)
Definition........................................................2.2(o)
Requirement for representation...................................2.11(a)
Requirement to provide.............................................2.189
TEAS Plus application.........................................2.22(a)(1)
Duration of registration:
Cancellation for failure to file affidavit or declaration of use 
under sec. 8.......................................................2.160
Cancellation for failure to file affidavit or declaration of use 
under sec. 71.......................................................7.36
Renewal................................................2.181-2.186, 7.41
Term of original registrations and renewals........................2.181
Duty to monitor status:
Applications..................................................2.23(d)(1)
Registrations.................................................2.23(d)(2)

                                 E

Electronic filing with Trademark Trial and Appeal Board........2.126(a), 
                                                                   2.191
Electronically stored information, discovery of............2.120(e), (f)
Emergencies or interruptions in United States Postal Service....2.195(d)
``Entity'', defined...............................................2.2(b)
Entry of judgment, in inter partes proceeding, subject to 
establishment of constructive use...............................2.129(d)
Evidence in ex parte appeal after notice of appeal..............2.142(d)
Evidence in inter partes proceeding..........................2.122-2.125

[[Page 379]]

Affidavit and declaration testimony.............................2.123(a)
Allegations of use and specimens in applications and registrations
                                                             2.122(b)(2)
Discovery responses.............................................2.120(k)
Exhibits attached to pleadings..................................2.122(c)
Files of applications or registrations which are subject matter of 
proceeding...................................................2.122(b)(1)
Official records................................................2.122(e)
Printed publications............................................2.122(e)
Registration owned by any party to proceeding................2.122(d)(2)
Registration pleaded by opposer or petitioner................2.122(d)(1)
Rules of evidence...............................................2.122(a)
Stipulated facts................................................2.123(b)
Testimony by affidavit or declaration...........................2.123(a)
Testimony from other proceedings between parties................2.122(f)
Testimony upon oral examination....................................2.123
Testimony upon written questions...................................2.124
Evidence of distinctiveness.........................................2.41
Examination of applications.........................................2.61
Examination of witnesses in inter partes proceeding.............2.123(e)
Examiner's appearance at ex parte appeal oral hearing........2.142(e)(2)
Examiner's brief on appeal......................................2.142(b)
Examiner's jurisdiction over an application.........................2.84
Exhibits attached to pleadings as evidence......................2.122(c)
Exhibits, testimony, filing and service of.........................2.125
Ex parte appeal. (See Appeal to Trademark Trial and Appeal Board)
Ex parte matter disclosed but not tried in inter partes case.......2.131
Express abandonment of application or mark:
During examination procedure........................................2.68
During inter partes proceeding.....................................2.135
``ExpressMail'' procedure for filing of papers and fees............2.198
Express surrender or cancellation of registration:
During inter partes proceeding.....................................2.134
Requirements for...................................................2.172
Extension of protection of international registration to United 
States.........................................................7.25-7.41
Affidavit of continued use or excusable nonuse required after 
registration...................................................7.36-7.40
Assignment of.......................................................7.23
Basis for registration...............................2.34(a)(5), 2.35(a)
Certificate of registration..................................2.151, 7.28
Definitions of terms.................................................7.1
Effect of cancellation or expiration of international registration
                                                                    7.30
Filing date.........................................................7.26
Not registrable on Supplemental Register................2.47(c), 2.75(c)
Part 2 rules applicable..........................................7.25(a)
Part 3 rules do not apply...........................................7.22
Priority claim......................................................7.27
Renewal.............................................................7.41
Registered extension of protection cannot be amended under Section 
7 of the Act.....................................................7.25(a)
Replacement of U.S. registration by...........................7.28, 7.29
Trademark Rules of Practice applicable to...........................7.25
Transformation to U.S. application..................................7.31
Extension of time for discovery and testimony...2.120(a), 2.121(a), (c), 
                                                                     (d)
Extension of time for filing opposition...........2.6(a)(22)-(23); 2.102
Extension of time for filing statement of use.......................2.89
Fee for filing request for..............................2.6(a)(22), (23)
Good cause showing, when necessary.......................2.89(b)(4), (d)

[[Page 380]]

Request filed with statement of use..............................2.89(e)

                                 F

Facsimile transmission of certain correspondence to U.S. Patent 
and Trademark Office............................................2.195(c)
Facsimile transmission not allowed to Trademark Trial and Appeal 
Board...........................................................2.195(c)
Failure by appellant to file brief on ex parte appeal........2.142(b)(1)
Failure by plaintiff to file brief at final hearing in inter 
partes proceeding............................................2.128(a)(3)
Failure to answer opposition....................................2.106(a)
Failure to answer petition for cancellation.....................2.114(a)
Failure to comply with discovery order..........................2.120(h)
Failure to comply with order relating to confidential testimony or 
exhibits........................................................2.125(f)
Failure to file affidavit of use under sec. 8 or renewal 
application for registration in inter partes proceeding.........2.134(b)
Failure to file brief on motion.................................2.127(a)
Failure to offer evidence other than U.S. Patent and Trademark 
Office records..................................................2.132(b)
Failure to respond to official action...............................2.65
Failure to take testimony or offer other evidence...............2.132(a)
Failure to timely file a statement of use........................2.88(h)
Fax transmission of certain correspondence to U.S. Patent and 
Trademark Office................................................2.195(c)
Federal Rules of Civil Procedure............2.116(a), 2.120(a), 2.122(a)
Federal Rules of Evidence.......................................2.122(a)
Fees and charges..............................2.6, 2.206-2.209, 7.6, 7.7
For application under section 66(a)........................2.6(a)(1)(ii)
For filing an application......................................2.6(a)(1)
For TEAS Plus application..................................2.6(a)(1)(iv)
For TEAS Standard application.............................2.6(a)(1)(iii)
Payable to International Bureau......................................7.7
Fees, insufficient amount submitted:
For application...............................................2.21(a)(5)
For petition for cancellation...................................2.111(d)
For ex parte appeal.............................................2.141(b)
For opposition..................................................2.101(c)
For renewal application.........................................2.183(e)
Fees, payment of..............................2.6, 2.206-2.207, 7.6, 7.7
To International Bureau..............................................7.7
Filing an amendment to allege use...................................2.76
Filing an extension of protection under 66(a).................2.34(a)(5)
Filing an opposition...............................................2.101
Filing and service of trial testimony..............................2.125
Filing date, effective, after amendment of sec. l(b) application 
to Supplemental Register.........................................2.75(b)
Filing date of application....................................2.21, 7.26
Filing of confidential submissions...................2.125(f), 2.126-(c)
Filing of submissions electronically with Trademark Trial and 
Appeal Board.............................................2.126(a), 2.191
Filing of papers and fees by Priority Mail Express.................2.198
Filing petition for cancellation...................................2.111
Filing requests for extensions of time for filing statement of use
                                                                    2.89
Filing statement of use after notice of allowance...................2.88
Filing substitute specimens.........................................2.59
Final refusal of application........................................2.64

[[Page 381]]

Filing amendment to allege use during final action response period
                                                                 2.64(d)
Reconsideration of...............................................2.64(a)
Final hearing, briefs at (inter partes proceeding).................2.128
Foreign applicant, registrant, or party, designation of domestic 
representative......................................2.24, 2.119(d), 3.61
Foreign application, priority claim based on............2.34(a)(4), 7.27
Foreign registration:
Application based on, under sec. 44..................2.34(a)(3), 2.47(b)
Copy of...................................................2.34(a)(3)(ii)
Necessary before publication..............................2.34(a)(3)(ii)
Form of amendment to application....................................2.74
Form of submissions to Trademark Trial and Appeal Board............2.126

                                 G

General information and correspondence..................2.190-2.198, 7.4
Goods and/or services identification of:
Additions not permitted..........................................2.71(a)
Amendment of.....................................................2.71(a)
Amendment of, filed with statement of use........................2.88(h)
In affidavit or declaration filed under sec. 8..............2.161 (a)(5)
In affidavit or declaration filed under sec. 71...............7.37(a)(5)
In international application..................................7.11(a)(7)
In written application........................................2.32(a)(6)
Multiple goods or services comprised in single class or multiple 
classes..................................2.32(a)(6), 2.34(a)(1)(v), 2.86
Required in amendment to allege use.....................2.76(b)(iv), (c)
Required in request for extension of time to file statement of use
                                                         2.89(a)(3), (f)
Required in statement of use..................................2.88(b)(1)
Good cause, showing necessary for extension of time to file 
statement of use.........................................2.89(b)(4), (d)

                                 H

Hearing, oral:
At final hearing in inter partes proceeding........................2.129
On appeal to Trademark Trial and Appeal Board...................2.142(e)
On motion in inter partes proceedings.................2.120(j), 2.127(a)
On petition to Director.........................................2.146(f)

                                 I

Identification of goods and/or services. (See Goods and/or services 
identification of)
Identification of pending application or registered mark in 
correspondence.....................................................2.194
Identification of prior registrations...............................2.36
Incontestability of right to use mark:
Affidavit under sec. 15............................................2.167
Freedom from interference proceeding.............................2.91(b)
Informalities, amendment to correct.................................2.71
Intent-to-use applications under sec. 1(b):
Abandonment for failure to timely file a statement of use........2.65(c)
Amendment to allege use.............................................2.76
Amendments between notice of allowance and statement of use.........2.77
Basis for filing application........................................2.34
Bona fide intention to use mark in commerce necessary......2.34(a)(2)(i)
Certification mark..................................................2.45

[[Page 382]]

Collective mark.....................................................2.44
Dividing............................................................2.87
Drawing required...........................................2.32(c), 2.51
Extensions of time for filing statement of use......................2.89
Filing-date requirements............................................2.21
Notice of allowance..............................................2.81(b)
Requirements for written application....................2.32, 2.34(a)(2)
Revival of application abandoned for failure to respond to a 
notice of allowance..............................................2.66(c)
Specimens filed with amendment to allege use or statement of use 
                                                        2.56, 2.76, 2.88
Statement of use....................................................2.88
When eligible for concurrent use.....................2.42, 2.73, 2.99(g)
When eligible for amendment to Supplemental Register....2.47(d), 2.75(b)
Interlocutory motions, inter partes proceeding.....................2.127
Interference.......................................2.91-2.93, 2.96, 2.98
Adding Party to interference........................................2.98
Burden of proof.....................................................2.96
Conflicting marks, co-pending applications for......................2.83
Declaration of interference.........................................2.91
Declared only on petition to Director............................2.91(a)
Institution of interference.........................................2.93
Issue...............................................................2.96
Marks must otherwise be deemed registrable..........................2.92
Notice of interference..............................................2.93
Preliminary to interference.........................................2.92
Registrations and applications on the Supplemental Register, 
registrations under the Act of 1920, and registrations of 
incontestable marks not subject to interference..................2.91(b)
Request to divide application during interference.............2.87(c)(1)
International application......................................7.11-7.14
Address for mailing paper.......................................2.190(a)
Cannot be filed by fax..........................................2.195(c)
Certification of....................................................7.13
Claim of color in...................................................7.12
Correspondence, receipt of...........................................7.4
Definitions of terms.................................................7.1
Fees for........................................................7.6, 7.7
Irregularities in...................................................7.14
Must be filed through TEAS or on International Bureau's form.....7.11(a)
Must be in English...................................................7.3
Requirements for....................................................7.11
Subsequent designation..............................................7.21
International Bureau.......7.1, 7.7, 7.11, 7.13, 7.14, 7.21, 7.22, 7.23, 
                          7.24, 7.26, 7.27, 7.30, 7.31, 7.36, 7.41, 11.9
Payment of fees to...................................................7.7
International register, recording changes in. See also 
International registration.....................................7.22-7.24
International registration......................................7.1-7.41
Application for. See International application.
Assignment of.......................................................7.23
Cancellation of...............................................7.30, 7.31
Correspondence must be in English....................................7.3
Definitions of terms.................................................7.1
Extension of protection to United States. See Extension of protection of 
international registration to United States
Priority claim......................................................7.27
Recording changes in...........................................7.22-7.24

[[Page 383]]

Renewal of..........................................................7.41
Replacement...................................................7.28, 7.29
Restriction on holder's right to dispose of.........................7.24
Subsequent designation..............................................7.21
Inter partes procedure.......................................2.116-2.136
Inter partes proceedings......................................2.91-2.136
Cancellation.................................................2.111-2.115
Concurrent use......................................................2.99
Failure of plaintiff to file brief at final hearing..........2.128(a)(3)
Failure of plaintiff to take testimony.............................2.132
Interference.......................................2.91-2.93, 2.96, 2.98
Opposition...................................................2.101-2.107
Procedure in.................................................2.116-2.136
Interrogatories (discovery).....................................2.120(d)
Motion for an order to compel answer..................2.120(d), 2.120(f)
Numerical limit on..............................................2.120(d)
Timing of.......................................................2.120(a)
Use of answers..................................................2.120(k)
When to file copy of interrogatories and answers thereto with 
Trademark Trial and Appeal Board.............................2.120(k)(8)
Interruptions or emergencies in United States Postal Service....2.195(d)
Irregularities in application for international registration. (See 
International application, irregularities in)
Issue date of the notice of allowance............................2.81(b)

                                 J

Judgment by default:
Failure by plaintiff to file brief at final hearing..........2.128(a)(3)
Failure to answer cancellation..................................2.114(a)
Failure to answer notice of concurrent use proceeding.........2.99(d)(3)
Failure to answer opposition....................................2.106(a)
Failure by plaintiff to take testimony or offer other evidence.....2.132
Judgment, entry of in inter partes proceeding subject to 
establishment of constructive use...............................2.129(d)
Jurisdiction over published applications............................2.84
Amendment after publication of mark..............................2.84(b)
Amendment during inter partes proceeding...........................2.133
Remand to Examiner by Trademark Trial and Appeal Board......2.130, 2.131

                                 L

Lawyers. (See Attorneys)
Letter, separate for each distinct subject of inquiry...........2.193(h)
Letters, address for mailing to U.S. Patent and Trademark Office 
                                                                   2.190
 Letters of protest:
Filed before publication.....................................2.149(d)(1)
Filed on or after publication................................2.149(d)(2)
Inclusion in application record............................2.149(h), (i)
Requirements....................................................2.149(f)
Separate submissions for each application.......................2.149(b)
Timeliness of submission........................................2.149(c)

                                 M

Madrid Protocol. (See International registration, international 
application)
Mailing, certificate of............................................2.197
Mailing address for correspondence with U.S. Patent and Trademark 
Office.............................................................2.190

[[Page 384]]

Marks on Supplemental Register published only upon registration.....2.82
Marks registered under 1905 Act. claiming benefits of 1946 Act 
                                                             2.153-2.156
Marks under sec. 12(c) not subject to opposition; subject to 
cancellation.......................................................2.156
Matters in evidence in inter partes cases..........................2.122
Mistake in registration incurred through fault of applicant........2.175
Mistake in registration incurred through fault of U.S. Patent and 
Trademark Office...................................................2.174
Money, payment of..................................2.206-2.209, 7.6, 7.7
Motions in inter partes proceedings:
Briefs on...............................................2.127(a), (e)(1)
Contents........................................................2.127(a)
Electronic filing required......................................2.126(a)
Failure to respond to motion....................................2.127(a)
For a protective order..........................................2.120(g)
For judgment for failure to take testimony.........................2.132
For summary judgment............................................2.127(e)
Interlocutory motions and requests, who may act on..............2.127(c)
Request for reconsideration of decision on motion...............2.127(b)
Suspension pending determination of potentially dispositive motion
                                                                2.127(d)
To add application to interference..................................2.98
To compel discovery...................................2.120(d), 2.120(f)
To determine sufficiency of answer or objection to request for 
admission.......................................................2.120(i)
To extend discovery period......................................2.120(a)
To extend times for taking testimony upon written questions 
                                                             2.124(d)(2)
To extend trial periods...............................2.121(a), (c), (d)
To suspend.........................................................2.117
To take oral deposition abroad..................2.120(c)(1), 2.123(a)(2)
To use testimony from another proceeding........................2.122(f)
Unavailable remedies............................................2.127(f)
Multiple class applications....................2.32(a)(6), 2.34(a)(1)(v)
Dividing of.........................................................2.87
Multiple goods or services comprised in single class or multiple 
classes.............................................................2.86
Dividing of.........................................................2.87

                                 N

New certificate on change of ownership.............................2.171
Notice by publication, undelivered Office notices..................2.118
Notice of allowance..............................................2.81(b)
Filing statement of use after.......................................2.88
Issue date of....................................................2.81(b)
Notice of appeal to court and civil action.........................2.145
Notice of appeal to Trademark Trial and Appeal Board............2.142(a)
Notice of concurrent use proceeding.........................2.99(c), (d)
Notice of claim of benefits of 1946 Act......................2.153-2.156
Notice of election by appellee to proceed by civil action after 
appeal to U.S. Court of Appeals for the Federal Circuit......2.145(b)(2)
Notice of interference..............................................2.93
Notice of publication under sec. 12(c).............................2.155
Notice of reliance on discovery.................................2.120(k)
Notice of reliance on printed publications and official records 
                                                                2.122(e)
Notice to Trademark Trial and Appeal Board of civil action...2.145(c)(3)
Notice, where address of registrant in cancellation proceeding is 
unknown............................................................2.118

[[Page 385]]

Notification of acceptance of or deficiency in amendment to allege 
use.........................................................2.76(d), (e)
Notification of acceptance of or deficiency in statement of use 
                                                            2.88(f), (g)
Notification of filing cancellation................................2.113
Notification of filing opposition..................................2.105
Notification of grant or denial of request for an extension of 
time to file a statement of use..................................2.89(g)
Notification of opposition.........................................2.105

                                 O

Oath, declaration in lieu of........................................2.20
Oaths, before whom and when made in testimonial deposition...2.123(e)(5)
Official Gazette contents:
Claim of benefits under sec. 12(c) for marks registered under 1905 
Act................................................................2.154
First filed of applications for conflicting marks...................2.83
Marks on Principal Register published for opposition................2.80
Marks on Supplemental Register published when registered............2.82
Official records, reliance on in inter partes proceeding........2.122(e)
Omission of matter from response to Examiner's action............2.65(b)
Opposition to registration of mark on Principal Register:....2.101-2.107
Amendment of opposition............................................2.107
Answer.............................................................2.106
Commencement of opposition......................................2.101(a)
Consolidated oppositions........................................2.104(b)
Contents of opposition.............................................2.104
Corresponds to complaint in a court proceeding..................2.116(c)
Discovery..........................................................2.120
Documents not returnable............................................2.25
Extension of time for filing an opposition.........................2.102
Failure to timely answer........................................2.106(a)
Fee for filing................................................2.6(a)(17)
Filing an opposition...............................................2.101
Insufficient fees...............................................2.101(d)
Notification of opposition.........................................2.105
Procedure, inter partes......................................2.116-2.136
Request to divide application during opposition...............2.87(c)(1)
Suspension of proceedings..........................................2.117
Time for filing opposition......................................2.101(c)
Who may file opposition.........................................2.101(b)
Withdrawal of opposition........................................2.106(c)
Oral argument at final hearing in inter partes proceeding..........2.129
Oral hearing:
Ex parte appeal.................................................2.142(e)
Inter partes proceedings.............2.116(f), 2.120(j), 2.127(a), 2.129
On petition to Director.........................................2.146(f)
Oral promise, stipulation, or understanding........................2.191
Ownership, prior registrations, identification in application.......2.36

                                 P

Payment of money..............................2.6, 2.206-2.209, 7.6, 7.7
Pending application index...........................................2.27
Period for response to Office actions...............................2.62
Personal appearance unnecessary....................................2.191
Persons who may practice before the U.S. Patent and Trademark 
Office in trademark cases..........................................11.14
Petition for cancellation....................................2.111-2.115

[[Page 386]]

Amendment of petition..............................................2.115
Answer.............................................................2.114
Commencement of cancellation proceeding.........................2.111(a)
Contents of petition...............................................2.112
Corresponds to complaint in a court proceeding..................2.116(c)
Discovery..........................................................2.120
Failure to timely answer........................................2.114(a)
Fee for filing................................................2.6(a)(16)
Filing petition for cancellation...................................2.111
Insufficient fees...............................................2.111(d)
Notification of cancellation proceeding............................2.113
Procedure, inter partes......................................2.116-2.136
Suspension of proceedings..........................................2.117
Time for filing petition........................................2.111(b)
Who may file petition...........................................2.111(b)
Withdrawal of petition..........................................2.114(c)
Petition for rehearing, reconsideration or modification of decision:
Decision in inter partes proceeding.............................2.129(c)
Decision on ex parte appeal........................................2.144
Decision on interlocutory motion in inter partes proceeding.....2.127(b)
Petition to revive abandoned application............................2.66
Petition to the Director...........................................2.146
Any case not specifically defined and provided for by rules 
                                                             2.146(a)(4)
Contents of petition............................................2.146(c)
Delegation of authority to act on petitions.....................2.146(h)
Extraordinary situation requiring suspension or waiver of 
requirement of rules.........................................2.146(a)(5)
Fee.................................................2.6(a)(15), 2.146(c)
From denial of request for extension of time to file statement of 
use..............................................................2.89(g)
From grant or denial of request for extension of time to oppose 
                                                             2.146(e)(1)
From interlocutory order of Trademark Trial and Appeal Board 
                                                             2.146(e)(2)
Invoke supervisory authority.................................2.146(a)(3)
Oral hearing on petition........................................2.146(f)
Reconsideration of decision on petition................2.66(e), 2.146(i)
Reconsideration of refusal to accept sec. 8 affidavit or 
declaration.....................................................2.165(b)
Refusal of renewal of registration.................................2.186
Relief from repeated formal requirement of Examiner.............2.63(b), 
                                                             2.146(a)(1)
Review of adverse action on correction, disclaimer, surrender, 
etc. of registration...............................................2.176
Stays time in appeal, inter partes proceeding, or reply to Office 
action only when stay is specifically requested and granted.....2.146(g)
Subject matter for petitions...............................2.146(a), (b)
Time to file petition......................................2.146(d), (e)
To accept a paper submission.......................................2.147
To accord filing date as of date of deposit as Priority Mail 
Express............................................................2.198
Pleading, amendment of......................................2.107, 2.115
Position of parties in inter partes proceedings...........2.96, 2.99(e), 
                                                                2.116(b)
Postal Service, United States, interruptions or emergencies in 
                                                                2.195(d)
Post notice of allowance......................................2.88, 2.89
Post publication....................................................2.81
Power of attorney or authorization of other representative....2.17, 2.19
Practice before the U.S. Patent and Trademark Office, individuals 
entitled to........................................................11.14
Predecessor in title or related company, use by.....................2.38
Pre-trial conference, inter partes proceeding................2.120(j)(2)
Principal Register..................................................2.46

[[Page 387]]

Amendment to or from Supplemental Register..........................2.75
Printed publications, as evidence in inter partes proceedings...2.122(e)
Prior acts, status of prior registrations..........................2.158
Priority claim based on foreign application.............2.34(a)(4), 7.27
Prior registrations, ownership, identification in application.......2.36
Procedure in inter partes cases..............................2.116-2.136
Production of documents and things, request for (discovery).....2.120(e)
Motion for an order to compel production...................2.120(e), (f)
Numerical limit on..............................................2.120(e)
Place of production.............................................2.120(e)
Timing of.......................................................2.120(a)
Professional conduct of attorneys..........................11.101-11.901
Proof of distinctiveness under sec. 2(f)............................2.41
Proof of service................................................2.119(a)
Protective order:
Access to materials filed under..................................2.27(e)
Form of filing materials under..................................2.126(c)
Standard protective order automatically imposed.................2.116(g)
Relating to discovery...........................................2.120(g)
Relating to testimony...........................................2.125(f)
Sanctions for violation...............................2.120(h), 2.125(f)
Publication and post publication...............................2.80-2.84
Publication in Official Gazette:
Jurisdiction over published applications............................2.84
Of claim of benefits under sec. 12(c) for marks registered under 
1905 Act...........................................................2.154
Of first filed of applications for conflicting marks................2.83
Of mark on Principal Register for opposition after approval.........2.80
Of marks on Supplemental Register when registered...................2.82
Publication, notice by, undelivered Office notices to applicant or 
registrant in inter partes proceeding..............................2.118

                                 R

Rebuttal testimony......................................2.121(b)(1), (c)
Receipt of papers and fees..............................2.195-2.198, 7.4
Recognition of attorneys or other authorized person..........2.17, 11.14
Reconsideration:
Of affidavit or declaration of use under sec. 8.......2.163(b), 2.165(a)
Of decision after final hearing in inter partes proceeding......2.129(c)
Of decision on ex parte appeal.....................................2.144
Of decision on petition to Director.............................2.146(i)
Of decision on petition to revive................................2.66(e)
Of final action..................................................2.64(b)
Of order or decision on interlocutory motion....................2.127(b)
Records of documents in Assignment Services Division of U.S. 
Patent and Trademark Office....................................3.11-3.56
Records and files of the U.S. Patent and Trademark Office....2.27, 2.200
Reexamination of application........................................2.63
Reexamination of application after remand by the Trademark Trial 
and Appeal Board.....................................2.130, 2.131, 2.142
Refund of money paid to U.S. Patent and Trademark Office...........2.209
Refusal of affidavit or declaration of use under sec. 8............2.163
Refusal of affidavit or declaration of use under sec. 71............7.39
Refusal of registration.............................................2.61
Refusal of renewal.................................................2.184
Refusal of request for extension of time to file a statement of 
use..............................................................2.89(g)

[[Page 388]]

Registered extension of protection. (See Extension of protection of 
international registration to United States)
Registrability of marks in plurality of classes (combined 
applications).......................................................2.86
Registrant claiming benefits of 1946 Act.....................2.153-2.156
Registration as evidence in inter partes proceeding:
File of registration which is the subject of the proceeding.....2.122(b)
Registration owned by any party to proceeding................2.122(d)(2)
Registration pleaded by opposer or petitioner................2.122(d)(1)
Registration records open to public inspection...................2.27(d)
Registrations, printed copies available............................2.201
Related company or predecessor, use by..............................2.38
Reinstatement:
Of an abandoned application......................................2.64(a)
Deadline.....................................................2.64(a)(1))
Requirements.................................................2.64(a)(2))
Of cancelled or expired registration.............................2.64(b)
Deadline.....................................................2.64(b)(1))
Requirements.................................................2.64(b)(2))
May be construed as petition.....................................2.64(c)
Remand to Examiner:
After decision in inter partes case................................2.131
During appeal from refusal of registration.................2.142(d), (f)
During inter partes case...........................................2.130
Renewal of registration................................2.181-2.186, 7.41
Application for renewal, requirements..............................2.183
Failure to renew registration involved in inter partes proceeding 
                                                                2.134(b)
Of international registration.......................................7.41
Period in which to file............................................2.182
Refusal of renewal.................................................2.184
Review of Examiner's refusal by Director...........................2.186
Term of original registrations and renewals........................2.181
Replacement...................................................7.28, 7.29
Reply briefs in inter partes proceedings........................2.127(a)
Representation of others before the U.S. Patent and Trademark 
Office.............................................................11.14
Representative, domestic or U.S. (See Domestic representative)
Representation, recognition for..............................2.17, 11.14
Representation, requirement for.....................................2.11
Republication of marks registered under prior acts...........2.153-2.156
Request for admissions (discovery). (See Admissions, request for)
Request for Extension of protection of international registration to 
United States. (See Extension of protection of international 
registration to United States)
Request for extension of time for discovery and testimony. (See 
Extension of time for discovery and testimony)
Request for extension of time to file opposition. (See Extension of time 
for filing opposition)
Request for extension of time to file statement of use. (See Extension 
of time to file statement of use)
Request for information, exhibits, affidavits, declarations, and 
additional specimens by Examiner.................................2.61(b)
Request for production (discovery). (See Production of documents and 
things, request for)
Request for reconsideration. See Reconsideration.
Request for records................................................2.201
Request for registration......................................2.32(a)(1)
Request to divide an application....................................2.87

[[Page 389]]

Request to divide a registration................................2.171(b)
Requirements for receiving a filing date......................2.21, 7.26
Requirements for written application...........................2.32-2.34
Registration of marks registered under prior acts..................2.158
Response to official action.........................................2.62
Restriction on holder's right to dispose of international 
registration........................................................7.24
Request for reinstatement. See Reinstatement.
Review by Director:
For relief from repeated formal requirement by Examiner..........2.63(b)
Of adverse action on correction, disclaimer, surrender, etc. of 
registration.......................................................2.176
Of refusal of affidavit or declaration of use under sec. 8.........2.165
Of refusal of affidavit or declaration of use under sec. 71.........7.40
Of refusal of renewal application..................................2.186
Petitions to the Director..........................................2.146
Revival of abandoned applications...................................2.66
Revocation of power of attorney.....................................2.19
Rules of evidence in inter partes cases.........................2.122(a)
Requirement to correspond electronically:
Email address....................................................2.23(b)
Trademark correspondence............................................2.23
Revival of applications abandoned in full or in part due to 
unintentional delay:
Deadline.........................................................2.66(a)
For failure to respond to a notice of allowance..................2.66(c)
For failure to respond to an Office action.......................2.66(b)
Reconsideration of denial of petition to revive..................2.66(e)
Rules of practice in trademark cases:
Suspension, petition to Director......................2.146(a)(5), 2.148
Waiver, petition to Director..........................2.146(a)(5), 2.148

                                 S

Sanction for failure to comply with discovery order.............2.120(h)
Sanction for failure to comply with protective order relating to 
testimony.......................................................2.125(f)
Saturday, Sunday, or Federal holiday, time for taking action 
expiring on.................................................2.195, 2.196
Schedule of classes of goods and services..................2.85, 6.1-6.4
Schedule of time for discovery and trial periods.........2.120(a), 2.121
Sec. 2(f), proof of distinctiveness.................................2.41
Sec. 8 affidavit or declaration of use.......................2.160-2.166
Sec. 44, application based on:
Amendment to change application to different register............2.75(a)
Amendment to description or drawing in mark......................2.72(c)
Basis for filing....................................................2.34
Certification mark...............................................2.45(b)
Collective mark..................................................2.44(b)
Drawing required.................................................2.32(c)
Filing-date requirements............................................2.21
Goods or services identified may not exceed scope of those in 
foreign application or registration...........................2.32(a)(6)
Priority claim................................................2.34(a)(4)
Requirements for drawings......................................2.52-2.54
Requirements for written application...........................2.32-2.34
Supplemental Register............................................2.47(b)
Sec. 71 affidavit or declaration of use........................7.36-7.40
Service charge for filing renewal application during grace period 
                                                        2.6(a)(6), 2.185
Services marks......................................................2.43

[[Page 390]]

Specimens........................................................2.56(c)
Service of copies of testimony.....................................2.125
Service and signing of submissions.................................2.119
Signature and certificate of attorney..............................11.18
Signature of applicant..............................................2.33
Signature of electronically-filed document......................2.193(c)
Single certificate for one mark registered in a plurality of 
classes..........................................................2.86(c)
Specimens.....................................................2.56, 2.59
Electronically-filed..........................................2.56(d)(4)
Not evidence on behalf of applicant or registrant in inter partes 
proceeding...................................................2.122(b)(2)
Of service mark...............................................2.56(b)(2)
Requirement of filing with affidavit or declaration of use under 
sec. 8.......................................................2.161(a)(7)
Requirement of filing with affidavit or declaration of use under 
sec. 71.......................................................7.37(a)(7)
Requirement of filing with amendment to allege use............2.76(b)(2)
Requirement of filing with statement of use...........2.88(b)(2), (c)(2)
Support of amendment to application...........................2.71, 2.72
Support of amendment to registration...............................2.173
Statement of use....................................................2.88
Amendments to description or drawing of mark after filing.....2.72(b)(1)
Amendments to dates of use after filing.......................2.71(c)(2)
Extensions of time to file..........................................2.89
Fee for filing.................................................2.6(a)(3)
May not be withdrawn.............................................2.88(g)
Minimum requirements for filing..................................2.88(e)
Requirements for.................................................2.88(b)
Time for filing..................................................2.88(a)
Status of application after ex parte appeal.....................2.142(g)
Status of application and registration on termination of inter 
partes proceedings.................................................2.136
Stipulated evidence, inter partes cases.........................2.123(b)
Stipulation to extend discovery and/or trial periods.....2.120(a), 2.121
Subsequent designation..............................................7.21
Address for mailing paper....................................., 2.190(a)
Cannot be filed by fax..........................................2.195(c)
Fees for.................................................7.7, 7.21(b)(8)
Must be filed through TEAS or on International Bureau's form.....7.21(b)
Substitute specimens, filing of.....................................2.59
Summary judgments in inter partes proceedings...................2.127(e)
Sunday, Saturday, or Federal holiday, time for taking action 
expiring on.................................................2.195, 2.196
Supplemental Register:
Amendment from Principal Register.......................2.47(c), 2.75(c)
Application requirements............................................2.47
Approval............................................................2.82
Cancellation.......................................................2.111
Certificate of registration.........................................2.82
Intent-to-use applications, when eligible........................2.47(d)
Marks published when registered.....................................2.82
Marks in request for extension of protection of international 
registration not registrable on.........................2.47(c), 2.75(c)
Surrender of certificate of registration...........................2.172
During inter partes proceeding.....................................2.134
Suspension of action in application by U.S. Patent and Trademark 
Office..............................................................2.67
Suspension from practice before U.S. Patent and Trademark Office 
                                                            11.11; 11.25

[[Page 391]]

Suspension of later filed conflicting application...................2.83
Suspension of inter partes proceedings by Trademark Trial and Appeal 
Board:
For good cause upon motion or stipulation.......................2.117(c)
Pending disposition of motion potentially dispositive of case...2.127(d)
 Pending disposition of motion to compel.....................2.120(f)(2)
Pending disposition of motion to test sufficiency of response to 
request for admission........................................2.120(i)(2)
Pending termination of civil action or other Board proceeding...2.117(a)
Suspension of rules, Director.........................2.146(a)(5), 2.148

                                 T

TEAS....................2.2(f), 2.6(a)(1), 2.52(c), 2.56(d), 2.193(a)(2)
Application filing fee.........................................2.6(a)(1)
Definition of.....................................................2.2(f)
 Drawing...................................................2.52(c), 2.53
Signature..........................................................2.193
 Specimen........................................................2.56(d)
TEAS Plus............................................2.6(a)(1)(iv), 2.22
Term of original registrations and renewals........................2.181
Testimony in inter partes cases:
Assignment and resetting of times..................................2.121
By affidavit or declaration.....................................2.123(a)
By oral examination................................................2.123
By written questions...............................................2.124
Failure to take....................................................2.132
Filing and service of testimony................2.123(f), 2.124(f), 2.125
Arrangement, indexing, and form of transcript...2.123(g); 2.125 (c), (e)
Corrections to........................................2.124(f), 2.125(b)
Deposition must be filed........................................2.123(h)
Filing with Trademark Trial and Appeal Board.........2.123(f), 2.124(f), 
                                               2.125(d), 2.126(a), 2.191
Service on adverse party.........................2.124(f), 2.125(a), (b)
From another proceeding.........................................2.122(f)
In foreign countries.........................................2.123(a)(2)
Objections to.........................2.123 (e), (i), (j); 2.124(d), (g)
Stipulated testimony............................................2.123(b)
Time:
For amendment.......................................................2.62
For ex parte appeal.............................................2.142(a)
For filing affidavit or declaration to avoid cancellation......2.160(a), 
                                                                 7.36(b)
For filing amendment to allege use...............................2.76(a)
For filing appeal to court or civil action......................2.145(d)
For filing briefs in inter partes proceedings......................2.127
For filing extension of time to oppose.............................2.102
For filing opposition...........................................2.101(c)
For filing petition for cancellation............................2.111(b)
For filing request for extension of time to file statement of use 
                                                            2.89(a), (b)
For filing request to divide application.........................2.87(c)
For filing statement of use......................................2.88(a)
For response to U.S. Patent and Trademark Office action.............2.62
For taking discovery............................................2.120(a)
For taking testimony...............................................2.121
Transformation......................................................7.31
Translation of assignment...........................................3.26

                                 U

Undelivered Office notices, to applicant or registrant.............2.118

[[Page 392]]

Unprofessional conduct, attorneys..........................11.101-11.901
Unprovided for and extraordinary circumstances, petition to 
Director................................................2.146(a)(4), (5)
U.S. Court of Appeals for the Federal Circuit, appeal to...........2.145
Use:
Allegation of use in commerce...........................2.34, 2.76, 2.88
Amendment to allege use in commerce.................................2.76
Bona fide intention to use in commerce........................2.34, 2.89
By predecessor or by related companies..............................2.38
Dates of first use and first use in commerce....2.34(a)(1)(ii) and (iii)
Statement of use....................................................2.88
Use of discovery................................................2.120(k)

                                 V

Verification:
Declaration in lieu of oath or verification.........................2.20
In support of amendments to descriptions or drawings of the mark 
                                                                    2.72
In support of amendments to dates of use.........................2.71(c)
In support of request for extension of time to file statement of 
use.................................................................2.89
Of application......................................................2.33
Of electronically-filed document...................................2.193
Required with amendment to allege use....................2.76(b)(1), (g)
Required with statement of use........................2.88(b)(1), (c)(3)
Required with substitute specimens..................................2.59

                                 W

Waiver of rule, petition to Director..................2.146(a)(5), 2.148
Willful false statements, declaration...............................2.20
Withdrawal from employment, practitioners...................2.19, 11.116
Withdrawal of amendment to allege use............................2.76(f)
Withdrawal of application...........................................2.68
Involved in inter partes proceeding................................2.135
Withdrawal of opposition with or without consent................2.106(c)
Withdrawal of cancellation with or without consent..............2.114(c)
Withdrawal of registration by voluntary surrender by registrant:
Involved in cancellation proceeding................................2.134
Requirements for...................................................2.172
Withdrawal of statement of use prohibited........................2.88(f)
Witnesses:
Discovery deposition.......................................2.120(b), (c)
Examination by oral deposition (Testimony).........................2.123
Examination by written questions...................................2.124
Foreign............................................2.120(c), 2.123(a)(2)
Testimony by affidavit or declaration...........................2.123(a)
Written application............................................2.32-2.47

[[Page 393]]









PRACTICE BEFORE THE PATENT AND TRADEMARK OFFICE--Table of Contents



                           PART 10 [RESERVED]



PART 11_REPRESENTATION OF OTHERS BEFORE THE UNITED STATES PATENT 
AND TRADEMARK OFFICE--Table of Contents



                      Subpart A_General Provisions

                           General Information

Sec.
11.1 Definitions.
11.2 Director of the Office of Enrollment and Discipline.
11.3 Suspension of rules.
11.4 Computing time.

           Subpart B_Recognition To Practice Before the USPTO

              Patents, Trademarks, and Other Non-Patent Law

11.5 Register of attorneys and agents in patent matters; practice before 
          the Office.
11.6 Registration of attorneys and agents.
11.7 Requirements for registration.
11.8 Oath and registration fee.
11.9 Limited recognition in patent matters.
11.10 Restrictions on practice in patent matters; former and current 
          Office employees; government employees.
11.11 Administrative suspension, inactivation, resignation, 
          reinstatement, and revocation.
11.12-11.13 [Reserved]
11.14 Individuals who may practice before the Office in trademark and 
          other non-patent matters.
11.15 Refusal to recognize a practitioner.
11.16 Requirements for admission to the USPTO Law School Clinic 
          Certification Program.
11.17 Requirements for participation in the USPTO Law School Clinic 
          Certification Program.
11.18 Signature and certificate for correspondence filed in the Office.

  Subpart C_Investigations and Disciplinary Proceedings; Jurisdiction, 
               Sanctions, Investigations, and Proceedings

11.19 Disciplinary jurisdiction; grounds for discipline and for transfer 
          to disability inactive status.
11.20 Disciplinary sanctions; Transfer to disability inactive status.
11.21 Warnings.
11.22 Disciplinary investigations.
11.23 Committee on Discipline.
11.24 Reciprocal discipline.
11.25 Interim suspension and discipline based upon conviction of 
          committing a serious crime.
11.26 Settlement.
11.27 Exclusion on consent.
11.28 Incapacitated practitioners in a disciplinary proceeding.
11.29 Reciprocal transfer or initial transfer to disability inactive 
          status.
11.30-11.31 [Reserved]
11.32 Instituting a disciplinary proceeding.
11.33 [Reserved]
11.34 Complaint.
11.35 Service of complaint.
11.36 Answer to complaint.
11.37 [Reserved]
11.38 Contested case.
11.39 Hearing officer; responsibilities; review of interlocutory orders; 
          stays.
11.40 Representative for OED Director or respondent.
11.41 Filing of papers.
11.42 Service of papers.
11.43 Motions before a hearing officer.
11.44 Hearings.
11.45 Amendment of pleadings.
11.46-11.48 [Reserved]
11.49 Burden of proof.
11.50 Evidence.
11.51 Depositions.
11.52 Written discovery.
11.53 Proposed findings and conclusions; post-hearing memorandum.
11.54 Initial decision of hearing officer.
11.55 Appeal to the USPTO Director.
11.56 Decision of the USPTO Director.
11.57 Review of final decision of the USPTO Director.
11.58 Duties of disciplined practitioner or practitioner in disability 
          inactive status.
11.59 Dissemination of disciplinary and other information.
11.60 Petition for reinstatement of disciplined practitioner.
11.61-11.99 [Reserved]

              Subpart D_USPTO Rules of Professional Conduct

11.100 [Reserved]

                    Client-Practitioner Relationship

11.101 Competence.
11.102 Scope of representation and allocation of authority between 
          client and practitioner.
11.103 Diligence.
11.104 Communication.
11.105 Fees.

[[Page 394]]

11.106 Confidentiality of information.
11.107 Conflict of interest; Current clients.
11.108 Conflict of interest; Current clients; Specific rules.
11.109 Duties to former clients.
11.110 Imputation of conflicts of interest; General rule.
11.111 Former or current Federal Government employees.
11.112 Former judge, arbitrator, mediator or other third-party neutral.
11.113 Organization as client.
11.114 Client with diminished capacity.
11.115 Safekeeping property.
11.116 Declining or terminating representation.
11.117 Sale of law practice.
11.118 Duties to prospective client.
11.119-11.200 [Reserved]

                                Counselor

11.201 Advisor.
11.202 [Reserved]
11.203 Evaluation for use by third persons.
11.204 Practitioner serving as third-party neutral.
11.205-11.300 [Reserved]

                                Advocate

11.301 Meritorious claims and contentions.
11.302 Expediting proceedings.
11.303 Candor toward the tribunal.
11.304 Fairness to opposing party and counsel.
11.305 Impartiality and decorum of the tribunal.
11.306 Trial publicity.
11.307 Practitioner as witness.
11.308 [Reserved]
11.309 Advocate in nonadjudicative proceedings.
11.310-11.400 [Reserved]

              Transactions With Persons Other Than Clients

11.401 Truthfulness in statements to others.
11.402 Communication with person represented by a practitioner.
11.403 Dealing with unrepresented person.
11.404 Respect for rights of third persons.
11.405-11.500 [Reserved]

                       Law Firms and Associations

11.501 Responsibilities of partners, managers, and supervisory 
          practitioners.
11.502 Responsibilities of a subordinate practitioner.
11.503 Responsibilities regarding non-practitioner assistance.
11.504 Professional independence of a practitioner.
11.505 Unauthorized practice of law.
11.506 Restrictions on right to practice.
11.507 Responsibilities regarding law-related services.
11.508-11.700 [Reserved]

                    Information About Legal Services

11.701 Communications concerning a practitioner's services.
11.702 Communications concerning a practitioner's services: specific 
          rules.
11.703 Solicitation of clients.
11.704 Communication of fields of practice and specialization.
11.705 Firm names and letterheads.
11.706-11.800 [Reserved]

               Maintaining the Integrity of the Profession

11.801 Registration, recognition and disciplinary matters.
11.802 Judicial and legal officials.
11.803 Reporting professional misconduct.
11.804 Misconduct.
11.805-11.900 [Reserved]
11.901 Savings clause.

    Authority: 5 U.S.C. 500; 15 U.S.C. 1123; 35 U.S.C. 2(b)(2), 32, 41; 
Sec. 1, Pub. L. 113-227, 128 Stat. 2114.

    Source: 69 FR 35452, June 24, 2004, unless otherwise noted.



                      Subpart A_General Provisions

                           General Information



Sec.11.1  Definitions.

    This part governs solely the practice of patent, trademark, and 
other law before the United States Patent and Trademark Office. Nothing 
in this part shall be construed to preempt the authority of each State 
to regulate the practice of law, except to the extent necessary for the 
United States Patent and Trademark Office to accomplish its Federal 
objectives. Unless otherwise clear from the context, the following 
definitions apply to this part:
    Attorney or lawyer means an individual who is an active member in 
good standing of the bar of the highest court of any State. A non-lawyer 
means a person who is not an attorney or lawyer.
    Belief or believes means that the person involved actually supposed 
the fact in question to be true. A person's belief may be inferred from 
circumstances.
    Confirmed in writing, when used in reference to the informed consent 
of a person, means informed consent that is given in writing by the 
person or a writing that a practitioner promptly transmits to the person 
confirming an

[[Page 395]]

oral informed consent. If it is not feasible to obtain or transmit the 
writing at the time the person gives informed consent, then the 
practitioner must obtain or transmit it within a reasonable time 
thereafter.
    Conviction or convicted means any confession to a crime; a verdict 
or judgment finding a person guilty of a crime; any entered plea, 
including nolo contendere or Alford plea, to a crime; or receipt of 
deferred adjudication (whether judgment or sentence has been entered or 
not) for an accused or pled crime.
    Crime means any offense declared to be a felony or misdemeanor by 
Federal or State law in the jurisdiction where the act occurs.
    Data sheet means a form used to collect the name, address, and 
telephone information from individuals recognized to practice before the 
Office in patent matters.
    Disqualified means any action that prohibits a practitioner from 
participating in or appearing before the program or agency, regardless 
of how long the prohibition lasts or the specific terminology used.
    Federal agency means any authority of the executive branch of the 
Government of the United States.
    Federal program means any program established by an Act of Congress 
or administered by a Federal agency.
    Firm or law firm means a practitioner or practitioners in a law 
partnership, professional corporation, sole proprietorship or other 
association authorized to practice law; or practitioners employed in a 
legal services organization or the legal department of a corporation or 
other organization.
    Fiscal year means the time period from October 1st through the 
ensuing September 30th.
    Fraud or fraudulent means conduct that involves a misrepresentation 
of material fact made with intent to deceive or a state of mind so 
reckless respecting consequences as to be the equivalent of intent, 
where there is justifiable reliance on the misrepresentation by the 
party deceived, inducing the party to act thereon, and where there is 
injury to the party deceived resulting from reliance on the 
misrepresentation. Fraud also may be established by a purposeful 
omission or failure to state a material fact, which omission or failure 
to state makes other statements misleading, and where the other elements 
of justifiable reliance and injury are established.
    Good moral character and reputation means the possession of honesty 
and truthfulness, trustworthiness and reliability, and a professional 
commitment to the legal process and the administration of justice, as 
well as the condition of being regarded as possessing such qualities.
    Grievance means a written submission from any source received by the 
OED Director that presents possible grounds for discipline of a 
specified practitioner.
    Informed consent means the agreement by a person to a proposed 
course of conduct after the practitioner has communicated adequate 
information and explanation about the material risks of and reasonably 
available alternatives to the proposed course of conduct.
    Knowingly, known, or knows means actual knowledge of the fact in 
question. A person's knowledge may be inferred from circumstances.
    Law-related services means services that might reasonably be 
performed in conjunction with and in substance are related to the 
provision of legal services, and that are not prohibited as unauthorized 
practice of law when provided by a non-lawyer.
    OED means the Office of Enrollment and Discipline.
    OED Director means the Director of the Office of Enrollment and 
Discipline.
    OED Director's representatives means attorneys within the USPTO 
Office of General Counsel who act as representatives of the OED 
Director.
    Office means the United States Patent and Trademark Office.
    Partner means a member of a partnership, a shareholder in a law firm 
organized as a professional corporation, or a member of an association 
authorized to practice law.
    Person means an individual, a corporation, an association, a trust, 
a partnership, and any other organization or legal entity.
    Practitioner means:

[[Page 396]]

    (1) An attorney or agent registered to practice before the Office in 
patent matters;
    (2) An individual authorized under 5 U.S.C. 500(b), or otherwise as 
provided by Sec.11.14(a), (b), and (c), to practice before the Office 
in trademark matters or other non-patent matters;
    (3) An individual authorized to practice before the Office in patent 
matters under Sec.11.9(a) or (b); or
    (4) An individual authorized to practice before the Office under 
Sec.11.16(d).
    Proceeding before the Office means an application for patent, an 
application for reissue, a reexamination, a protest, a public use 
matter, an inter partes patent matter, correction of a patent, 
correction of inventorship, an application to register a trademark, an 
inter partes trademark matter, an appeal, a petition, and any other 
matter that is pending before the Office.
    Reasonable or reasonably when used in relation to conduct by a 
practitioner means the conduct of a reasonably prudent and competent 
practitioner.
    Reasonable belief or reasonably believes when used in reference to a 
practitioner means that the practitioner believes the matter in question 
and that the circumstances are such that the belief is reasonable.
    Reasonably should know when used in reference to a practitioner 
means that a practitioner of reasonable prudence and competence would 
ascertain the matter in question.
    Registration means registration to practice before the Office in 
patent proceedings.
    Roster or register means a list of individuals who have been 
registered as either a patent attorney or patent agent.
    Screened means the isolation of a practitioner from any 
participation in a matter through the timely imposition of procedures 
within a firm that are reasonably adequate under the circumstances to 
protect information that the isolated practitioner is obligated to 
protect under these USPTO Rules of Professional Conduct or other law.
    Serious crime means:
    (1) Any criminal offense classified as a felony under the laws of 
the United States, any state or any foreign country where the crime 
occurred, or any criminal offense punishable by death or imprisonment of 
more than one year; or
    (2) Any crime a necessary element of which, as determined by the 
statutory or common law definition of such crime in the jurisdiction 
where the crime occurred, includes interference with the administration 
of justice, false swearing, misrepresentation, fraud, willful failure to 
file income tax returns, deceit, bribery, extortion, misappropriation, 
theft, or an attempt or a conspiracy or solicitation of another to 
commit a ``serious crime.''
    Significant evidence of rehabilitation means satisfactory evidence 
that is significantly more probable than not that there will be no 
recurrence in the foreseeable future of the practitioner's prior 
disability or addiction.
    State means any of the 50 states of the United States of America, 
the District of Columbia, and any commonwealth or territory of the 
United States of America.
    Substantial when used in reference to degree or extent means a 
material matter of clear and weighty importance.
    Suspend or suspension means a temporary debarring from practice 
before the Office or other jurisdiction.
    Tribunal means the Office, a court, an arbitrator in a binding 
arbitration proceeding or a legislative body, administrative agency or 
other body acting in an adjudicative capacity. A legislative body, 
administrative agency or other body acts in an adjudicative capacity 
when a neutral official, after the presentation of evidence or legal 
argument by a party or parties, will render a binding legal judgment 
directly affecting a party's interests in a particular matter.
    United States means the United States of America, and the 
territories and possessions the United States of America.
    USPTO Director means the Director of the United States Patent and 
Trademark Office, or an employee of the Office delegated authority to 
act for the Director of the United States Patent and Trademark Office in 
matters arising under this part.
    Writing or written means a tangible or electronic record of a 
communication

[[Page 397]]

or representation, including handwriting, typewriting, printing, 
photostating, photography, audio or video recording and electronic 
communications. A ``signed'' writing includes an electronic sound, 
symbol or process attached to or logically associated with a writing and 
executed or adopted by a person with the intent to sign the writing.

[69 FR 35452, June 24, 2004, as amended at 73 FR 47687, Aug. 14, 2008; 
77 FR 45251, July 31, 2012; 78 FR 20197, Apr. 3, 2013; 81 FR 33596, May 
27, 2016; 86 FR 28452, May 26, 2021; 86 FR 32640, June 22, 2021]



Sec.11.2  Director of the Office of Enrollment and Discipline.

    (a) Appointment. The USPTO Director shall appoint a Director of the 
Office of Enrollment and Discipline (OED Director). In the event of a 
vacancy in the office of the OED Director, the USPTO Director may 
designate an employee of the Office to serve as acting OED Director. The 
OED Director shall be an active member in good standing of the bar of 
the highest court of a State.
    (b) Duties. The OED Director shall:
    (1) Supervise staff as may be necessary for the performance of the 
OED Director's duties.
    (2) Receive and act upon applications for registration, prepare and 
grade the registration examination, maintain the register provided for 
in Sec.11.5, and perform such other duties in connection with 
enrollment and recognition of attorneys and agents as may be necessary.
    (3) Conduct investigations into the moral character and reputation 
of any individual seeking to be registered as an attorney or agent, or 
of any individual seeking limited recognition, deny registration or 
recognition of individuals failing to demonstrate possession of good 
moral character and reputation, and perform such other duties in 
connection with enrollment matters and investigations as may be 
necessary.
    (4) Conduct investigations of matters involving possible grounds for 
discipline. Except in matters meriting summary dismissal, no disposition 
under Sec.11.22(h) shall be recommended or undertaken by the OED 
Director until the subject of the investigation has been afforded an 
opportunity to respond to a reasonable inquiry by the OED Director.
    (5) With the consent of a panel of three members of the Committee on 
Discipline, initiate disciplinary proceedings under Sec.11.32 and 
perform such other duties in connection with investigations and 
disciplinary proceedings as may be necessary.
    (6) Oversee the preliminary screening of information and close 
investigations as provided for in Sec.11.22.
    (7) [Reserved]
    (c) Petition to OED Director regarding enrollment or recognition. 
Any petition from any action or requirement of the staff of OED 
reporting to the OED Director shall be taken to the OED Director 
accompanied by payment of the fee set forth in Sec.1.21(a)(5)(i) of 
this chapter. Any such petition not filed within sixty days from the 
mailing date of the action or notice from which relief is requested will 
be dismissed as untimely. The filing of a petition will neither stay the 
period for taking other action which may be running, nor stay other 
proceedings. The petitioner may file a single request for 
reconsideration of a decision within thirty days of the date of the 
decision. Filing a request for reconsideration stays the period for 
seeking review of the OED Director's decision until a final decision on 
the request for reconsideration is issued.
    (d) Review of OED Director's decision regarding enrollment or 
recognition. A party dissatisfied with a final decision of the OED 
Director regarding enrollment or recognition shall seek review of the 
decision upon petition to the USPTO Director accompanied by payment of 
the fee set forth in Sec.1.21(a)(5)(ii) of this chapter. By filing 
such petition to the USPTO Director, the party waives any right to seek 
reconsideration from the OED Director. Any petition not filed within 
thirty days after the final decision of the OED Director may be 
dismissed as untimely. Briefs or memoranda, if any, in support of the 
petition shall accompany the petition. The petition will be decided on 
the basis of the record made before the OED Director. The USPTO Director 
in deciding the petition will consider no

[[Page 398]]

new evidence. Copies of documents already of record before the OED 
Director shall not be submitted with the petition. An oral hearing will 
not be granted except when considered necessary by the USPTO Director. 
Any request for reconsideration of the decision of the USPTO Director 
may be dismissed as untimely if not filed within thirty days after the 
date of said decision. Only a decision of the USPTO Director regarding 
denial of a petition constitutes a final decision for the purpose of 
judicial review.
    (e) Petition to USPTO Director in disciplinary matters. A party 
dissatisfied with any action or notice of any employee of the Office of 
Enrollment and Discipline during or at the conclusion of a disciplinary 
investigation shall seek review of the action or notice upon petition to 
the OED Director. A petition from any action or notice of the staff 
reporting to the OED Director shall be taken to the OED Director. A 
party dissatisfied with the OED Director's final decision shall seek 
review of the final decision upon petition to the USPTO Director to 
invoke the supervisory authority of the USPTO Director in appropriate 
circumstances in disciplinary matters. Any petition under this paragraph 
must contain a statement of the facts involved and the point or points 
to be reviewed and the action requested. Briefs or memoranda, if any, in 
support of the petition must accompany the petition. Where facts are to 
be proven, the proof in the form of affidavits or declarations (and 
exhibits, if any) must accompany the petition. The OED Director may be 
directed by the USPTO Director to file a reply to the petition to the 
USPTO Director, supplying a copy to the petitioner. An oral hearing on 
petition taken to the USPTO Director will not be granted except when 
considered necessary by the USPTO Director. The filing of a petition 
under this paragraph will not stay an investigation, disciplinary 
proceeding, or other proceedings. Any petition under this part not filed 
within thirty days of the mailing date of the action or notice from 
which relief is requested may be dismissed as untimely. Any request for 
reconsideration of the decision of the OED Director or the USPTO 
Director may be dismissed as untimely if not filed within thirty days 
after the date of said decision. Only a decision of the USPTO Director 
regarding denial of a petition constitutes a final decision for the 
purpose of judicial review.

[69 FR 35452, June 24, 2004, as amended at 73 FR 47687, Aug. 14, 2008; 
78 FR 20198, Apr. 3, 2013; 86 FR 28452, May 26, 2021]



Sec.11.3  Suspension of rules.

    (a) In an extraordinary situation, when justice requires, any 
requirement of the regulations of this Part which is not a requirement 
of statute may be suspended or waived by the USPTO Director or the 
designee of the USPTO Director, sua sponte, or on petition by any party, 
including the OED Director or the OED Director's representative, subject 
to such other requirements as may be imposed.
    (b) No petition under this section shall stay a disciplinary 
proceeding unless ordered by the USPTO Director or a hearing officer.

[73 FR 47688, Aug. 14, 2008]



Sec.11.4  Computing time.

    Computing time. The following rules apply in computing any time 
period specified in this part where the period is stated in days or a 
longer unit of time:
    (a) Exclude the day of the event that triggers the period;
    (b) Count every day, including intermediate Saturdays, Sundays, and 
legal holidays; and
    (c) Include the last day of the period, but if the last day is a 
Saturday, Sunday, or legal holiday, the period continues to run until 
the end of the next day that is not a Saturday, Sunday, or legal 
holiday.

[86 FR 28452, May 26, 2021]



           Subpart B_Recognition To Practice Before the USPTO

              Patents, Trademarks, and Other Non-Patent Law



Sec.11.5  Register of attorneys and agents in patent matters; 
practice before the Office.

    (a) Register of attorneys and agents. A register of attorneys and 
agents is kept

[[Page 399]]

in the Office on which are entered the names of all individuals 
recognized as entitled to represent applicants having prospective or 
immediate business before the Office in the preparation and prosecution 
of patent applications. Registration in the Office under the provisions 
of this part shall entitle the individuals so registered to practice 
before the Office only in patent matters.
    (b) Practice before the Office. Practice before the Office includes, 
but is not limited to, law-related service that comprehends any matter 
connected with the presentation to the Office or any of its officers or 
employees relating to a client's rights, privileges, duties, or 
responsibilities under the laws or regulations administered by the 
Office for the grant of a patent or registration of a trademark, or for 
enrollment or disciplinary matters. Such presentations include preparing 
necessary documents in contemplation of filing the documents with the 
Office, corresponding and communicating with the Office, and 
representing a client through documents or at interviews, hearings, and 
meetings, as well as communicating with and advising a client concerning 
matters pending or contemplated to be presented before the Office. 
Nothing in this section proscribes a practitioner from employing or 
retaining non-practitioner assistants under the supervision of the 
practitioner to assist the practitioner in matters pending or 
contemplated to be presented before the Office.
    (1) Practice before the Office in patent matters. Practice before 
the Office in patent matters includes, but is not limited to, preparing 
or prosecuting any patent application; consulting with or giving advice 
to a client in contemplation of filing a patent application or other 
document with the Office; drafting the specification or claims of a 
patent application; drafting an amendment or reply to a communication 
from the Office that may require written argument to establish the 
patentability of a claimed invention; drafting a reply to a 
communication from the Office regarding a patent application; and 
drafting a communication for a public use, interference, reexamination 
proceeding, petition, appeal to or any other proceeding before the 
Patent Trial and Appeal Board, or other patent proceeding. Registration 
to practice before the Office in patent matters authorizes the 
performance of those services that are reasonably necessary and incident 
to the preparation and prosecution of patent applications or other 
proceeding before the Office involving a patent application or patent in 
which the practitioner is authorized to participate. The services 
include:
    (i) Considering the advisability of relying upon alternative forms 
of protection which may be available under state law, and
    (ii) Drafting an assignment or causing an assignment to be executed 
for the patent owner in contemplation of filing or prosecution of a 
patent application for the patent owner, where the practitioner 
represents the patent owner after a patent issues in a proceeding before 
the Office, and when drafting the assignment the practitioner does no 
more than replicate the terms of a previously existing oral or written 
obligation of assignment from one person or party to another person or 
party.
    (2) Practice before the Office in trademark matters. Practice before 
the Office in trademark matters includes, but is not limited to, 
consulting with or giving advice to a client in contemplation of filing 
a trademark application or other document with the Office; preparing or 
prosecuting an application for trademark registration; preparing an 
amendment that may require written argument to establish the 
registrability of the mark; preparing or prosecuting a document for 
maintaining, correcting, amending, canceling, surrendering, or otherwise 
affecting a registration; and conducting an opposition, cancellation, or 
concurrent use proceeding; or conducting an appeal to the Trademark 
Trial and Appeal Board.

[73 FR 47688, Aug. 14, 2008, as amended at 77 FR 46629, Aug. 6, 2012; 86 
FR 28452, May 26, 2021]



Sec.11.6  Registration of attorneys and agents.

    (a) Attorneys. Any citizen of the United States who is an attorney 
and who fulfills the requirements of this part may be registered as a 
patent attorney to practice before the Office.

[[Page 400]]

When appropriate, any alien who is an attorney, who lawfully resides in 
the United States, and who fulfills the requirements of this part may be 
registered as a patent attorney to practice before the Office, provided 
that such registration is not inconsistent with the terms upon which the 
alien was admitted to, and resides in, the United States and further 
provided that the alien may remain registered only:
    (1) If the alien continues to lawfully reside in the United States 
and registration does not become inconsistent with the terms upon which 
the alien continues to lawfully reside in the United States, or
    (2) If the alien ceases to reside in the United States, the alien is 
qualified to be registered under paragraph (c) of this section. See also 
Sec.11.9(b).
    (b) Agents. Any citizen of the United States who is not an attorney, 
and who fulfills the requirements of this part may be registered as a 
patent agent to practice before the Office. When appropriate, any alien 
who is not an attorney, who lawfully resides in the United States, and 
who fulfills the requirements of this part may be registered as a patent 
agent to practice before the Office, provided that such registration is 
not inconsistent with the terms upon which the alien was admitted to, 
and resides in, the United States, and further provided that the alien 
may remain registered only:
    (1) If the alien continues to lawfully reside in the United States 
and registration does not become inconsistent with the terms upon which 
the alien continues to lawfully reside in the United States or
    (2) If the alien ceases to reside in the United States, the alien is 
qualified to be registered under paragraph (c) of this section. See also 
Sec.11.9(b).
    (c) Foreigners. Any foreigner not a resident of the United States 
who shall file proof to the satisfaction of the OED Director that he or 
she is registered and in good standing before the patent office of the 
country in which he or she resides and practices, and who is possessed 
of the qualifications stated in Sec.11.7, may be registered as a 
patent agent to practice before the Office for the limited purpose of 
presenting and prosecuting patent applications of applicants located in 
such country, provided that the patent office of such country allows 
substantially reciprocal privileges to those admitted to practice before 
the Office. Registration as a patent agent under this paragraph shall 
continue only during the period that the conditions specified in this 
paragraph obtain. Upon notice by the patent office of such country that 
a patent agent registered under this section is no longer registered or 
no longer in good standing before the patent office of such country, and 
absent a showing of cause why his or her name should not be removed from 
the register, the OED Director shall promptly remove the name of the 
patent agent from the register and publish the fact of removal. Upon 
ceasing to reside in such country, the patent agent registered under 
this section is no longer qualified to be registered under this section, 
and the OED Director shall promptly remove the name of the patent agent 
from the register and publish the fact of removal.
    (d) Patent Trial and Appeal Board matters. For action by a person 
who is not registered in a proceeding before the Patent Trial and Appeal 
Board, see Sec.41.5(a) or Sec.42.10(c) of this title.

[69 FR 35452, June 24, 2004, as amended at 69 FR 50003, Aug. 12, 2004; 
77 FR 46629, Aug. 6, 2012]



Sec.11.7  Requirements for registration.

    (a) No individual will be registered to practice before the Office 
unless he or she has:
    (1) Applied to the USPTO Director in writing by completing an 
application for registration form supplied by the OED Director and 
furnishing all requested information and material; and
    (2) Established to the satisfaction of the OED Director that he or 
she:
    (i) Possesses good moral character and reputation;
    (ii) Possesses the legal, scientific, and technical qualifications 
necessary for him or her to render applicants valuable service; and
    (iii) Is competent to advise and assist patent applicants in the 
presentation and prosecution of their applications before the Office.
    (b)(1) To enable the OED Director to determine whether an individual 
has

[[Page 401]]

the qualifications specified in paragraph (a)(2) of this section, the 
individual shall:
    (i) File a complete application for registration each time admission 
to the registration examination is requested. A complete application for 
registration includes:
    (A) An application for registration form supplied by the OED 
Director wherein all requested information and supporting documents are 
furnished,
    (B) Payment of the fees required by Sec.1.21(a)(1) of this 
chapter;
    (C) Satisfactory proof of scientific and technical qualifications, 
and
    (D) For aliens, provide proof that recognition is not inconsistent 
with the terms of their visa or entry into the United States;
    (ii) Pass the registration examination, unless the taking and 
passing of the examination is waived as provided in paragraph (d) of 
this section. Unless examination is waived pursuant to paragraph (d) of 
this section, each individual seeking registration must take and pass 
the registration examination to enable the OED Director to determine 
whether the individual possesses the legal and competence qualifications 
specified in paragraphs (a)(2)(ii) and (a)(2)(iii) of this section. An 
individual failing the examination may, upon receipt of notice of 
failure from OED, reapply for admission to the examination. An 
individual failing the examination must wait thirty days after the date 
the individual last took the examination before retaking the 
examination. An individual reapplying shall:
    (A) File a completed application for registration form wherein all 
requested information and supporting documents are furnished,
    (B) Pay the fees required by Sec.1.21(a)(1) of this subchapter, 
and
    (C) For aliens, provide proof that recognition is not inconsistent 
with the terms of their visa or entry into the United States; and
    (iii) Provide satisfactory proof of possession of good moral 
character and reputation.
    (2) An individual failing the examination may, upon receipt of 
notice of failure from OED, reapply for admission to the examination. An 
individual failing the examination for the first or second time must 
wait 30 days after the date the individual last took the examination 
before retaking the examination. An individual failing the examination 
for the third or fourth time must wait 90 days after the date the 
individual last took the examination before retaking the examination. An 
individual may not take the examination more than five times. However, 
upon petition under Sec.11.2(c), the OED Director may, at his or her 
discretion, waive this limitation upon such conditions as the OED 
Director may prescribe. An individual reapplying shall:
    (i) File a completed application for registration form including all 
requested information and supporting documents not previously provided 
to OED,
    (ii) Pay the fees required by Sec.1.21(a)(1) of this chapter,
    (iii) For aliens, provide proof that registration is not 
inconsistent with the terms of their visa or entry into the United 
States, and
    (iv) Provide satisfactory proof of good moral character and 
reputation.
    (3) An individual failing to file a complete application for 
registration will not be admitted to the examination and will be 
notified of the incompleteness. Applications for registration that are 
incomplete as originally submitted will be considered only when they 
have been completed and received by OED, provided that this occurs 
within 60 days of the mailing date of the notice of incompleteness. 
Thereafter, a new and complete application for registration must be 
filed. Only an individual approved as satisfying the requirements of 
paragraph (b)(1)(i) of this section may be admitted to the examination.
    (4)(i) A notice of admission shall be sent to those individuals who 
have been admitted to the registration examination. This notice shall 
specify a certain period of time in which to schedule and take the 
examination.
    (ii) An individual may request an extension of this period of time 
by written request to the OED Director. Such request must be received by 
the OED Director prior to the expiration of the

[[Page 402]]

period specified in the notice as extended by any previously granted 
extension and must include the fee specified in Sec.1.21(a)(1)(iv). 
Upon the granting of the request, the period of time in which the 
individual may schedule and take the registration examination shall be 
extended by 90 days.
    (iii) An individual who does not take the registration examination 
within the period of time specified in the notice may not take the 
examination without filing a new application for registration, as set 
forth in paragraph (b)(1)(i) of this section.
    (c) Each individual seeking registration is responsible for updating 
all information and answers submitted in or with the application for 
registration based upon anything occurring between the date the 
application for registration is signed by the individual, and the date 
he or she is registered or recognized to practice before the Office in 
patent matters. The update shall be filed within thirty days after the 
date of the occasion that necessitates the update.
    (d) Waiver of the Registration Examination for Former Office 
Employees--(1) Former patent examiners who by July 26, 2004, had not 
actively served four years in the patent examining corps, and were 
serving in the corps at the time of their separation. The OED Director 
may waive the taking of a registration examination in the case of any 
individual meeting the requirements of paragraph (b)(1)(i)(C) of this 
section who is a former patent examiner but by July 26, 2004, had not 
served four years in the patent examining corps, if the individual 
demonstrates that he or she:
    (i) Actively served in the patent examining corps of the Office and 
was serving in the corps at the time of separation from the Office;
    (ii) Received a certificate of legal competency and negotiation 
authority;
    (iii) After receiving the certificate of legal competency and 
negotiation authority, was rated at least fully successful in each 
quality performance element of his or her performance plan for the last 
two complete fiscal years as a patent examiner; and
    (iv) Was not under an oral or written warning regarding the quality 
performance elements at the time of separation from the patent examining 
corps.
    (2) Former patent examiners who on July 26, 2004, had actively 
served four years in the patent examining corps, and were serving in the 
corps at the time of their separation. The OED Director may waive the 
taking of a registration examination in the case of any individual 
meeting the requirements of paragraph (b)(1)(i)(C) of this section who 
is a former patent examiner and by July 26, 2004, had served four years 
in the patent examining corps, if the individual demonstrates that he or 
she:
    (i) Actively served for at least four years in the patent examining 
corps of the Office by July 26, 2004, and was serving in the corps at 
the time of separation from the Office;
    (ii) Was rated at least fully successful in each quality performance 
element of his or her performance plan for the last two complete fiscal 
years as a patent examiner in the Office; and
    (iii) Was not under an oral or written warning regarding the quality 
performance elements at the time of separation from the patent examining 
corps.
    (3) Certain former Office employees who were not serving in the 
patent examining corps upon their separation from the Office. The OED 
Director may waive the taking of a registration examination in the case 
of a former Office employee meeting the requirements of paragraph 
(b)(1)(i)(C) of this section who, by petition, demonstrates the 
necessary legal qualifications to render to patent applicants and others 
valuable service and assistance in the preparation and prosecution of 
their applications or other business before the Office by showing that 
he or she has:
    (i) Exhibited comprehensive knowledge of patent law equivalent to 
that shown by passing the registration examination as a result of having 
been in a position of responsibility in the Office in which he or she:
    (A) Provided substantial guidance on patent examination policy, 
including the development of rule or procedure changes, patent 
examination guidelines, changes to the Manual of Patent Examining 
Procedure, training or testing materials for the patent examining corps, 
or materials for the registration

[[Page 403]]

examination or continuing legal education; or
    (B) Represented the Office in patent matters before Federal courts; 
and
    (ii) Was rated at least fully successful in each quality performance 
element of his or her performance plan for said position for the last 
two complete rating periods in the Office and was not under an oral or 
written warning regarding such performance elements at the time of 
separation from the Office.
    (4) To be eligible for consideration for waiver, an individual 
formerly employed by the Office within the scope of one of paragraphs 
(d)(1), (d)(2) or (d)(3) of this section must file a complete 
application for registration and pay the fee required by Sec.
1.21(a)(1)(i) of this subchapter within two years of the individual's 
date of separation from the Office. All other individuals formerly 
employed by the Office, including former examiners, filing an 
application for registration or fee more than two years after separation 
from the Office, are required to take and pass the registration 
examination. The individual or former examiner must pay the examination 
fee required by Sec.1.21(a)(1)(ii) of this subchapter within thirty 
days after notice of non-waiver.
    (e) Examination results. Notification of the examination results is 
final. Within 60 days of the mailing date of a notice of failure, the 
individual is entitled to inspect, but not copy, the questions and 
answers he or she incorrectly answered. Review will be under 
supervision. No notes may be taken during such review. Substantive 
review of the answers or questions may not be pursued by petition for 
regrade.
    (f) Application for reciprocal recognition. An individual seeking 
reciprocal recognition under Sec.11.6(c), in addition to satisfying 
the provisions of paragraphs (a) and (b) of this section, and the 
provisions of Sec.11.8(b), shall pay the application fee required by 
Sec.1.21(a)(1)(i) of this chapter upon filing an application for 
registration.
    (g) Investigation of good moral character and reputation. (1) Every 
individual seeking recognition shall answer all questions in the 
application for registration and request(s) for information and evidence 
issued by OED; disclose all relevant facts, dates, and information; and 
provide verified copies of documents relevant to his or her good moral 
character and reputation. An individual who is an attorney shall submit 
a certified copy of each of his or her State bar applications and 
determinations of character and reputation, if available.
    (2)(i) If the OED Director receives information from any source that 
reflects adversely on the good moral character or reputation of an 
individual seeking registration or recognition, the OED Director shall 
conduct an investigation into the good moral character and reputation of 
that individual. The investigation will be conducted after the 
individual has passed the registration examination, or after the 
registration examination has been waived for the individual, as 
applicable. An individual failing to timely answer questions or respond 
to an inquiry by OED shall be deemed to have withdrawn his or her 
application, and shall be required to reapply, pass the examination, and 
otherwise satisfy all the requirements of this section. No individual 
shall be certified for registration or recognition by the OED Director 
until, to the satisfaction of the OED Director, the individual 
demonstrates his or her possession of good moral character and 
reputation.
    (ii) The OED Director, in considering an application for 
registration by an attorney, may accept a State bar's determination of 
character and reputation as meeting the requirements set forth in 
paragraph (a)(2)(i) of this section if, after review, the Office finds 
no substantial discrepancy between the information provided with his or 
her application for registration and the State bar application and 
determination of character and reputation, provided that acceptance is 
not inconsistent with other rules and the requirements of 35 U.S.C. 
2(b)(2)(D).
    (h) Good moral character and reputation. Evidence showing lack of 
good moral character and reputation may include, but is not limited to, 
conviction of a felony or a misdemeanor identified in paragraph (h)(1) 
of this section, drug or alcohol abuse; lack of candor; suspension or 
disbarment on ethical grounds from a State bar; and

[[Page 404]]

resignation from a State bar while under investigation.
    (1) Conviction of felony or misdemeanor. An individual who has been 
convicted of a felony or a misdemeanor involving moral turpitude, breach 
of trust, interference with the administration of justice, false 
swearing, misrepresentation, fraud, deceit, bribery, extortion, 
misappropriation, theft, or conspiracy to commit any felony or 
misdemeanor, is presumed not to be of good moral character and 
reputation in the absence of a pardon or a satisfactory showing of 
reform and rehabilitation, and shall file with his or her application 
for registration the fees required by Sec.1.21(a)(1)(ii) and (a)(10) 
of this subchapter. The OED Director shall determine whether individuals 
convicted of said felony or misdemeanor provided satisfactory proof of 
reform and rehabilitation.
    (i) An individual who has been convicted of a felony or a 
misdemeanor identified in paragraph (h)(1) of this section shall not be 
eligible to apply for registration during the time of any sentence 
(including confinement or commitment to imprisonment), deferred 
adjudication, and period of probation or parole as a result of the 
conviction, and for a period of two years after the date of completion 
of the sentence, deferred adjudication, and period of probation or 
parole, whichever is later.
    (ii) The following presumptions apply to the determination of good 
moral character and reputation of an individual convicted of said felony 
or misdemeanor:
    (A) The court record or docket entry of conviction is conclusive 
evidence of guilt in the absence of a pardon or a satisfactory showing 
of reform or rehabilitation; and
    (B) An individual convicted of a felony or any misdemeanor 
identified in paragraph (h)(1) of this section is conclusively deemed 
not to have good moral character and reputation, and shall not be 
eligible to apply for registration for a period of two years after 
completion of the sentence, deferred adjudication, and period of 
probation or parole, whichever is later.
    (iii) The individual, upon applying for registration, shall provide 
satisfactory evidence that he or she is of good moral character and 
reputation.
    (iv) Upon proof that a conviction has been set aside or reversed, 
the individual shall be eligible to file a complete application for 
registration and the fee required by Sec.1.21(a)(1)(ii) of this 
subchapter and, upon passing the registration examination, have the OED 
Director determine, in accordance with paragraph (h)(1) of this section, 
whether, absent the conviction, the individual possesses good moral 
character and reputation.
    (2) Good moral character and reputation involving drug or alcohol 
abuse. An individual's record is reviewed as a whole to see if there is 
a drug or alcohol abuse issue. An individual appearing to abuse drugs or 
alcohol may be asked to undergo an evaluation, at the individual's 
expense, by a qualified professional approved by the OED Director. In 
instances where, before an investigation commences, there is evidence of 
a present abuse or an individual has not established a record of 
recovery, the OED Director may request the individual to withdraw his or 
her application, and require the individual to satisfactorily 
demonstrate that he or she is complying with treatment and undergoing 
recovery.
    (3) Moral character and reputation involving lack of candor. An 
individual's lack of candor in disclosing facts bearing on or relevant 
to issues concerning good moral character and reputation when completing 
the application or any time thereafter may be found to be cause to deny 
registration on moral character and reputation grounds.
    (4) Moral character and reputation involving suspension, disbarment, 
or resignation from a profession. (i) An individual who has been 
disbarred or suspended from practice of law or other profession, or has 
resigned in lieu of a disciplinary proceeding (excluded or disbarred on 
consent) shall be ineligible to apply for registration as follows:
    (A) An individual who has been disbarred from practice of law or 
other profession, or has resigned in lieu of a disciplinary proceeding 
(excluded or

[[Page 405]]

disbarred on consent) shall be ineligible to apply for registration for 
a period of five years from the date of disbarment or resignation.
    (B) An individual who has been suspended on ethical grounds from the 
practice of law or other profession shall be ineligible to apply for 
registration until expiration of the period of suspension.
    (C) An individual who was not only disbarred, suspended or resigned 
in lieu of a disciplinary proceeding, but also convicted in a court of a 
felony, or of a crime involving moral turpitude or breach of trust, 
shall be ineligible to apply for registration until the conditions in 
paragraphs (h)(1) and (h)(4) of this section are fully satisfied.
    (ii) An individual who has been disbarred or suspended, or who 
resigned in lieu of a disciplinary proceeding shall file an application 
for registration and the fees required by Sec.1.21(a)(1)(ii) and 
(a)(10) of this subchapter; provide a full and complete copy of the 
proceedings that led to the disbarment, suspension, or resignation; and 
provide satisfactory proof that he or she possesses good moral character 
and reputation. The following presumptions shall govern the 
determination of good moral character and reputation of an individual 
who has been licensed to practice law or other profession in any 
jurisdiction and has been disbarred, suspended on ethical grounds, or 
allowed to resign in lieu of discipline, in that jurisdiction:
    (A) A copy of the record resulting in disbarment, suspension or 
resignation is prima facie evidence of the matters contained in the 
record, and the imposition of disbarment or suspension, or the 
acceptance of the resignation of the individual shall be deemed 
conclusive that the individual has committed professional misconduct.
    (B) The individual is ineligible for registration and is deemed not 
to have good moral character and reputation during the period of the 
imposed discipline.
    (iii) The only defenses available with regard to an underlying 
disciplinary matter resulting in disbarment, suspension on ethical 
grounds, or resignation in lieu of a disciplinary proceeding are set out 
below, and must be shown to the satisfaction of the OED Director:
    (A) The procedure in the disciplinary court was so lacking in notice 
or opportunity to be heard as to constitute a deprivation of due 
process;
    (B) There was such infirmity of proof establishing the misconduct as 
to give rise to the clear conviction that the Office could not, 
consistently with its duty, accept as final the conclusion on that 
subject; or
    (C) The finding of lack of good moral character and reputation by 
the Office would result in grave injustice.
    (i) Factors that may be taken into consideration when evaluating 
rehabilitation of an individual seeking a moral character and reputation 
determination. The factors enumerated below are guidelines to assist the 
OED Director in determining whether an individual has demonstrated 
rehabilitation from an act of misconduct or moral turpitude. The factors 
include:
    (1) The nature of the act of misconduct, including whether it 
involved moral turpitude, whether there were aggravating or mitigating 
circumstances, and whether the activity was an isolated event or part of 
a pattern;
    (2) The age and education of the individual at the time of the 
misconduct and the age and education of the individual at the present 
time;
    (3) The length of time that has passed between the misconduct and 
the present, absent any involvement in any further acts of moral 
turpitude, the amount of time and the extent of rehabilitation being 
dependent upon the nature and seriousness of the act of misconduct under 
consideration;
    (4) Restitution by the individual to any person who suffered 
monetary losses through acts or omissions of the individual;
    (5) Expungement of a conviction;
    (6) Successful completion or early discharge from probation or 
parole;
    (7) Abstinence from the use of controlled substances or alcohol for 
not less than two years if the specific misconduct was attributable in 
part to the use of a controlled substance or alcohol, where abstinence 
may be demonstrated by, but is not necessarily limited to, enrolling in 
and complying

[[Page 406]]

with a self-help or professional treatment program;
    (8) If the specific misconduct was attributable in part to a 
medically recognized mental disease, disorder or illness, proof that the 
individual sought professional assistance, and complied with the 
treatment program prescribed by the professional, and submitted letters 
from the treating psychiatrist/psychologist verifying that the medically 
recognized mental disease, disorder or illness will not impede the 
individual's ability to competently practice before the Office;
    (9) Payment of the fine imposed in connection with any criminal 
conviction;
    (10) Correction of behavior responsible in some degree for the 
misconduct;
    (11) Significant and conscientious involvement in programs designed 
to provide social benefits or to ameliorate social problems; and
    (12) Change in attitude from that which existed at the time of the 
act of misconduct in question as evidenced by any or all of the 
following:
    (i) Statements of the individual;
    (ii) Statements from persons familiar with the individual's previous 
misconduct and with subsequent attitudes and behavioral patterns;
    (iii) Statements from probation or parole officers or law 
enforcement officials as to the individual's social adjustments; and
    (iv) Statements from persons competent to testify with regard to 
neuropsychiatry or emotional disturbances.
    (j) Notice to Show Cause. The OED Director shall inquire into the 
good moral character and reputation of an individual seeking 
registration, providing the individual with the opportunity to create a 
record on which a decision is made. If, following inquiry and 
consideration of the record, the OED Director is of the opinion that the 
individual seeking registration has not satisfactorily established that 
he or she possesses good moral character and reputation, the OED 
Director shall issue to the individual a notice to show cause why the 
individual's application for registration should not be denied.
    (1) The individual shall be given no less than ten days from the 
date of the notice to reply. The notice shall be given by certified mail 
at the address appearing on the application if the address is in the 
United States, and by any other reasonable means if the address is 
outside the United States.
    (2) Following receipt of the individual's response, or in the 
absence of a response, the OED Director shall consider the individual's 
response, if any, and the record, and determine whether, in the OED 
Director's opinion, the individual has sustained his or her burden of 
satisfactorily demonstrating that he or she possesses good moral 
character and reputation.
    (k) Reapplication for registration. An individual who has been 
refused registration for lack of good moral character or reputation may 
reapply for registration two years after the date of the decision, 
unless a shorter period is otherwise ordered by the USPTO Director. An 
individual, who has been notified that he or she is under investigation 
for good moral character and reputation may elect to withdraw his or her 
application for registration, and may reapply for registration two years 
after the date of withdrawal. Upon reapplication for registration, the 
individual shall pay the fees required by Sec.1.21(a)(1)(ii) and 
(a)(10) of this subchapter, and has the burden of showing to the 
satisfaction of the OED Director his or her possession of good moral 
character and reputation as prescribed in paragraph (b) of this section. 
Upon reapplication for registration, the individual also shall complete 
successfully the examination prescribed in paragraph (b) of this 
section, even though the individual has previously passed a registration 
examination.
    (l) Transfer of status from agent to attorney. An agent registered 
under Sec.11.6(b) may request registration as an attorney under Sec.
11.6(a). The agent shall demonstrate his or her good standing as an 
attorney and pay the fee required by Sec.1.21(a)(2)(iii) of this 
chapter.

[69 FR 35452, June 24, 2004, as amended at 86 FR 28453, May 26, 2021]

[[Page 407]]



Sec.11.8  Oath and registration fee.

    (a) After an individual passes the examination, or the examination 
is waived, the OED Director shall promptly publish a solicitation for 
information concerning the individual's good moral character and 
reputation. The solicitation shall include the individual's name, and 
business or communication postal address.
    (b) An individual shall not be registered as an attorney under Sec.
11.6(a), registered as an agent under Sec.11.6(b) or (c), or granted 
limited recognition under Sec.11.9(b) unless within two years of the 
mailing date of a notice of passing registration examination or of 
waiver of the examination the individual files with the OED Director a 
completed Data Sheet, an oath or declaration prescribed by the USPTO 
Director, and the registration fee set forth in Sec.1.21(a)(2) of this 
subchapter. An individual seeking registration as an attorney under 
Sec.11.6(a) must provide a certificate of good standing of the bar of 
the highest court of a State that is no more than six months old.
    (c) An individual who does not comply with the requirements of 
paragraph (b) of this section within the two-year period will be 
required to retake the registration examination.
    (d) [Reserved]

[69 FR 35452, June 24, 2004, as amended at 73 FR 67757, Nov. 17, 2008; 
78 FR 20198, Apr. 3, 2013]



Sec.11.9  Limited recognition in patent matters.

    (a) Any individual not registered under Sec.11.6 may, upon a 
showing of circumstances that render it necessary or justifiable and 
that the individual is of good moral character and reputation, be given 
limited recognition by the OED Director to prosecute as attorney or 
agent a specified patent application or specified patent applications. 
Limited recognition under this paragraph shall not extend further than 
the application or applications specified. Limited recognition shall not 
be granted to individuals who have passed the examination or to those 
for whom the examination has been waived while such individual's 
application for registration to practice before the Office in patent 
matters is pending.
    (b) A nonimmigrant alien residing in the United States and 
fulfilling the provisions of paragraphs (d) and (e) of this section may 
be granted limited recognition if the nonimmigrant alien is authorized 
by the United States Government to be employed or trained in the United 
States in the capacity of representing a patent applicant by presenting 
or prosecuting a patent application. Limited recognition shall be 
granted for a period consistent with the terms of authorized employment 
or training. Limited recognition shall not be granted or extended to a 
non-United States citizen residing abroad. If granted, limited 
recognition shall automatically expire upon the nonimmigrant alien's 
departure from the United States.
    (c) An individual not registered under Sec.11.6 may, if appointed 
by an applicant, prosecute an international patent application only 
before the United States International Searching Authority and the 
United States International Preliminary Examining Authority, provided 
that the individual has the right to practice before the national office 
with which the international application is filed as provided in PCT 
Art. 49, Rule 90 and Sec.1.455 of this subchapter, or before the 
International Bureau when the USPTO is acting as Receiving Office 
pursuant to PCT Rules 83.1 bis and 90.1.
    (d) No individual will be granted limited recognition to practice 
before the Office under paragraph (b) of this section unless he or she 
has:
    (1) Applied to the USPTO Director in writing by completing an 
application form supplied by the OED Director and furnishing all 
requested information and material; and
    (2) Established to the satisfaction of the OED Director that he or 
she:
    (i) Possesses good moral character and reputation;
    (ii) Possesses the legal, scientific, and technical qualifications 
necessary for him or her to render applicants valuable service; and
    (iii) Is competent to advise and assist patent applicants in the 
presentation and prosecution of their applications before the Office.

[[Page 408]]

    (e)(1) To enable the OED Director to determine whether an individual 
has the qualifications specified in paragraph (d)(2) of this section, 
the individual shall:
    (i) File a complete application for limited recognition each time 
admission to the registration examination is requested. A complete 
application for limited recognition includes:
    (A) An application for limited recognition form supplied by the OED 
Director wherein all requested information and supporting documents are 
furnished;
    (B) Payment of the fees required by Sec.1.21(a)(1) of this 
chapter;
    (C) Satisfactory proof of scientific and technical qualifications; 
and
    (D) Satisfactory proof that the terms of the individual's 
immigration status or entry into the United States authorize employment 
or training in the preparation and prosecution of patents for others; 
and
    (ii) Pass the registration examination. Each individual seeking 
limited recognition under this section must take and pass the 
registration examination to enable the OED Director to determine whether 
the individual possesses the legal and competence qualifications 
specified in paragraphs (d)(2)(ii) and (d)(2)(iii) of this section.
    (2) An individual failing the examination may, upon receipt of 
notice of failure from OED, reapply for admission to the examination. An 
individual failing the examination for the first or second time must 
wait 30 days after the date the individual last took the examination 
before retaking the examination. An individual failing the examination 
for the third or fourth time must wait 90 days after the date the 
individual last took the examination before retaking the examination. An 
individual may not take the examination more than five times. However, 
upon petition under Sec.11.2(c), the OED Director may, at his or her 
discretion, waive this limitation upon such conditions as the OED 
Director may prescribe. An individual reapplying shall:
    (i) File a complete application for limited recognition form, 
including all requested information and supporting documents not 
previously provided to OED;
    (ii) Pay the application fee required by Sec.1.21(a)(1) of this 
chapter;
    (iii) Provide satisfactory proof that the terms of the individual's 
immigration status or entry into the United States authorize employment 
or training in the preparation and prosecution of patents for others; 
and
    (iv) Provide satisfactory proof of good moral character and 
reputation.
    (3) An individual failing to file a complete application will not be 
admitted to the examination and will be notified of such deficiency. 
Applications for limited recognition that are incomplete will be 
considered only when the deficiency has been cured, provided that this 
occurs within 60 days of the mailing date of the notice of deficiency. 
Thereafter, a new and complete application for limited recognition must 
be filed. An individual seeking limited recognition under paragraph (b) 
of this section must satisfy the requirements of paragraph (e)(1)(i) of 
this section to be admitted to the examination.
    (4)(i) A notice of admission shall be sent to those individuals who 
have been admitted to the registration examination. This notice shall 
specify a certain period of time in which to schedule and take the 
examination.
    (ii) An individual may request an extension of this period of time 
by written request to the OED Director. Such request must be received by 
the OED Director prior to the expiration of the period specified in the 
notice, as extended by any previously granted extension, and must 
include the fee specified in Sec.1.21(a)(1)(iv). Upon the granting of 
the request, the period of time in which the individual may schedule and 
take the examination shall be extended by 90 days.
    (iii) An individual who does not take the examination within the 
period of time specified in the notice may not take the examination 
without filing a new application for limited recognition as set forth in 
paragraph (e)(1)(i) of this section.
    (f) Applications for reinstatement of limited recognition. (1) A 
person whose grant of limited recognition expired less than five years 
before the application for reinstatement may be reinstated provided the 
person:

[[Page 409]]

    (i) Files a complete application that includes:
    (A) A request for reinstatement with the fee required by Sec.
1.21(a)(9)(ii); and
    (B) Satisfactory proof that the terms of the individual's 
immigration status or entry into the United States authorize employment 
or training in the preparation and prosecution of patents for others; 
and
    (ii) Provides satisfactory proof of good moral character and 
reputation.
    (2) Persons whose grant of limited recognition expired five years or 
more before filing a complete application for reinstatement must comply 
with paragraph (f)(1) of this section and provide objective evidence 
that they continue to possess the necessary legal qualifications to 
render applicants valuable service to patent applicants.

[69 FR 35452, June 24, 2004, as amended at 78 FR 20198, Apr. 3, 2013; 86 
FR 28453, May 26, 2021]



Sec.11.10  Restrictions on practice in patent matters; former and
current Office employees; government employees.

    (a) Only practitioners registered under Sec.11.6; individuals 
given limited recognition under Sec.11.9(a) or (b) or Sec.11.16; or 
individuals admitted pro hac vice as provided in Sec.41.5(a) or 
42.10(c) of this chapter are permitted to represent others before the 
Office in patent matters.
    (b) Post employment agreement of former Office employee. No 
individual who has served in the patent examining corps or elsewhere in 
the Office may practice before the Office after termination of his or 
her service, unless he or she signs a written undertaking agreeing:
    (1) To not knowingly act as agent or attorney for or otherwise 
represent any other person:
    (i) Before the Office,
    (ii) In connection with any particular patent or patent application,
    (iii) In which said employee participated personally and 
substantially as an employee of the Office; and
    (2) To not knowingly act within two years after terminating 
employment by the Office as agent or attorney for, or otherwise 
represent any other person:
    (i) Before the Office,
    (ii) In connection with any particular patent or patent application,
    (iii) If such patent or patent application was pending under the 
employee's official responsibility as an officer or employee within a 
period of one year prior to the termination of such responsibility.

[86 FR 28454, May 26, 2021]



Sec.11.11  Administrative suspension, inactivation, resignation, 
reinstatement, and revocation.

    (a) Contact information. (1) A registered practitioner, or person 
granted limited recognition under Sec.11.9(b), must notify the OED 
Director of the postal address for their office, at least one and up to 
three email addresses where they receive email, and a business telephone 
number, as well as every change to each of said addresses and telephone 
number within thirty days of the date of the change. A registered 
practitioner, or person granted limited recognition under Sec.11.9(b), 
shall, in addition to any notice of change of address and telephone 
number filed in individual patent applications, separately file written 
notice of the change of address or telephone number with the OED 
Director. A registered practitioner, or person granted limited 
recognition under Sec.11.9(b), who is an attorney in good standing 
with the bar of the highest court of one or more states shall provide 
the OED Director with the identification number associated with each bar 
membership. The OED Director shall publish a list containing the name, 
postal business addresses, business telephone number, registration 
number or limited recognition number, and registration status as an 
attorney or agent of each registered practitioner, or person granted 
limited recognition under Sec.11.9(b), recognized to practice before 
the Office in patent matters. The OED Director may also publish the 
continuing legal education certification status of each registered 
practitioner, or person granted limited recognition under Sec.11.9(b).
    (2) Biennially, registered practitioners and persons granted limited 
recognition may be required to file a registration statement with the 
OED Director for the purpose of

[[Page 410]]

ascertaining whether such practitioner desires to remain in an active 
status. Any registered practitioner, or person granted limited 
recognition under Sec.11.9(b), failing to file the registration 
statement or give any information requested by the OED Director within a 
time limit specified shall be subject to administrative suspension under 
paragraph (b) of this section.
    (3)(i) A registered practitioner, or person granted limited 
recognition under Sec.11.9(b), who has completed, in the past 24 
months, five hours of continuing legal education credits in patent law 
and practice and one hour of continuing legal education credit in 
ethics, may certify such completion to the OED Director.
    (ii) A registered practitioner, or person granted limited 
recognition under Sec.11.9(b), may earn up to two of the five hours of 
continuing legal education credit in patent law and practice by 
providing patent pro bono legal services through the USPTO Patent Pro 
Bono Program. One hour of continuing legal education credit in patent 
law and practice may be earned for every three hours of patent pro bono 
legal service.
    (b) Administrative suspension. (1) Whenever it appears that a 
registered practitioner, or person granted limited recognition under 
Sec.11.9(b), has failed to comply with paragraph (a)(2) of this 
section, the OED Director shall publish and send a notice to the 
registered practitioner, or person granted limited recognition, advising 
of the noncompliance, the consequence of being administratively 
suspended set forth in paragraph (b)(6) of this section if noncompliance 
is not timely remedied, and the requirements for reinstatement under 
paragraph (f) of this section. The notice shall be published and sent to 
the registered practitioner, or person granted limited recognition, by 
mail to the last postal address furnished under paragraph (a) of this 
section or by email addressed to the last email address furnished under 
paragraph (a) of this section. The notice shall demand compliance and 
payment of a delinquency fee set forth in Sec.1.21(a)(9)(i) of this 
chapter within 60 days after the date of such notice.
    (2) In the event a practitioner fails to comply with the 
requirements specified in a notice provided pursuant to paragraph (b)(1) 
of this section within the time allowed, the OED Director shall publish 
and send to the practitioner a notice to show cause why the practitioner 
should not be administratively suspended. Such notice shall be sent in 
the same manner as set forth in paragraph (b)(1) of this section. The 
OED Director shall file a copy of the notice to show cause with the 
USPTO Director.
    (3) A practitioner to whom a notice to show cause under this section 
has been issued shall be allowed 30 days from the date of the notice to 
show cause to file a response with the USPTO Director. The response 
should address any factual and legal bases why the practitioner should 
not be administratively suspended. The practitioner shall serve the OED 
Director with a copy of the response at the time it is filed with the 
USPTO Director. Within 10 days of receiving a copy of the response, the 
OED Director may file a reply with the USPTO Director. A copy of the 
reply by the OED Director shall be sent to the practitioner at the 
practitioner's address of record. If the USPTO Director determines that 
there are no genuine issues of material fact regarding the Office's 
compliance with the notice requirements under this section or the 
failure of the practitioner to pay the requisite fees, the USPTO 
Director shall enter an order administratively suspending the 
practitioner. Otherwise, the USPTO Director shall enter an appropriate 
order dismissing the notice to show cause. Any request for 
reconsideration of the USPTO Director's decision must be filed within 20 
days after the date such decision is rendered by the USPTO Director. 
Nothing herein shall permit an administratively suspended practitioner 
to seek a stay of the suspension during the pendency of any review of 
the USPTO Director's final decision. If, prior to the USPTO Director 
entering an order under this section, the OED Director determines that a 
practitioner has complied with requirements specified in the notice to 
show cause, the OED Director may withdraw the notice to show cause, and 
the practitioner will not be administratively suspended.
    (4) [Reserved]

[[Page 411]]

    (5) A practitioner is subject to investigation and discipline for 
his or her conduct prior to, during, or after the period he or she was 
administratively suspended.
    (6) A practitioner is prohibited from practicing before the Office 
in patent matters while administratively suspended. A practitioner who 
knows he or she has been administratively suspended is subject to 
discipline for failing to comply with the provisions of this paragraph 
and shall comply with the provisions of Sec.11.116.
    (7) An administratively suspended practitioner may request 
reinstatement by complying with paragraph (f)(1) of this section.
    (c) Administrative inactivation. (1) Any registered practitioner who 
shall become employed by the Office shall comply with Sec.11.116 for 
withdrawal from all patent, trademark, and other non-patent matters 
wherein he or she represents an applicant or other person, and notify 
the OED Director in writing of said employment on the first day of said 
employment. The name of any registered practitioner employed by the 
Office shall be endorsed on the register as administratively inactive. 
Upon separation from the Office, an administratively inactive 
practitioner may request reactivation by complying with paragraph (f)(2) 
of this section.
    (2) Any registered practitioner who is a judge of a court of record, 
full-time court commissioner, U.S. bankruptcy judge, U.S. magistrate 
judge, or a retired judge who is eligible for temporary judicial 
assignment and is not engaged in the practice of law may request, in 
writing, that his or her name be endorsed on the register as 
administratively inactive. Upon acceptance of the request, the OED 
Director shall endorse the name of the practitioner as administratively 
inactive. Following separation from the bench, the practitioner may 
request reactivation by complying with paragraph (f)(2) of this section.
    (3) An administratively inactive practitioner remains subject to the 
provisions of the USPTO Rules of Professional Conduct and to proceedings 
and sanctions under Sec. Sec.11.19 through 11.58 for conduct that 
violates a provision of the USPTO Rules of Professional Conduct prior to 
or during such administrative inactivity.
    (d) Voluntary inactivation. (1) Any registered practitioner may 
voluntarily enter inactive status by filing a request, in writing, that 
his or her name be endorsed on the roster as voluntarily inactive. Upon 
acceptance of the request, the OED Director shall endorse the name as 
voluntarily inactive.
    (2) [Reserved]
    (3) A registered practitioner who seeks or enters into voluntary 
inactive status is subject to investigation and discipline for his or 
her conduct prior to, during, or after the period of his or her 
inactivation.
    (4) [Reserved]
    (5) A registered practitioner in voluntary inactive status is 
prohibited from practicing before the Office in patent cases while in 
voluntary inactive status. A registered practitioner in voluntary 
inactive status will be subject to discipline for failing to comply with 
the provisions of this paragraph. Upon acceptance of the request for 
voluntary inactive status, the practitioner must comply with the 
provisions of Sec.11.116.
    (6) Any registered practitioner whose name has been endorsed as 
voluntarily inactive pursuant to paragraph (d)(1) of this section and is 
not under investigation and not subject to a disciplinary proceeding may 
be restored to active status on the register as may be appropriate, 
provided that the practitioner files a written request for restoration, 
a completed application for registration on a form supplied by the OED 
Director furnishing all requested information and material, including 
information and material pertaining to the practitioner's moral 
character and reputation under Sec.11.7(a)(2)(i) during the period of 
inactivation, a declaration or affidavit attesting to the fact that the 
practitioner has read the most recent revisions of the patent laws and 
the rules of practice before the Office, and pays the fees set forth in 
Sec.1.21(a)(7)(iii) and (iv) of this subchapter.
    (e) Resignation. A registered practitioner or a practitioner 
recognized under Sec.11.14(c) may request to resign by notifying the 
OED Director in writing of such intent, unless such practitioner is 
under investigation under

[[Page 412]]

Sec.11.22 for a possible violation of the USPTO Rules of Professional 
Conduct, is a practitioner against whom probable cause has been found by 
a panel of the Committee on Discipline under Sec.11.23(b), or is a 
respondent in a pending proceeding instituted under Sec.11.24, Sec.
11.25, or Sec.11.29. Upon acceptance in writing by the OED Director of 
such request, that practitioner shall no longer be eligible to practice 
before the Office in patent matters but shall continue to file a change 
of address for five years thereafter in order that he or she may be 
located in the event information regarding the practitioner's conduct 
comes to the attention of the OED Director or any grievance is made 
about his or her conduct while he or she engaged in practice before the 
Office. The name of any practitioner whose resignation is accepted shall 
be endorsed as resigned, and notice thereof published in the Official 
Gazette. Upon acceptance of the resignation by the OED Director, the 
practitioner must comply with the provisions of Sec.11.116. A 
practitioner is subject to investigation and discipline for his or her 
conduct that occurred prior to, during, or after the period of his or 
her resignation.
    (f) Administrative reinstatement. (1)(i) Any administratively 
suspended registered practitioner, or person granted limited recognition 
under Sec.11.9(b), may be reinstated provided the practitioner:
    (A) Is not the subject of a disciplinary investigation or a party to 
a disciplinary proceeding;
    (B) Has applied for reinstatement on an application form supplied by 
the OED Director;
    (C) Has demonstrated good moral character and reputation and 
competence in advising and assisting patent applicants in the 
presentation and prosecution of their applications before the Office;
    (D) Has submitted a declaration or affidavit attesting to the fact 
that the practitioner has read the most recent revisions of the patent 
laws and the rules of practice before the Office;
    (E) Has paid the fees set forth in Sec.1.21(a)(9)(ii) of this 
chapter; and
    (F) Has paid all applicable delinquency fees as set forth in Sec.
1.21(a)(9)(i) of this chapter.
    (ii) Any administratively suspended registered practitioner, or 
person granted limited recognition, who applies for reinstatement more 
than five years after the effective date of the administrative 
suspension, additionally shall be required to file a petition to the OED 
Director requesting reinstatement and providing objective evidence that 
they continue to possess the necessary legal qualifications to render 
valuable service to patent applicants.
    (2)(i) A practitioner who has been administratively inactivated 
pursuant to paragraph (c) of this section may be reactivated after his 
or her employment with the Office ceases or his or her employment in a 
judicial capacity ceases, provided the following is filed with the OED 
Director:
    (A) A completed application for reactivation on a form supplied by 
the OED Director;
    (B) A data sheet;
    (C) A signed written undertaking required by Sec.11.10(b); and
    (D) The fee set forth in Sec.1.21(a)(9)(ii) of this chapter.
    (ii) Administratively inactive practitioners who have been separated 
from the Office or have ceased to be employed in a judicial capacity for 
five or more years prior to filing a complete application for 
reactivation shall be required to provide objective evidence that they 
continue to possess the necessary legal qualifications to render 
valuable service to patent applicants.
    (3)(i) Any registered practitioner who has been endorsed as resigned 
pursuant to paragraph (e) of this section may be reinstated on the 
register provided the practitioner:
    (A) Is not the subject of a disciplinary investigation or a party to 
a disciplinary proceeding;
    (B) Has applied for reinstatement on an application form supplied by 
the OED Director;
    (C) Has demonstrated good moral character and reputation and 
competence in advising and assisting patent applicants in the 
presentation and prosecution of their applications before the Office;
    (D) Has submitted a declaration or affidavit attesting to the fact 
that the practitioner has read the most recent

[[Page 413]]

revisions of the patent laws and the rules of practice before the 
Office;
    (E) Has paid the fees set forth in Sec.1.21(a)(9)(ii) of this 
chapter; and
    (F) Has paid all applicable delinquency fees as set forth in Sec.
1.21(a)(9)(i) of this chapter.
    (ii) Any resigned registered practitioner who applies for 
reinstatement more than five years after the effective date of the 
resignation additionally shall be required to file a petition to the OED 
Director requesting reinstatement and providing objective evidence that 
they continue to possess the necessary legal qualifications to render 
valuable service to patent applicants.
    (g) Administrative revocation. (1) The USPTO Director may revoke an 
individual's registration or limited recognition if:
    (i) The registration or limited recognition was issued through 
mistake or inadvertence, or
    (ii) The individual's application for registration or limited 
recognition contains materially false information or omits material 
information.
    (2) Whenever it appears that grounds for administrative revocation 
exist, the OED Director shall issue to the individual a notice to show 
cause why the individual's registration or limited recognition should 
not be revoked.
    (i) The notice to show cause shall be served on the individual in 
the same manner as described in Sec.11.35.
    (ii) The notice to show cause shall state the grounds for the 
proposed revocation.
    (iii) The OED Director shall file a copy of the notice to show cause 
with the USPTO Director.
    (3) Within 30 days after service of the notice to show cause, the 
individual may file a response to the notice to show cause with the 
USPTO Director. The response should address any factual or legal bases 
why the individual's registration or limited recognition should not be 
revoked. The individual shall serve the OED Director with a copy of the 
response at the time it is filed with the USPTO Director. Within 10 days 
of receiving a copy of the response, the OED Director may file a reply 
with the USPTO Director. A copy of the reply by the OED Director shall 
be sent to the individual at the individual's address of record.
    (4) If the USPTO Director determines that there are no genuine 
issues of material fact regarding the Office's compliance with the 
notice requirements under this section or the grounds for the notice to 
show cause, the USPTO Director shall enter an order revoking the 
individual's registration or limited recognition. Otherwise, the USPTO 
Director shall enter an appropriate order dismissing the notice to show 
cause. An oral hearing will not be granted unless so ordered by the 
USPTO Director, upon a finding that such hearing is necessary. Any 
request for reconsideration of the USPTO Director's decision must be 
filed within 20 days after the date such decision is rendered by the 
USPTO Director. Nothing herein shall permit an individual to seek a stay 
of the revocation during the pendency of any review of the USPTO 
Director's final decision.

[86 FR 28455, May 26, 2021]



Sec. Sec.11.12-11.13  [Reserved]



Sec.11.14  Individuals who may practice before the Office in trademark
and other non-patent matters.

    (a) Attorneys. Any individual who is an attorney as defined in Sec.
11.1 may represent others before the Office in trademark and other non-
patent matters. An attorney is not required to apply for registration or 
recognition to practice before the Office in trademark and other non-
patent matters. Registration as a patent practitioner does not itself 
entitle an individual to practice before the Office in trademark 
matters.
    (b) Non-lawyers. Individuals who are not attorneys are not 
recognized to practice before the Office in trademark and other non-
patent matters, except that individuals not attorneys who were 
recognized to practice before the Office in trademark matters under this 
chapter prior to January 1, 1957, will be recognized as agents to 
continue practice before the Office in trademark matters. Except as 
provided in the preceding sentence, registration as a patent agent does 
not itself entitle an individual to practice before the Office in 
trademark matters.

[[Page 414]]

    (c) Foreigners. (1) Any foreign attorney or agent not a resident of 
the United States who shall file a written application for reciprocal 
recognition under paragraph (f) of this section and prove to the 
satisfaction of the OED Director that he or she is a registered and 
active member in good standing before the trademark office of the 
country in which he or she resides and practices and possesses good 
moral character and reputation, may be recognized for the limited 
purpose of representing parties located in such country before the 
Office in the presentation and prosecution of trademark matters, 
provided: The trademark office of such country and the USPTO have 
reached an official understanding to allow substantially reciprocal 
privileges to those permitted to practice in trademark matters before 
the Office. Recognition under this paragraph (c) shall continue only 
during the period that the conditions specified in this paragraph (c) 
obtain.
    (2) In any trademark matter where a foreign attorney or agent 
authorized under paragraph (c)(1) of this section is representing an 
applicant, registrant, or party to a proceeding, an attorney, as defined 
in Sec.11.1 and qualified to practice under paragraph (a) of this 
section, must also be appointed pursuant to Sec.2.17(b) and (c) of 
this chapter as the representative who will file documents with the 
Office and with whom the Office will correspond.
    (d) Recognition of any individual under this section shall not be 
construed as sanctioning or authorizing the performance of any act 
regarded in the jurisdiction where performed as the unauthorized 
practice of law.
    (e) Appearance. No individual other than those specified in 
paragraphs (a), (b), and (c) of this section will be permitted to 
practice before the Office in trademark matters on behalf of a client. 
Except as specified in Sec.2.11(a) of this chapter, an individual may 
appear in a trademark or other non-patent matter in his or her own 
behalf or on behalf of:
    (1) A firm of which he or she is a member;
    (2) A partnership of which he or she is a partner; or
    (3) A corporation or association of which he or she is an officer 
and which he or she is authorized to represent.
    (f) Application for reciprocal recognition. An individual seeking 
reciprocal recognition under paragraph (c) of this section, in addition 
to providing evidence satisfying the provisions of paragraph (c) of this 
section, shall apply in writing to the OED Director for reciprocal 
recognition, and shall pay the application fee required by Sec.
1.21(a)(1)(i) of this subchapter.

[73 FR 47688, Aug. 14, 2008, as amended at 84 FR 31511, July 2, 2019]



Sec.11.15  Refusal to recognize a practitioner.

    Any practitioner authorized to appear before the Office may be 
suspended, excluded, or reprimanded in accordance with the provisions of 
this Part. Any practitioner who is suspended or excluded under this Part 
shall not be entitled to practice before the Office in patent, 
trademark, or other non-patent matters while suspended or excluded.

[73 FR 47688, Aug. 14, 2008]



Sec.11.16  Requirements for admission to the USPTO Law School Clinic
Certification Program.

    (a) The USPTO Law School Clinic Certification Program allows 
students enrolled in a participating law school's clinic to practice 
before the Office in patent or trademark matters by drafting, filing, 
and prosecuting patent or trademark applications on a pro bono basis for 
clients that qualify for assistance from the law school's clinic. All 
law schools accredited by the American Bar Association are eligible for 
participation in the program, and shall be examined for acceptance using 
identical criteria.
    (b) Application for admission and renewal--(1) Application for 
admission. Non-participating law schools seeking admission to the USPTO 
Law School Clinic Certification Program, and participating law schools 
seeking to add a practice area, shall submit an application for 
admission for such practice area to OED in accordance with criteria and 
time periods set forth by the OED Director.

[[Page 415]]

    (2) Renewal application. Each participating law school desiring to 
continue in the USPTO Law School Clinic Certification Program shall, 
biennially from a date assigned to the law school by the OED Director, 
submit a renewal application to OED in accordance with criteria set 
forth by the OED Director.
    (3) The OED Director may refuse admission or renewal of a law school 
to the USPTO Law School Clinic Certification Program if the OED Director 
determines that admission, or renewal, of the law school would fail to 
provide significant benefit to the public or the law students 
participating in the law school's clinic.
    (c) Faculty Clinic Supervisor. Any law school seeking admission to 
or participating in the USPTO Law School Clinic Certification Program 
must have at least one Faculty Clinic Supervisor for the patent practice 
area, if the clinic includes patent practice; and at least one Faculty 
Clinic Supervisor for the trademark practice area, if the clinic 
includes trademark practice.
    (1) Patent Faculty Clinic Supervisor. A Faculty Clinic Supervisor 
for a law school clinic's patent practice must:
    (i) Be a registered patent practitioner in active status and good 
standing with OED;
    (ii) Demonstrate at least 3 years experience in prosecuting patent 
applications before the Office within the 5 years immediately prior to 
the request for approval as a Faculty Clinic Supervisor;
    (iii) Assume full responsibility for the instruction and guidance of 
law students participating in the law school clinic's patent practice;
    (iv) Assume full responsibility for all patent applications and 
legal services, including filings with the Office, produced by the 
clinic; and
    (v) Comply with all additional criteria established by the OED 
Director.
    (2) Trademark Faculty Clinic Supervisor. A Faculty Clinic Supervisor 
for a law school clinic's trademark practice must:
    (i) Be an attorney as defined in Sec.11.1;
    (ii) Demonstrate at least 3 years experience in prosecuting 
trademark applications before the Office within the 5 years immediately 
prior to the date of the request for approval as a Faculty Clinic 
Supervisor;
    (iii) Assume full responsibility for the instruction, guidance, and 
supervision of law students participating in the law school clinic's 
trademark practice;
    (iv) Assume full responsibility for all trademark applications and 
legal services, including filings with the Office, produced by the 
clinic; and
    (v) Comply with all additional criteria established by the OED 
Director.
    (3) A Faculty Clinic Supervisor under paragraph (c) of this section 
must submit a statement:
    (i) Assuming responsibility for performing conflicts checks for each 
law student and client in the relevant clinic practice area;
    (ii) Assuming responsibility for student instruction and work, 
including instructing, mentoring, overseeing, and supervising all 
participating law school students in the clinic's relevant practice 
area;
    (iii) Assuming responsibility for content and timeliness of all 
applications and documents submitted to the Office through the relevant 
practice area of the clinic;
    (iv) Assuming responsibility for all communications by clinic 
students to clinic clients in the relevant clinic practice area;
    (v) Assuming responsibility for ensuring that there is no gap in 
representation of clinic clients in the relevant practice area during 
student turnover, school schedule variations, inter-semester 
transitions, or other disruptions;
    (vi) Attesting to meeting the criteria of paragraph (c)(1) or (2) of 
this section based on relevant practice area of the clinic; and
    (vii) Attesting to all other criteria as established by the OED 
Director.
    (d) Limited recognition for law students participating in the USPTO 
Law School Clinic Certification Program. (1) The OED Director may grant 
limited recognition to practice before the Office in patent or trademark 
matters, or both, to law school students enrolled in a clinic of a law 
school that is participating in the USPTO Law School Clinic 
Certification Program upon submission and

[[Page 416]]

approval of an application by a law student to OED in accordance with 
criteria established by the OED Director.
    (2) In order to be granted limited recognition to practice before 
the Office in patent matters under the USPTO Law School Clinic 
Certification Program, a law student must:
    (i) Be enrolled in a law school that is an active participant in the 
USPTO Law School Clinic Certification Program;
    (ii) Be enrolled in the patent practice area of a clinic of the 
participating law school;
    (iii) Have successfully completed at least one year of law school or 
the equivalent;
    (iv) Have read the USPTO Rules of Professional Conduct and the 
relevant rules of practice and procedure for patent matters;
    (v) Be supervised by an approved Faculty Clinic Supervisor pursuant 
to paragraph (c)(1) of this section;
    (vi) Be certified by the dean of the participating law school, or 
one authorized to act for the dean, as: Having completed the first year 
of law school or the equivalent, being in compliance with the law 
school's ethics code, and being of good moral character and reputation;
    (vii) Neither ask for nor receive any fee or compensation of any 
kind for legal services from a clinic client on whose behalf service is 
rendered;
    (viii) Have proved to the satisfaction of the OED Director that he 
or she possesses the scientific and technical qualifications necessary 
for him or her to render patent applicants valuable service; and
    (ix) Comply with all additional criteria established by the OED 
Director.
    (3) In order to be granted limited recognition to practice before 
the Office in trademark matters under the USPTO Law School Clinic 
Certification Program, a law student must:
    (i) Be enrolled in a law school that is an active participant in the 
USPTO Law School Clinic Certification Program;
    (ii) Be enrolled in the trademark practice area of a clinic of the 
participating law school;
    (iii) Have successfully completed at least one year of law school or 
the equivalent;
    (iv) Have read the USPTO Rules of Professional Conduct and the 
relevant USPTO rules of practice and procedure for trademark matters;
    (v) Be supervised by an approved Faculty Clinic Supervisor pursuant 
to paragraph (c)(2) of this section;
    (vi) Be certified by the dean of the participating law school, or 
one authorized to act for the dean, as: Having completed the first year 
of law school or the equivalent, being in compliance with the law 
school's ethics code, and being of good moral character and reputation;
    (vii) Neither ask for nor receive any fee or compensation of any 
kind for legal services from a clinic client on whose behalf service is 
rendered; and
    (viii) Comply with all additional criteria established by the OED 
Director.
    (4) Students registered to practice before the Office in patent 
matters as a patent agent, or authorized to practice before the Office 
in trademark matters under Sec.11.14, must complete and submit a 
student application pursuant to paragraph (d)(1) of this section and 
meet the criteria of paragraph (d)(2) or (3) of this section, as 
applicable, in order to participate in the program.

[81 FR 33596, May 27, 2016]



Sec.11.17  Requirements for participation in the USPTO Law School 
Clinic Certification Program.

    (a) Each law school participating in the USPTO Law School Clinic 
Certification Program must provide its patent and/or trademark services 
on a pro bono basis.
    (b) Each law school participating in the USPTO Law School Clinic 
Certification Program shall, on a semi-annual basis, provide OED with a 
report regarding its clinic activity during the reporting period, which 
shall include:
    (1) The number of law students participating in each of the patent 
and trademark practice areas of the school's clinic;
    (2) The number of faculty participating in each of the patent and 
trademark practice areas of the school's clinic;

[[Page 417]]

    (3) The number of persons to whom the school's clinic provided 
assistance in any given patent or trademark matter but with whom no 
practitioner-client relationship had formed;
    (4) The number of client representations undertaken for each of the 
patent and trademark practice areas of the school's clinic;
    (5) The identity and number of applications and responses filed in 
each of the patent and/or trademark practice areas of the school's 
clinic;
    (6) The number of patents issued, or trademarks registered, to 
clients of the clinic; and
    (7) All other information specified by the OED Director.
    (c) Inactivation of law schools participating in the USPTO Law 
School Certification Program. (1) The OED Director may inactivate a 
patent and/or trademark practice area of a participating law school:
    (i) If the participating law school does not have an approved 
Faculty Clinic Supervisor for the relevant practice area, as described 
in Sec.11.16(c);
    (ii) If the participating law school does not meet each of the 
requirements and criteria for participation in the USPTO Law School 
Clinic Certification Program as set forth in Sec.11.16, this section, 
or as otherwise established by the OED Director; or
    (iii) For other good cause as determined by the OED Director.
    (2) In the event that a practice area of a participating school is 
inactivated, the participating law school students must:
    (i) Immediately cease all student practice before the Office in the 
relevant practice area and notify each client of such; and
    (ii) Disassociate themselves from all client matters relating to 
practice before the Office in the relevant practice area, including 
complying with Office and State rules for withdrawal from 
representation.
    (3) A patent or trademark practice area of a law school clinic that 
has been inactivated may be restored to active status, upon application 
to and approval by the OED Director.
    (d) Removal of law schools participating in the USPTO Law School 
Clinic Certification Program. (1) The OED Director may remove a patent 
and/or trademark practice area of the clinic of a law school 
participating in the USPTO Law School Clinic Certification Program:
    (i) Upon request from the law school;
    (ii) If the participating law school does not meet each of the 
requirements and criteria for participation in the USPTO Law School 
Clinic Certification Program as set forth in Sec.11.16, this section, 
or as otherwise established by the OED Director; or
    (iii) For other good cause as determined by the OED Director.
    (2) In the event that a practice area of a participating school is 
removed by the OED Director, the participating law school students must:
    (i) Immediately cease all student practice before the Office in the 
relevant practice area and notify each client of such; and
    (ii) Disassociate themselves from all client matters relating to 
practice before the Office in the relevant practice area, including 
complying with Office and State rules for withdrawal from 
representation.
    (3) A school that has been removed from participation in the USPTO 
Law School Clinic Certification Program under this section may reapply 
to the program in compliance with Sec.11.16.

[81 FR 33597, May 27, 2016]



Sec.11.18  Signature and certificate for correspondence filed in the 
Office.

    (a) For all documents filed in the Office in patent, trademark, and 
other non-patent matters, and all documents filed with a hearing officer 
in a disciplinary proceeding, except for correspondence that is required 
to be signed by the applicant or party, each piece of correspondence 
filed by a practitioner in the Office must bear a signature, personally 
signed or inserted by such practitioner, in compliance with Sec.1.4(d) 
or Sec.2.193(a) of this chapter.
    (b) By presenting to the Office or hearing officer in a disciplinary 
proceeding (whether by signing, filing, submitting, or later advocating) 
any paper, the party presenting such paper, whether a practitioner or 
non-practitioner, is certifying that--
    (1) All statements made therein of the party's own knowledge are 
true, all

[[Page 418]]

statements made therein on information and belief are believed to be 
true, and all statements made therein are made with the knowledge that 
whoever, in any matter within the jurisdiction of the Office, knowingly 
and willfully falsifies, conceals, or covers up by any trick, scheme, or 
device a material fact, or knowingly and willfully makes any false, 
fictitious, or fraudulent statements or representations, or knowingly 
and willfully makes or uses any false writing or document knowing the 
same to contain any false, fictitious, or fraudulent statement or entry, 
shall be subject to the penalties set forth under 18 U.S.C. 1001 and any 
other applicable criminal statute, and violations of the provisions of 
this section may jeopardize the probative value of the paper; and
    (2) To the best of the party's knowledge, information and belief, 
formed after an inquiry reasonable under the circumstances,
    (i) The paper is not being presented for any improper purpose, such 
as to harass someone or to cause unnecessary delay or needless increase 
in the cost of any proceeding before the Office;
    (ii) The other legal contentions therein are warranted by existing 
law or by a nonfrivolous argument for the extension, modification, or 
reversal of existing law or the establishment of new law;
    (iii) The allegations and other factual contentions have evidentiary 
support or, if specifically so identified, are likely to have 
evidentiary support after a reasonable opportunity for further 
investigation or discovery; and
    (iv) The denials of factual contentions are warranted on the 
evidence, or if specifically so identified, are reasonably based on a 
lack of information or belief.
    (c) Violations of any of paragraphs (b)(2)(i) through (iv) of this 
section are, after notice and reasonable opportunity to respond, subject 
to such sanctions or actions as deemed appropriate by the USPTO 
Director, which may include, but are not limited to, any combination 
of--
    (1) Striking the offending paper;
    (2) Referring a practitioner's conduct to the Director of the Office 
of Enrollment and Discipline for appropriate action;
    (3) Precluding a party or practitioner from submitting a paper, or 
presenting or contesting an issue;
    (4) Affecting the weight given to the offending paper; or
    (5) Terminating the proceedings in the Office.
    (d) Any practitioner violating the provisions of this section may 
also be subject to disciplinary action.

[73 FR 47689, Aug. 14, 2008, as amended at 74 FR 54912, Oct. 26, 2009; 
78 FR 62409, Oct. 21, 2013; 86 FR 28457, May 26, 2021]



  Subpart C_Investigations and Disciplinary Proceedings; Jurisdiction, 
               Sanctions, Investigations, and Proceedings

    Source: 73 FR 47689, Aug. 14, 2008, unless otherwise noted.



Sec.11.19  Disciplinary jurisdiction; grounds for discipline and 
for transfer to disability inactive status.

    (a) Disciplinary jurisdiction. All practitioners engaged in practice 
before the Office; all practitioners administratively suspended under 
Sec.11.11; all practitioners registered or recognized to practice 
before the Office in patent matters; all practitioners resigned, 
inactivated, or in emeritus status under Sec.11.11; all practitioners 
authorized under Sec.41.5(a) or 42.10(c) of this chapter; and all 
practitioners transferred to disability inactive status or publicly 
disciplined by a duly constituted authority are subject to the 
disciplinary jurisdiction of the Office and subject to being transferred 
to disability inactive status. A non-practitioner is also subject to the 
disciplinary authority of the Office if the person engages in or offers 
to engage in practice before the Office without proper authority.
    (b) Grounds for discipline; Grounds for transfer to disability 
inactive status. The following, whether done individually by a 
practitioner or in concert with any other person or persons and whether 
or not done in the course of providing legal services to a client, or in 
a matter pending before the Office, constitute grounds for discipline or

[[Page 419]]

grounds for transfer to disability inactive status.
    (1) Grounds for discipline include:
    (i) Conviction of a serious crime;
    (ii) Discipline on ethical or professional misconduct grounds 
imposed in another jurisdiction or disciplinary disqualification from 
participating in or appearing before any Federal program or agency;
    (iii) Failure to comply with any order of a Court disciplining a 
practitioner, or any final decision of the USPTO Director in a 
disciplinary matter;
    (iv) Violation of any USPTO Rule of Professional Conduct; or
    (v) Violation of the oath or declaration taken by the practitioner. 
See Sec.11.8.
    (2) Grounds for transfer to disability inactive status include:
    (i) Being transferred to disability inactive status in another 
jurisdiction;
    (ii) Being judicially declared incompetent, being judicially ordered 
to be involuntarily committed after a hearing on the grounds of 
insanity, incompetency or disability, or being placed by court order 
under guardianship or conservatorship; or
    (iii) Filing a motion requesting a disciplinary proceeding be held 
in abeyance because the practitioner is suffering from a disability or 
addiction that makes it impossible for the practitioner to adequately 
defend the charges in the disciplinary proceeding.
    (c) Petitions to disqualify a practitioner in ex parte or inter 
partes matters in the Office are not governed by this subpart and will 
be handled on a case-by-case basis under such conditions as the USPTO 
Director deems appropriate.
    (d) The OED Director may refer the existence of circumstances 
suggesting unauthorized practice of law to the authorities in the 
appropriate jurisdiction(s).
    (e) The OED Director has the discretion to choose any of the 
independent grounds of discipline under paragraph (b) of this section 
and to pursue any of the procedures set forth in this subpart in every 
disciplinary proceeding.

[73 FR 47689, Aug. 14, 2008, as amended at 78 FR 20200, Apr. 3, 2013; 86 
FR 28457, May 26, 2021]



Sec.11.20  Disciplinary sanctions; Transfer to disability inactive 
status.

    (a) Types of discipline. The USPTO Director, after notice and 
opportunity for a hearing, and where grounds for discipline exist, may 
impose on a practitioner the following types of discipline:
    (1) Exclusion from practice before the Office;
    (2) Suspension from practice before the Office for an appropriate 
period of time;
    (3) Reprimand or censure; or
    (4) Probation. Probation may be imposed in lieu of or in addition to 
any other disciplinary sanction. The conditions of probation shall be 
stated in the order imposing probation. Violation of any condition of 
probation shall be cause for imposition of the disciplinary sanction. 
Imposition of the disciplinary sanction predicated upon violation of 
probation shall occur only after a notice to show cause why the 
disciplinary sanction should not be imposed is resolved adversely to the 
practitioner.
    (b) Conditions imposed with discipline. When imposing discipline, 
the USPTO Director may condition reinstatement upon the practitioner 
making restitution, successfully completing a professional 
responsibility course or examination, or any other condition deemed 
appropriate under the circumstances.
    (c) Transfer to disability inactive status. As set forth in Sec.
11.29, the USPTO Director, after notice and opportunity for a hearing, 
may transfer a practitioner to disability inactive status where grounds 
exist to believe the practitioner has been transferred to disability 
inactive status in another jurisdiction, has been judicially declared 
incompetent, has been judicially ordered to be involuntarily committed 
after a hearing on the grounds of incompetency or disability, or has 
been placed by court order under guardianship or conservatorship.

[73 FR 47689, Aug. 14, 2008, as amended at 78 FR 20200, Apr. 3, 2013; 86 
FR 28457, May 26, 2021]



Sec.11.21  Warnings.

    A warning is neither public nor a disciplinary sanction. The OED 
Director may conclude an investigation with the issuance of a warning. 
The warning shall contain a statement of facts and

[[Page 420]]

identify the USPTO Rules of Professional Conduct relevant to the facts.

[86 FR 28458, May 26, 2021]



Sec.11.22  Disciplinary investigations.

    (a) The OED Director is authorized to investigate possible grounds 
for discipline. An investigation may be initiated when the OED Director 
receives a grievance, information or evidence from any source suggesting 
possible grounds for discipline. Neither unwillingness nor neglect by a 
grievant to prosecute a charge, nor settlement, compromise, or 
restitution with the grievant, shall in itself justify abatement of an 
investigation.
    (b) Any person possessing information or evidence concerning 
possible grounds for discipline of a practitioner may report the 
information or evidence to the OED Director. The OED Director may 
request that the report be presented in the form of an affidavit or 
declaration.
    (c) Notice to the OED Director. Upon receiving the notification 
required by Sec.11.24(a), 11.25(a), or 11.29(a), the OED Director 
shall obtain a certified copy of the record or order regarding such 
discipline, disqualification, conviction, or transfer. A certified copy 
of the record or order regarding the discipline, disqualification, 
conviction, or transfer shall be clear and convincing evidence that the 
practitioner has been disciplined, disqualified, convicted of a crime, 
or transferred to disability status by another jurisdiction.
    (d) Preliminary screening of information or evidence. The OED 
Director shall examine all information or evidence concerning possible 
grounds for discipline of a practitioner.
    (e) Notification of investigation. The OED Director shall notify the 
practitioner in writing of the initiation of an investigation into 
whether a practitioner has engaged in conduct constituting possible 
grounds for discipline.
    (f) Request for information and evidence by OED Director.
    (1) In the course of the investigation, the OED Director may request 
information and evidence regarding possible grounds for discipline of a 
practitioner from:
    (i) The grievant,
    (ii) The practitioner, or
    (iii) Any person who may reasonably be expected to provide 
information and evidence needed in connection with the grievance or 
investigation.
    (2) The OED Director may request information and evidence regarding 
possible grounds for discipline of a practitioner from a non-grieving 
client either after obtaining the consent of the practitioner or upon a 
finding by a Contact Member of the Committee on Discipline, appointed in 
accordance with Sec.11.23(d), that good cause exists to believe that 
the possible ground for discipline alleged has occurred with respect to 
non-grieving clients. Neither a request for, nor disclosure of, such 
information shall constitute a violation of any USPTO Rules of 
Professional Conduct.
    (g) Where the OED Director makes a request under paragraph (f)(2) of 
this section to a Contact Member of the Committee on Discipline, such 
Contact Member shall not, with respect to the practitioner connected to 
the OED Director's request, participate in the Committee on Discipline 
panel that renders a probable cause determination under Sec.11.23(b) 
concerning such practitioner.
    (h) Disposition of investigation. Upon the conclusion of an 
investigation, the OED Director may take appropriate action, including 
but not limited to:
    (1) Closing the investigation without issuing a warning or taking 
disciplinary action;
    (2) Issuing a warning to the practitioner;
    (3) Instituting formal charges upon the approval of the Committee on 
Discipline; or
    (4) Entering into a settlement agreement with the practitioner and 
submitting the same for approval of the USPTO Director.
    (i) Closing investigation. The OED Director shall terminate an 
investigation and decline to refer a matter to the Committee on 
Discipline if the OED Director determines that:
    (1) The information or evidence is unfounded;
    (2) The information or evidence relates to matters not within the 
jurisdiction of the Office;
    (3) As a matter of law, the conduct about which information or 
evidence

[[Page 421]]

has been obtained does not constitute grounds for discipline, even if 
the conduct may involve a legal dispute; or
    (4) The available evidence is insufficient to conclude that there is 
probable cause to believe that grounds exist for discipline.

[73 FR 47689, Aug. 14, 2008, as amended at 77 FR 45251, July 31, 2012; 
78 FR 20200, Apr. 3, 2013; 86 FR 28458, May 26, 2021]



Sec.11.23  Committee on Discipline.

    (a) The USPTO Director shall appoint a Committee on Discipline. The 
Committee on Discipline shall consist of at least three employees of the 
Office. None of the Committee members shall report directly or 
indirectly to the OED Director or any employee designated by the USPTO 
Director to decide disciplinary matters. Each Committee member shall be 
a member in good standing of the bar of the highest court of a State. 
The Committee members shall select a Chairperson from among themselves. 
Three Committee members will constitute a panel of the Committee.
    (b) Powers and duties of the Committee on Discipline. The Committee 
shall have the power and duty to:
    (1) Meet in panels at the request of the OED Director and, after 
reviewing evidence presented by the OED Director, by majority vote of 
the panel, determine whether there is probable cause to bring charges 
under Sec.11.32 against a practitioner; and
    (2) Prepare and forward its own probable cause findings and 
recommendations to the OED Director.
    (c) No discovery shall be authorized of, and no member of the 
Committee on Discipline shall be required to testify about deliberations 
of, the Committee on Discipline or of any panel.
    (d) The Chairperson shall appoint the members of the panels and a 
Contact Member of the Committee on Discipline.



Sec.11.24  Reciprocal discipline.

    (a) Notice to the OED Director. Within 30 days of being publicly 
censured, publicly reprimanded, subjected to probation, disbarred or 
suspended by another jurisdiction, or disciplinarily disqualified from 
participating in or appearing before any Federal program or agency, a 
practitioner subject to the disciplinary jurisdiction of the Office 
shall notify the OED Director in writing of the same. A practitioner is 
deemed to be disbarred if he or she is disbarred, is excluded on 
consent, or has resigned in lieu of discipline or a disciplinary 
proceeding. Upon receiving notification from any source or otherwise 
learning that a practitioner subject to the disciplinary jurisdiction of 
the Office has been publicly censured, publicly reprimanded, subjected 
to probation, disbarred, suspended, or disciplinarily disqualified, the 
OED Director shall obtain a certified copy of the record or order 
regarding the public censure, public reprimand, probation, disbarment, 
suspension, or disciplinary disqualification. A certified copy of the 
record or order regarding the discipline shall establish a prima facie 
case by clear and convincing evidence that the practitioner has been 
publicly censured, publicly reprimanded, subjected to probation, 
disbarred, suspended, or disciplinarily disqualified by another 
jurisdiction. In addition to the actions identified in Sec.11.22(h) 
and (i), the OED Director may, without Committee on Discipline 
authorization, file with the USPTO Director a complaint complying with 
Sec.11.34 against the practitioner predicated upon the public censure, 
public reprimand, probation, disbarment, suspension, or disciplinary 
disqualification. The OED Director may request the USPTO Director to 
issue a notice and order as set forth in paragraph (b) of this section.
    (b) Notification served on practitioner. Upon receipt of the 
complaint and request for notice and order, the USPTO Director shall 
issue a notice directed to the practitioner in accordance with Sec.
11.35 and to the OED Director containing:
    (1) A copy of the record or order regarding the public censure, 
public reprimand, probation, disbarment, suspension or disciplinary 
disqualification;
    (2) A copy of the complaint; and
    (3) An order directing the practitioner to file a response with the 
USPTO Director and the OED Director, within forty days of the date of 
the notice establishing a genuine issue of material fact predicated upon 
the grounds set forth in paragraphs (d)(1)(i) through

[[Page 422]]

(d)(1)(iv) of this section that the imposition of the identical public 
censure, public reprimand, probation, disbarment, suspension or 
disciplinary disqualification would be unwarranted and the reasons for 
that claim.
    (c) Effect of stay in another jurisdiction. In the event the public 
censure, public reprimand, probation, disbarment, suspension imposed by 
another jurisdiction or disciplinary disqualification imposed in the 
Federal program or agency has been stayed, any reciprocal discipline 
imposed by the USPTO may be deferred until the stay expires.
    (d) Hearing and discipline to be imposed. (1) The USPTO Director 
shall hear the matter on the documentary record unless the USPTO 
Director determines that an oral hearing is necessary. The USPTO 
Director may order the OED Director or the practitioner to supplement 
the record with further information or argument. After expiration of the 
period specified in paragraph (b)(3) of this section, the USPTO Director 
shall consider the record and shall impose the identical public censure, 
public reprimand, probation, disbarment, suspension, or disciplinary 
disqualification unless the practitioner demonstrates by clear and 
convincing evidence, and the USPTO Director finds there is a genuine 
issue of material fact that:
    (i) The procedure elsewhere was so lacking in notice or opportunity 
to be heard as to constitute a deprivation of due process;
    (ii) There was such infirmity of proof establishing the conduct as 
to give rise to the clear conviction that the Office could not, 
consistently with its duty, accept as final the conclusion on that 
subject;
    (iii) The imposition of the same public censure, public reprimand, 
probation, disbarment, suspension or disciplinary disqualification by 
the Office would result in grave injustice; or
    (iv) Any argument that the practitioner was not publicly censured, 
publicly reprimanded, placed on probation, disbarred, suspended or 
disciplinarily disqualified.
    (2) If the USPTO Director determines that there is no genuine issue 
of material fact, the USPTO Director shall enter an appropriate final 
order. If the USPTO Director is unable to make such determination 
because there is a genuine issue of material fact, the USPTO Director 
shall enter an appropriate order:
    (i) Referring the complaint to a hearing officer for a formal 
hearing and entry of an initial decision in accordance with the other 
rules in this part, and
    (ii) Directing the practitioner to file an answer to the complaint 
in accordance with Sec.11.36.
    (e) Adjudication in another jurisdiction or Federal agency or 
program. In all other respects, a final adjudication, regardless of the 
evidentiary standard, in another jurisdiction or Federal agency or 
program that a practitioner, whether or not admitted in that 
jurisdiction, has committed misconduct shall establish a prima facie 
case by clear and convincing evidence that the practitioner has engaged 
in misconduct under Sec.11.804(h).
    (f) Reciprocal discipline--action where practice has ceased. Upon 
request by the practitioner, reciprocal discipline may be imposed nunc 
pro tunc only if the practitioner promptly notified the OED Director of 
his or her censure, public reprimand, probation, disbarment, suspension 
or disciplinary disqualification in another jurisdiction, and 
establishes by clear and convincing evidence that the practitioner 
voluntarily ceased all activities related to practice before the Office 
and complied with all provisions of Sec.11.58. The effective date of 
any public censure, public reprimand, probation, suspension, disbarment 
or disciplinary disqualification imposed nunc pro tunc shall be the date 
the practitioner voluntarily ceased all activities related to practice 
before the Office and complied with all provisions of Sec.11.58.
    (g) Reinstatement following reciprocal discipline proceeding. A 
practitioner may petition for reinstatement under conditions set forth 
in Sec.11.60 no sooner than completion of the period of reciprocal 
discipline imposed, and compliance with all provisions of Sec.11.58.

[73 FR 47689, Aug. 14, 2008, as amended at 78 FR 20200, Apr. 3, 2013; 86 
FR 28458, May 26, 2021]

[[Page 423]]



Sec.11.25  Interim suspension and discipline based upon conviction 
of committing a serious crime.

    (a) Notice to the OED Director. Upon being convicted of a crime in a 
court of the United States, any State, or a foreign country, a 
practitioner subject to the disciplinary jurisdiction of the Office 
shall notify the OED Director in writing of the same within 30 days from 
the date of such conviction. Notwithstanding the preceding sentence, a 
practitioner is not required to notify the OED Director of a traffic 
offense that did not involve the use of alcohol or a controlled 
substance, did not result in a fine in excess of $300, and did not 
result in the imposition of any other punishment. Upon being advised or 
learning that a practitioner subject to the disciplinary jurisdiction of 
the Office has been convicted of a crime, the OED Director shall make a 
preliminary determination whether the crime constitutes a serious crime 
warranting interim suspension. If the crime is a serious crime, the OED 
Director may file with the USPTO Director proof of the conviction and 
request the USPTO Director to issue a notice and order set forth in 
paragraph (b)(2) of this section. The OED Director may, in addition, 
without Committee on Discipline authorization, file with the USPTO 
Director a complaint complying with Sec.11.34 against the practitioner 
predicated upon the conviction of a serious crime. If the crime is not a 
serious crime, the OED Director may process the matter in the same 
manner as any other information or evidence of a possible violation of 
any USPTO Rule of Professional Conduct coming to the attention of the 
OED Director.
    (b) Interim suspension and referral for disciplinary proceeding. All 
proceedings under this section shall be handled as expeditiously as 
possible.
    (1) The USPTO Director has authority to place a practitioner on 
interim suspension after hearing the request for interim suspension on 
the documentary record.
    (2) Notification served on practitioner. Upon receipt of a certified 
copy of the court record, docket entry, or judgment demonstrating that 
the practitioner has been so convicted, together with the complaint, the 
USPTO Director shall issue a notice directed to the practitioner in 
accordance with Sec.11.35, and to the OED Director, containing:
    (i) A copy of the court record, docket entry, or judgment of 
conviction;
    (ii) A copy of the complaint; and
    (iii) An order directing the practitioner to file a response with 
the USPTO Director and the OED Director, within forty days of the date 
of the notice, establishing that there is a genuine issue of material 
fact that the crime did not constitute a serious crime, the practitioner 
is not the individual found guilty of the crime, or that the conviction 
was so lacking in notice or opportunity to be heard as to constitute a 
deprivation of due process.
    (3) Hearing and final order on request for interim suspension. The 
request for interim suspension shall be heard by the USPTO Director on 
the documentary record unless the USPTO Director determines that the 
practitioner's response establishes by clear and convincing evidence a 
genuine issue of material fact that: The crime did not constitute a 
serious crime, the practitioner is not the person who committed the 
crime, or the conviction was so lacking in notice or opportunity to be 
heard as to constitute a deprivation of due process. The USPTO Director 
may order the OED Director or the practitioner to supplement the record 
with further information or argument. If the USPTO Director determines 
that there is no genuine issue of material fact, the USPTO Director 
shall enter an appropriate final order regarding the OED Director's 
request for interim suspension regardless of the pendency of any 
criminal appeal. If the USPTO Director is unable to make such 
determination because there is a genuine issue of material fact, the 
USPTO Director shall enter a final order dismissing the request and 
enter a further order referring the complaint to a hearing officer for a 
hearing and entry of an initial decision in accordance with the other 
rules in this part and directing the practitioner to file an answer to 
the complaint in accordance with Sec.11.36.
    (4) Termination. The USPTO Director has authority to terminate an 
interim suspension. In the interest of justice, the USPTO Director may 
terminate an interim suspension at any time upon a

[[Page 424]]

showing of extraordinary circumstances, after affording the OED Director 
an opportunity to respond to the request to terminate interim 
suspension.
    (5) Referral for disciplinary proceeding. Upon entering a final 
order imposing interim suspension, the USPTO Director shall refer the 
complaint to a hearing officer to conduct a formal disciplinary 
proceeding. The formal disciplinary proceeding, however, shall be stayed 
by the hearing officer until all direct appeals from the conviction are 
concluded. Review of the initial decision of the hearing officer shall 
be pursuant to Sec.11.55.
    (c) Proof of conviction and guilt--(1) Conviction in the United 
States. For purposes of a hearing for interim suspension and a hearing 
on the formal charges in a complaint filed as a consequence of the 
conviction, a certified copy of the court record, docket entry, or 
judgment of conviction in a court of the United States or any State 
shall establish a prima facie case by clear and convincing evidence that 
the practitioner was convicted of a serious crime and that the 
conviction was not lacking in notice or opportunity to be heard as to 
constitute a deprivation of due process.
    (2) Conviction in a foreign country. For purposes of a hearing for 
interim suspension and on the formal charges filed as a result of a 
finding of guilt, a certified copy of the court record, docket entry, or 
judgment of conviction in a court of a foreign country shall establish a 
prima facie case by clear and convincing evidence that the practitioner 
was convicted of a serious crime and that the conviction was not lacking 
in notice or opportunity to be heard as to constitute a deprivation of 
due process. However, nothing in this paragraph shall preclude the 
practitioner from demonstrating by clear and convincing evidence in any 
hearing on a request for interim suspension there is a genuine issue of 
material fact to be considered when determining if the elements of a 
serious crime were committed in violating the criminal law of the 
foreign country and whether a disciplinary sanction should be entered.
    (d) Crime determined not to be serious crime. If the USPTO Director 
determines that the crime is not a serious crime, the complaint shall be 
referred to the OED Director for investigation under Sec.11.22 and 
processing as is appropriate.
    (e) Reinstatement--(1) Upon reversal or setting aside a finding of 
guilt or a conviction. If a practitioner suspended solely under the 
provisions of paragraph (b) of this section demonstrates that the 
underlying finding of guilt or conviction of serious crimes has been 
reversed or vacated, the order for interim suspension shall be vacated 
and the practitioner shall be placed on active status unless the finding 
of guilt was reversed or the conviction was set aside with respect to 
less than all serious crimes for which the practitioner was found guilty 
or convicted. The vacating of the interim suspension will not terminate 
any other disciplinary proceeding then pending against the practitioner, 
the disposition of which shall be determined by the hearing officer 
before whom the matter is pending, on the basis of all available 
evidence other than the finding of guilt or conviction.
    (2) Following conviction of a serious crime. Any practitioner 
convicted of a serious crime and disciplined in whole or in part in 
regard to that conviction, may petition for reinstatement under the 
conditions set forth in Sec.11.60 no earlier than after completion of 
service of his or her sentence, or after completion of service under 
probation or parole, whichever is later.
    (f) Notice to clients and others of interim suspension. An interim 
suspension under this section shall constitute a suspension of the 
practitioner for the purpose of Sec.11.58.

[73 FR 47689, Aug. 14, 2008, as amended at 78 FR 20200, Apr. 3, 2013; 86 
FR 28458, May 26, 2021]



Sec.11.26  Settlement.

    Before or after a complaint under Sec.11.34 is filed, a settlement 
conference may occur between the OED Director and the practitioner. Any 
offers of compromise and any statements made during the course of 
settlement discussions shall not be admissible in subsequent 
proceedings. The OED Director

[[Page 425]]

may recommend to the USPTO Director any settlement terms deemed 
appropriate, including steps taken to correct or mitigate the matter 
forming the basis of the action, or to prevent recurrence of the same or 
similar conduct. A settlement agreement shall be effective only upon 
entry of a final decision by the USPTO Director.



Sec.11.27  Exclusion on consent.

    (a) Required affidavit. The OED Director may confer with a 
practitioner concerning possible violations by the practitioner of the 
Rules of Professional Conduct whether or not a disciplinary proceeding 
has been instituted. A practitioner who is the subject of an 
investigation or a pending disciplinary proceeding based on allegations 
of grounds for discipline, and who desires to resign, may only do so by 
consenting to exclusion and delivering to the OED Director an affidavit 
declaring the consent of the practitioner to exclusion and stating:
    (1) That the practitioner's consent is freely and voluntarily 
rendered, that the practitioner is not being subjected to coercion or 
duress, and that the practitioner is fully aware of the implications of 
consenting to exclusion;
    (2) That the practitioner is aware that there is currently pending 
an investigation into, or a proceeding involving allegations of 
misconduct, the nature of which shall be specifically set forth in the 
affidavit to the satisfaction of the OED Director;
    (3) That the practitioner acknowledges that, if and when he or she 
applies for reinstatement under Sec.11.60, the OED Director will 
conclusively presume, for the limited purpose of determining the 
application for reinstatement, that:
    (i) The facts upon which the investigation or complaint is based are 
true, and
    (ii) The practitioner could not have successfully defended himself 
or herself against the allegations in the investigation or charges in 
the complaint.
    (b) Action by the USPTO Director. Upon receipt of the required 
affidavit, the OED Director shall file the affidavit and any related 
papers with the USPTO Director for review and approval. The USPTO 
Director may order the OED Director or the practitioner to supplement 
the record with further information or argument. The OED Director may 
also file comments in response to the affidavit. If the affidavit is 
approved, the USPTO Director will enter an order excluding the 
practitioner on consent and providing other appropriate actions. Upon 
entry of the order, the excluded practitioner shall comply with the 
requirements set forth in Sec.11.58.
    (c) [Reserved]
    (d) Reinstatement. Any practitioner excluded on consent under this 
section may not petition for reinstatement for five years. A 
practitioner excluded on consent who intends to reapply for admission to 
practice before the Office must comply with the provisions of Sec.
11.58, and apply for reinstatement in accordance with Sec.11.60. 
Failure to comply with the provisions of Sec.11.58 constitutes grounds 
for denying an application for reinstatement.

[73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28459, May 26, 2021]



Sec.11.28  Incapacitated practitioners in a disciplinary proceeding.

    (a) Holding in abeyance a disciplinary proceeding because of 
incapacitation due to a current disability or addiction-- (1) 
Practitioner's motion. In the course of a disciplinary proceeding under 
Sec.11.32, the practitioner may file a motion requesting the hearing 
officer to enter an order holding such proceeding in abeyance based on 
the contention that the practitioner is suffering from a disability or 
addiction that makes it impossible for the practitioner to adequately 
defend the charges in the disciplinary proceeding.
    (i) Content of practitioner's motion. The practitioner's motion 
shall, in addition to any other requirement of Sec.11.43, include or 
have attached thereto:
    (A) A brief statement of all material facts;
    (B) Affidavits, medical reports, official records, or other 
documents and the opinion of at least one medical expert setting forth 
and establishing any of the material facts on which the practitioner is 
relying;

[[Page 426]]

    (C) A statement that the practitioner acknowledges the alleged 
incapacity by reason of disability or addiction;
    (D) Written consent by the practitioner to be transferred to 
disability inactive status if the motion is granted; and
    (E) Written agreement by the practitioner not to practice before the 
Office in patent, trademark, or other non-patent matters while in 
disability inactive status.
    (ii) Response. The OED Director's response to any motion hereunder 
shall be served and filed within thirty days after service of the 
practitioner's motion unless such time is shortened or enlarged by the 
hearing officer for good cause shown, and shall set forth the following:
    (A) All objections, if any, to the actions requested in the motion;
    (B) An admission, denial or allegation of lack of knowledge with 
respect to each of the material facts in the practitioner's motion and 
accompanying documents; and
    (C) Affidavits, medical reports, official records, or other 
documents setting forth facts on which the OED Director intends to rely 
for purposes of disputing or denying any material fact set forth in the 
practitioner's papers.
    (2) Disposition of practitioner's motion. The hearing officer shall 
decide the motion and any response thereto. The motion shall be granted 
upon a showing of good cause to believe the practitioner to be 
incapacitated as alleged. If the required showing is made, the hearing 
officer shall enter an order holding the disciplinary proceeding in 
abeyance. In the case of addiction to drugs or intoxicants, the order 
may provide that the practitioner will not be returned to active status 
absent satisfaction of specified conditions. Upon receipt of the order, 
the OED Director shall transfer the practitioner to disability inactive 
status, give notice to the practitioner, cause notice to be published, 
and give notice to appropriate authorities in the Office that the 
practitioner has been placed in disability inactive status. The 
practitioner shall comply with the provisions of Sec.11.58 and shall 
not engage in practice before the Office in patent, trademark, and other 
non-patent law until a determination is made of the practitioner's 
capability to resume practice before the Office in a proceeding under 
paragraph (c) or (d) of this section. A practitioner in disability 
inactive status must obtain permission from the OED Director to engage 
in paralegal activity permitted under Sec.11.58(h). Permission will be 
granted only if the practitioner has complied with all the conditions of 
Sec.11.58 applicable to disability inactive status. In the event that 
permission is granted, the practitioner shall fully comply with the 
provisions of Sec.11.58(h).
    (b) Motion for reactivation. Any practitioner transferred to 
disability inactive status in a disciplinary proceeding may file with 
the hearing officer a motion for reactivation once a year beginning at 
any time not less than one year after the initial effective date of 
inactivation, or once during any shorter interval provided by the order 
issued pursuant to paragraph (a)(2) of this section or any modification 
thereof. If the motion is granted, the disciplinary proceeding shall 
resume under such schedule as may be established by the hearing officer.
    (c) Contents of motion for reactivation. A motion by the 
practitioner for reactivation alleging that a practitioner has recovered 
from a prior disability or addiction shall be accompanied by all 
available medical reports or similar documents relating thereto. The 
hearing officer may require the practitioner to present such other 
information as is necessary.
    (d) OED Director's motion to resume disciplinary proceeding held in 
abeyance. (1) The OED Director, having good cause to believe a 
practitioner is no longer incapacitated, may file a motion requesting 
the hearing officer to terminate a prior order holding in abeyance any 
pending proceeding because of the practitioner's disability or 
addiction. The hearing officer shall decide the matter presented by the 
OED Director's motion hereunder based on the affidavits and other 
admissible evidence attached to the OED Director's motion and the 
practitioner's response. The OED Director bears the burden of showing by 
clear and convincing evidence that the practitioner is able to defend 
himself or herself. If there is

[[Page 427]]

any genuine issue as to one or more material facts, the hearing officer 
will hold an evidentiary hearing.
    (2) The hearing officer, upon receipt of the OED Director's motion 
under paragraph (d)(1) of this section, may direct the practitioner to 
file a response. If the hearing officer requires the practitioner to 
file a response, the practitioner must present clear and convincing 
evidence that the prior self-alleged disability or addiction continues 
to make it impossible for the practitioner to defend himself or herself 
in the underlying proceeding being held in abeyance.
    (e) Action by the hearing officer. If, in deciding a motion under 
paragraph (b) or (d) of this section, the hearing officer determines 
that there is good cause to believe the practitioner is not 
incapacitated from defending himself or herself, or is not incapacitated 
from practicing before the Office, the hearing officer shall take such 
action as is deemed appropriate, including the entry of an order 
directing the reactivation of the practitioner and resumption of the 
disciplinary proceeding.

[73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28459, May 26, 2021]



Sec.11.29  Reciprocal transfer or initial transfer to disability
inactive status.

    (a) Notice to the OED Director--(1) Transfer to disability inactive 
status in another jurisdiction as grounds for reciprocal transfer by the 
Office. Within 30 days of being transferred to disability inactive 
status in another jurisdiction, a practitioner subject to the 
disciplinary jurisdiction of the Office shall notify the OED Director in 
writing of the transfer. Upon notification from any source that a 
practitioner subject to the disciplinary jurisdiction of the Office has 
been transferred to disability inactive status in another jurisdiction, 
the OED Director shall obtain a certified copy of the order. If the OED 
Director finds that transfer to disability inactive status is 
appropriate, the OED Director shall file with the USPTO Director:
    (i) The order;
    (ii) A request that the practitioner be transferred to disability 
inactive status, including the specific grounds therefor; and
    (iii) A request that the USPTO Director issue a notice and order as 
set forth in paragraph (b) of this section.
    (2) Involuntary commitment, adjudication of incompetency, or court 
ordered placement under guardianship or conservatorship as grounds for 
initial transfer to disability inactive status. Within 30 days of being 
judicially declared incompetent, judicially ordered to be involuntarily 
committed after a hearing on the grounds of incompetency or disability, 
or placed by court order under guardianship or conservatorship in 
another jurisdiction, a practitioner subject to the disciplinary 
jurisdiction of the Office shall notify the OED Director in writing of 
such judicial action. Upon notification from any source that a 
practitioner subject to the disciplinary jurisdiction of the Office has 
been subject to such judicial action, the OED Director shall obtain a 
certified copy of the order. If the OED Director finds that transfer to 
disability inactive status is appropriate, the OED Director shall file 
with the USPTO Director:
    (i) The order;
    (ii) A request that the practitioner be transferred to disability 
inactive status, including the specific grounds therefor; and
    (iii) A request that the USPTO Director issue a notice and order as 
set forth in paragraph (b) of this section.
    (b) Notice served on practitioner. Upon receipt of a certified copy 
of an order or declaration issued by another jurisdiction demonstrating 
that a practitioner subject to the disciplinary jurisdiction of the 
Office has been transferred to disability inactive status, judicially 
declared incompetent, judicially ordered to be involuntarily committed 
after a judicial hearing on the grounds of incompetency or disability, 
or placed by court order under guardianship or conservatorship, together 
with the OED Director's request, the USPTO Director shall issue a 
notice, comporting with Sec.11.35, directed to the practitioner 
containing:
    (1) A copy of the order or declaration from the other jurisdiction;
    (2) A copy of the OED Director's request; and

[[Page 428]]

    (3) An order directing the practitioner to file a response with the 
USPTO Director and the OED Director, within 40 days from the date of the 
notice, establishing by clear and convincing evidence a genuine issue of 
material fact supported by an affidavit and predicated upon the grounds 
set forth in paragraphs (d)(1)(i) through (d)(1)(iv) of this section 
that a transfer to disability inactive status would be unwarranted and 
the reasons therefor.
    (c) Effect of stay of transfer, judicially declared incompetence, 
judicially ordered involuntarily commitment on the grounds of 
incompetency or disability, or court-ordered placement under 
guardianship or conservatorship. In the event the transfer, judicially 
declared incompetence, judicially ordered involuntary commitment on the 
grounds of incompetency or disability, or court-ordered placement under 
guardianship or conservatorship in the other jurisdiction has been 
stayed there, any reciprocal transfer or transfer by the Office may be 
deferred until the stay expires.
    (d) Transfer to disability inactive status. (1) The request for 
transfer to disability inactive status shall be heard by the USPTO 
Director on the documentary record unless the USPTO Director determines 
that there is a genuine issue of material fact, in which case the USPTO 
Director may deny the request. The USPTO Director may order the OED 
Director or the practitioner to supplement the record with further 
information or argument. After expiration of the period specified in 
paragraph (b)(3) of this section, and after completion of any 
supplemental hearings, the USPTO Director shall consider any timely 
filed response and impose the identical transfer to disability inactive 
status based on the practitioner's transfer to disability status in 
another jurisdiction or shall transfer the practitioner to disability 
inactive status based on judicially declared incompetence, judicially 
ordered involuntary commitment on the grounds of incompetency or 
disability, or court-ordered placement under guardianship or 
conservatorship, unless the practitioner demonstrates by clear and 
convincing evidence, and the USPTO Director finds there is a genuine 
issue of material fact that:
    (i) The procedure was so lacking in notice or opportunity to be 
heard as to constitute a deprivation of due process;
    (ii) There was such infirmity of proof establishing the transfer to 
disability status, judicial declaration of incompetence, judicial order 
for involuntary commitment on the grounds of incompetency or disability, 
or placement by court order under guardianship or conservatorship that 
the USPTO Director could not, consistent with the Office's duty, accept 
as final the conclusion on that subject;
    (iii) The imposition of the same disability status or transfer to 
disability status by the USPTO Director would result in grave injustice; 
or
    (iv) The practitioner is not the individual transferred to 
disability status, judicially declared incompetent, judicially ordered 
for involuntary commitment on the grounds of incompetency or disability, 
or placed by court order under guardianship or conservatorship.
    (2) If the USPTO Director determines that there is no genuine issue 
of material fact with regard to any of the elements of paragraphs 
(d)(1)(i) through (d)(1)(iv) of this section, the USPTO Director shall 
enter an appropriate final order. If the USPTO Director is unable to 
make that determination because there is a genuine issue of material 
fact, the USPTO Director shall enter an appropriate order dismissing the 
OED Director's request for such reason.
    (e) Adjudication in other jurisdiction. In all other aspects, a 
final adjudication in another jurisdiction that a practitioner be 
transferred to disability inactive status, is judicially declared 
incompetent, is judicially ordered to be involuntarily committed on the 
grounds of incompetency or disability, or is placed by court order under 
guardianship or conservatorship shall establish the disability for 
purposes of a reciprocal transfer to or transfer to disability status 
before the Office.
    (f) A practitioner who is transferred to disability inactive status 
under this section shall be deemed to have been refused recognition to 
practice before the Office for purposes of 35 U.S.C. 32.
    (g) Order imposing reciprocal transfer to disability inactive status 
or order imposing initial transfer to disability inactive

[[Page 429]]

status. An order by the USPTO Director imposing reciprocal transfer to 
disability inactive status or transferring a practitioner to disability 
inactive status shall be effective immediately and shall be for an 
indefinite period until further order of the USPTO Director. A copy of 
the order transferring a practitioner to disability inactive status 
shall be served upon the practitioner, the practitioner's guardian, and/
or the director of the institution to which the practitioner has been 
committed in the manner the USPTO Director may direct. A practitioner 
reciprocally transferred or transferred to disability inactive status 
shall comply with the provisions of this section and Sec.11.58 and 
shall not engage in practice before the Office in patent, trademark, and 
other non-patent law unless and until reinstated to active status.
    (h) Confidentiality of proceeding; Orders to be public--(1) 
Confidentiality of proceeding. All proceedings under this section 
involving allegations of disability of a practitioner shall be kept 
confidential until and unless the USPTO Director enters an order 
reciprocally transferring or transferring the practitioner to disability 
inactive status.
    (2) Orders to be public. The OED Director shall publicize any 
reciprocal transfer to disability inactive status or transfer to 
disability inactive status in the same manner as for the imposition of 
public discipline.
    (i) Employment of practitioners on disability inactive status. A 
practitioner in disability inactive status must obtain permission from 
the OED Director to engage in paralegal activity permitted under Sec.
11.58(h). Permission will be granted only if the practitioner has 
complied with all the conditions of Sec.11.58 applicable to disability 
inactive status. In the event that permission is granted, the 
practitioner shall fully comply with the provisions of Sec.11.58(h).
    (j) Reinstatement from disability inactive status. (1) Generally. No 
practitioner reciprocally transferred or transferred to disability 
inactive status under this section may resume active status except by 
order of the OED Director.
    (2) Petition. A practitioner reciprocally transferred or transferred 
to disability inactive status shall be entitled to petition the OED 
Director for transfer to active status once a year, or at whatever 
shorter intervals the USPTO Director may direct in the order 
transferring or reciprocally transferring the practitioner to disability 
inactive status or any modification thereof.
    (3) Examination. Upon the filing of a petition for transfer to 
active status, the OED Director may take or direct whatever action is 
deemed necessary or proper to determine whether the incapacity has been 
removed, including a direction for an examination of the practitioner by 
qualified medical or psychological experts designated by the OED 
Director. The expense of the examination shall be paid and borne by the 
practitioner.
    (4) Required disclosure, waiver of privilege. With the filing of a 
petition for reinstatement to active status, the practitioner shall be 
required to disclose the name of each psychiatrist, psychologist, 
physician and hospital or other institution by whom or in which the 
practitioner has been examined or treated for the disability since the 
transfer to disability inactive status. The practitioner shall furnish 
to the OED Director written consent to the release of information and 
records relating to the incapacity if requested by the OED Director.
    (5) Learning in the law, examination. The OED Director may direct 
that the practitioner establish proof of competence and learning in law, 
which proof may include passing the registration examination.
    (6) Granting of petition for transfer to active status. The OED 
Director shall grant the petition for transfer to active status upon a 
showing by clear and convincing evidence that the incapacity has been 
removed.
    (7) Reinstatement in other jurisdiction. If a practitioner is 
reciprocally transferred to disability inactive status on the basis of a 
transfer to disability inactive status in another jurisdiction, the OED 
Director may dispense with further evidence that the disability has been 
removed and may immediately direct reinstatement to active status upon 
such terms as are deemed proper and advisable.

[[Page 430]]

    (8) Judicial declaration of competency. If a practitioner is 
transferred to disability inactive status on the basis of a judicially 
declared incompetence, judicially ordered involuntary commitment on the 
grounds of incompetency or disability, or court-ordered placement under 
guardianship or conservatorship has been declared to be competent, the 
OED Director may dispense with further evidence that the incapacity to 
practice law has been removed and may immediately direct reinstatement 
to active status.

[73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28459, May 26, 2021]



Sec. Sec.11.30-11.31  [Reserved]



Sec.11.32  Instituting a disciplinary proceeding.

    If after conducting an investigation under Sec.11.22(a), the OED 
Director is of the opinion that grounds exist for discipline under Sec.
11.19(b), the OED Director, after complying where necessary with the 
provisions of 5 U.S.C. 558(c), may convene a meeting of a panel of the 
Committee on Discipline. If convened, the panel of the Committee on 
Discipline shall then determine as specified in Sec.11.23(b) whether 
there is probable cause to bring disciplinary charges. If the panel of 
the Committee on Discipline determines that probable cause exists to 
bring charges, the OED Director may institute a disciplinary proceeding 
by filing a complaint under Sec.11.34.

[78 FR 20201, Apr. 3, 2013]



Sec.11.33  [Reserved]



Sec.11.34  Complaint.

    (a) A complaint instituting a disciplinary proceeding shall:
    (1) Name the person who is the subject of the complaint who may then 
be referred to as the ``respondent'';
    (2) Give a plain and concise description of the respondent's alleged 
grounds for discipline;
    (3) State the place and time, not less than thirty days from the 
date the complaint is filed, for filing an answer by the respondent;
    (4) State that a decision by default may be entered if an answer is 
not timely filed by the respondent; and
    (5) Be signed by the OED Director.
    (b) A complaint will be deemed sufficient if it fairly informs the 
respondent of any grounds for discipline, and where applicable, the 
USPTO Rules of Professional Conduct that form the basis for the 
disciplinary proceeding so that the respondent is able to adequately 
prepare a defense.
    (c) The complaint shall be filed in the manner prescribed by the 
USPTO Director. The term ``filed'' means the delivery, mailing, or 
electronic transmission of a document to a hearing officer or designee 
in connection with a disciplinary complaint or related matter.
    (d) Time for filing a complaint. A complaint shall be filed within 
one year after the date on which the OED Director receives a grievance 
forming the basis of the complaint. No complaint shall be filed more 
than ten years after the date on which the misconduct forming the basis 
for the proceeding occurred.
    (e) Tolling agreements. The one-year period for filing a complaint 
under paragraph (d) of this section shall be tolled if the involved 
practitioner and the OED Director agree in writing to such tolling.

[73 FR 47689, Aug. 14, 2008, as amended at 77 FR 45251, July 31, 2012; 
78 FR 20201, Apr. 3, 2013; 86 FR 28460, May 26, 2021]



Sec.11.35  Service of complaint.

    (a) A complaint may be served on a respondent by any of the 
following methods:
    (1) By delivering a copy of the complaint personally to the 
respondent, in which case the individual who delivers the complaint to 
the respondent shall file an affidavit with the OED Director indicating 
the time and place the complaint was delivered to the respondent.
    (2) By mailing a copy of the complaint by Priority Mail 
Express[supreg], first-class mail, or any delivery service that provides 
confirmation of delivery or attempted delivery to:
    (i) A respondent who is a registered practitioner at the address 
provided to OED pursuant to Sec.11.11, or
    (ii) A respondent who is not registered at the last address for the 
respondent known to the OED Director.

[[Page 431]]

    (3) By any method mutually agreeable to the OED Director and the 
respondent.
    (4) In the case of a respondent who resides outside the United 
States, by sending a copy of the complaint by any delivery service that 
provides the ability to confirm delivery or attempted delivery, to:
    (i) A respondent who is a registered practitioner at the address 
provided to OED pursuant to Sec.11.11; or
    (ii) A respondent who is not registered at the last address for the 
respondent known to the OED Director.
    (b) If a copy of the complaint cannot be delivered to the respondent 
through any one of the procedures in paragraph (a) of this section, the 
OED Director shall serve the respondent by causing an appropriate notice 
to be published in the Official Gazette for two consecutive weeks, in 
which case the time for filing an answer shall be 30 days from the 
second publication of the notice. Failure to timely file an answer will 
constitute an admission of the allegations in the complaint in 
accordance with Sec.11.36(d), and the hearing officer may enter an 
initial decision on default.
    (c) If the respondent is known to the OED Director to be represented 
by an attorney under Sec.11.40(a), a copy of the complaint may be 
served on the attorney in lieu of service on the respondent in the 
manner provided for in paragraph (a) or (b) of this section.

[86 FR 28460, May 26, 2021]



Sec.11.36  Answer to complaint.

    (a) Time for answer. An answer to a complaint shall be filed within 
the time set in the complaint but in no event shall that time be less 
than thirty days from the date the complaint is filed.
    (b) With whom filed. The answer shall be filed in writing with the 
hearing officer at the address specified in the complaint. The hearing 
officer may extend the time for filing an answer once for a period of no 
more than thirty days upon a showing of good cause, provided a motion 
requesting an extension of time is filed within thirty days after the 
date the complaint is served on respondent. A copy of the answer, and 
any exhibits or attachments thereto, shall be served on the OED 
Director.
    (c) Content. The respondent shall include in the answer a statement 
of the facts that constitute the grounds of defense and shall 
specifically admit or deny each allegation set forth in the complaint. 
The respondent shall not deny a material allegation in the complaint 
that the respondent knows to be true or state that respondent is without 
sufficient information to form a belief as to the truth of an 
allegation, when in fact the respondent possesses that information. The 
respondent shall also state affirmatively in the answer special matters 
of defense and any intent to raise a disability as a mitigating factor. 
If respondent intends to raise a special matter of defense or 
disability, the answer shall specify the defense or disability, its 
nexus to the misconduct, and the reason it provides a defense or 
mitigation. A respondent who fails to do so cannot rely on a special 
matter of defense or disability. The hearing officer may, for good 
cause, allow the respondent to file the statement late, grant additional 
hearing preparation time, or make other appropriate orders.
    (d) Failure to deny allegations in complaint. Every allegation in 
the complaint that is not denied by a respondent in the answer shall be 
deemed to be admitted and may be considered proven. The hearing officer 
at any hearing need receive no further evidence with respect to that 
allegation.
    (e) Default judgment. Failure to timely file an answer will 
constitute an admission of the allegations in the complaint and may 
result in entry of default judgment.



Sec.11.37  [Reserved]



Sec.11.38  Contested case.

    Upon the filing of an answer by the respondent, a disciplinary 
proceeding shall be regarded as a contested case within the meaning of 
35 U.S.C. 24. Evidence obtained by a subpoena issued under 35 U.S.C. 24 
shall not be admitted into the record or considered unless leave to 
proceed under 35 U.S.C. 24 was previously authorized by the hearing 
officer.

[[Page 432]]



Sec.11.39  Hearing officer; responsibilities; review of interlocutory
orders; stays.

    (a) Designation. A hearing officer designated by the USPTO Director 
shall conduct disciplinary proceedings as provided by this part.
    (b) Independence of the hearing officer. (1) A hearing officer 
designated in accordance with paragraph (a) of this section shall not be 
subject to first-level or second-level supervision by either the USPTO 
Director or OED Director or his or her designee.
    (2) A hearing officer designated in accordance with paragraph (a) of 
this section shall not be subject to supervision of the person(s) 
investigating or prosecuting the case.
    (3) A hearing officer designated in accordance with paragraph (a) of 
this section shall be impartial, shall not be an individual who has 
participated in any manner in the decision to initiate the proceedings, 
and shall not have been employed under the immediate supervision of the 
practitioner.
    (4) A hearing officer designated in accordance with paragraph (a) of 
this section shall be either an administrative law judge appointed under 
5 U.S.C. 3105 or an attorney designated under 35 U.S.C. 32. The hearing 
officer shall possess suitable experience and training in conducting 
hearings, reaching a determination, and rendering an initial decision in 
an equitable manner.
    (c) Responsibilities. The hearing officer shall have authority, 
consistent with specific provisions of these regulations, to:
    (1) Administer oaths and affirmations;
    (2) Make rulings upon motions and other requests;
    (3) Rule upon offers of proof, receive relevant evidence, and 
examine witnesses;
    (4) Authorize the taking of a deposition of a witness in lieu of 
personal appearance of the witness before the hearing officer;
    (5) Determine the time and place of any hearing and regulate its 
course and conduct;
    (6) Hold or provide for the holding of conferences to settle or 
simplify the issues;
    (7) Receive and consider oral or written arguments on facts or law;
    (8) Adopt procedures and modify procedures for the orderly 
disposition of proceedings;
    (9) Make initial decisions under Sec. Sec.11.25 and 11.54; and
    (10) Perform acts and take measures as necessary to promote the 
efficient, timely, and impartial conduct of any disciplinary proceeding.
    (d) Time for making initial decision. The hearing officer shall set 
times and exercise control over a disciplinary proceeding such that an 
initial decision under Sec.11.54 is normally issued within nine months 
of the date a complaint is filed. The hearing officer may, however, 
issue an initial decision more than nine months after a complaint is 
filed if there exist circumstances, in his or her opinion, that preclude 
issuance of an initial decision within nine months of the filing of the 
complaint.
    (e) Review of interlocutory orders. The USPTO Director will not 
review an interlocutory order of a hearing officer except:
    (1) When the hearing officer shall be of the opinion:
    (i) That the interlocutory order involves a controlling question of 
procedure or law as to which there is a substantial ground for a 
difference of opinion, and
    (ii) That an immediate decision by the USPTO Director may materially 
advance the ultimate termination of the disciplinary proceeding, or
    (2) In an extraordinary situation where the USPTO Director deems 
that justice requires review.
    (f) Stays pending review of interlocutory order. If the OED Director 
or a respondent seeks review of an interlocutory order of a hearing 
officer under paragraph (e)(2) of this section, any time period set by 
the hearing officer for taking action shall not be stayed unless ordered 
by the USPTO Director or the hearing officer.
    (g) The hearing officer shall engage in no ex parte discussions with 
any party on the merits of the complaint,

[[Page 433]]

beginning with appointment and ending when the final agency decision is 
issued.

[73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28461, May 26, 2021]



Sec.11.40  Representative for OED Director or respondent.

    (a) A respondent may represent himself or herself, or be represented 
by an attorney before the Office in connection with an investigation or 
disciplinary proceeding. The attorney shall file a written declaration 
that he or she is an attorney within the meaning of Sec.11.1 and shall 
state:
    (1) The address to which the attorney wants correspondence related 
to the investigation or disciplinary proceeding sent, and
    (2) A telephone number where the attorney may be reached during 
normal business hours.
    (b) The Deputy General Counsel for Intellectual Property and 
Solicitor and attorneys in the Office of the Solicitor shall represent 
the OED Director. The attorneys representing the OED Director in 
disciplinary proceedings shall not consult with the USPTO Director, the 
General Counsel, the Deputy General Counsel for General Law, or an 
individual designated by the USPTO Director to decide disciplinary 
matters regarding the proceeding.
    (c) The General Counsel and the Deputy General Counsel for General 
Law shall remain screened from the investigation and prosecution of all 
disciplinary proceedings in order that they shall be available as 
counsel to the USPTO Director in deciding disciplinary proceedings 
unless access is appropriate to perform their duties. After a final 
decision is entered in a disciplinary proceeding, the OED Director and 
attorneys representing the OED Director shall be available to counsel 
the USPTO Director, the General Counsel, and the Deputy General Counsel 
for General Law in any further proceedings.

[73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28461, May 26, 2021]



Sec.11.41  Filing of papers.

    (a) The provisions of Sec. Sec.1.8 and 2.197 of this chapter do 
not apply to disciplinary proceedings. All papers filed after the 
complaint and prior to entry of an initial decision by the hearing 
officer shall be filed with the hearing officer at an address or place 
designated by the hearing officer. The term ``filed'' means the 
delivery, mailing, or electronic transmission of a document to a hearing 
officer or designee in connection with a disciplinary complaint or 
related matter.
    (b) All papers filed after entry of an initial decision by the 
hearing officer shall be filed with the USPTO Director. A copy of the 
paper shall be served on the OED Director. The hearing officer or the 
OED Director may provide for filing papers and other matters by hand, by 
Priority Mail Express[supreg], or by other means.

[69 FR 35452, June 24, 2004, as amended at 79 FR 63042, Oct. 22, 2014; 
86 FR 28461, May 26, 2021]



Sec.11.42  Service of papers.

    (a) All papers other than a complaint shall be served on a 
respondent who is represented by an attorney by:
    (1) Delivering a copy of the paper to the office of the attorney; or
    (2) Mailing a copy of the paper by first-class mail, Priority Mail 
Express[supreg], or other delivery service to the attorney at the 
address provided by the attorney under Sec.11.40(a)(1); or
    (3) Any other method mutually agreeable to the attorney and a 
representative for the OED Director.
    (b) All papers other than a complaint shall be served on a 
respondent who is not represented by an attorney by:
    (1) Delivering a copy of the paper to the respondent; or
    (2) Mailing a copy of the paper by first-class mail, Priority Mail 
Express[supreg], or other delivery service to the respondent at the 
address to which a complaint may be served or such other address as may 
be designated in writing by the respondent; or
    (3) Any other method mutually agreeable to the respondent and a 
representative for the OED Director.
    (c) A respondent shall serve on the representative for the OED 
Director one copy of each paper filed with the hearing officer or the 
OED Director. A paper may be served on the representative for the OED 
Director by:

[[Page 434]]

    (1) Delivering a copy of the paper to the representative; or
    (2) Mailing a copy of the paper by first-class mail, Priority Mail 
Express[supreg], or other delivery service to an address designated in 
writing by the representative; or
    (3) Any other method mutually agreeable to the respondent and the 
representative.
    (d) Each paper filed in a disciplinary proceeding shall contain 
therein a certificate of service indicating:
    (1) The date on which service was made; and
    (2) The method by which service was made.
    (e) The hearing officer or the USPTO Director may require that a 
paper be served by hand or by Priority Mail Express[supreg].
    (f) Service by mail is completed when the paper mailed in the United 
States is placed into the custody of the U.S. Postal Service.

[79 FR 63042, Oct. 22, 2014]



Sec.11.43  Motions before a hearing officer.

    Motions, including all prehearing motions commonly filed under the 
Federal Rules of Civil Procedure, shall be served on the opposing party 
and filed with the hearing officer. Each motion shall be accompanied by 
a written memorandum setting forth a concise statement of the facts and 
supporting reasons, along with a citation of the authorities upon which 
the movant relies. Unless extended by the tribunal for good cause, an 
opposing party shall serve and file a memorandum in response to the 
motion within 21 days of the date of service of the motion, and the 
moving party may file a reply memorandum within 14 days after service of 
the opposing party's responsive memorandum. All memoranda shall be 
double-spaced and written in 12-point font unless otherwise ordered by 
the hearing officer. Every motion must include a statement that the 
moving party or attorney for the moving party has conferred with the 
opposing party or attorney for the opposing party in a good-faith effort 
to resolve the issues raised by the motion and whether the motion is 
opposed. If, prior to a decision on the motion, the parties resolve 
issues raised by a motion presented to the hearing officer, the parties 
shall promptly notify the hearing officer.

[86 FR 28461, May 26, 2021]



Sec.11.44  Hearings.

    (a) The hearing officer shall preside over hearings in disciplinary 
proceedings. After the time for filing an answer has elapsed, the 
hearing officer shall set the time and place for the hearing. In cases 
involving an incarcerated respondent, any necessary oral hearing may be 
held at the location of incarceration. Oral hearings will be 
stenographically recorded and transcribed, and the testimony of 
witnesses will be received under oath or affirmation. The hearing 
officer shall conduct the hearing as if the proceeding were subject to 5 
U.S.C. 556. A copy of the transcript of the hearing shall become part of 
the record. A copy of the transcript shall be provided to the OED 
Director and the respondent at the expense of the Office.
    (b) If the respondent to a disciplinary proceeding fails to appear 
at the hearing after a notice of hearing has been issued by the hearing 
officer, the hearing officer may deem the respondent to have waived the 
opportunity for a hearing and may proceed with the hearing in the 
absence of the respondent. Where the respondent does not appear, the 
hearing officer may strike the answer or any other pleading, deem the 
respondent to have admitted the facts as alleged in the complaint, 
receive evidence in aggravation or mitigation, enter a default judgment, 
and/or enter an initial decision imposing discipline on the respondent.
    (c) A hearing under this section will not be open to the public 
except that the hearing officer may grant a request by a respondent to 
open his or her hearing to the public and make the record of the 
disciplinary proceeding available for public inspection, provided, a 
protective order is entered to exclude from public disclosure 
information which is privileged or confidential under applicable laws or 
regulations.

[73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28461, May 26, 2021]

[[Page 435]]



Sec.11.45  Amendment of pleadings.

    The OED Director may, without Committee on Discipline authorization, 
but with the authorization of the hearing officer, amend the complaint 
to include additional charges based upon conduct committed before or 
after the complaint was filed. If amendment of the complaint is 
authorized, the hearing officer shall authorize amendment of the answer. 
Any party who would otherwise be prejudiced by the amendment will be 
given reasonable opportunity to meet the allegations in the complaint or 
answer as amended, and the hearing officer shall make findings on any 
issue presented by the complaint or answer as amended.



Sec. Sec.11.46-11.48  [Reserved]



Sec.11.49  Burden of proof.

    In a disciplinary proceeding, the OED Director shall have the burden 
of proving the violation by clear and convincing evidence and a 
respondent shall have the burden of proving any affirmative defense by 
clear and convincing evidence.



Sec.11.50  Evidence.

    (a) Rules of evidence. The rules of evidence prevailing in courts of 
law and equity are not controlling in hearings in disciplinary 
proceedings. However, the hearing officer shall exclude evidence that is 
irrelevant, immaterial, speculative, or unduly repetitious.
    (b) Depositions. Depositions of witnesses taken pursuant to Sec.
11.51 may be admitted as evidence.
    (c) Government documents. Official documents, records, and papers of 
the Office, including, but not limited to, all papers in the file of a 
disciplinary investigation, are admissible without extrinsic evidence of 
authenticity. These documents, records, and papers may be evidenced by a 
copy certified as correct by an employee of the Office.
    (d) Exhibits. If any document, record, or other paper is introduced 
in evidence as an exhibit, the hearing officer may authorize the 
withdrawal of the exhibit subject to any conditions the hearing officer 
deems appropriate.
    (e) Objections. Objections to evidence will be in short form, 
stating the grounds of objection. Objections and rulings on objections 
will be a part of the record. No exception to the ruling is necessary to 
preserve the rights of the parties.

[73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28462, May 26, 2021]



Sec.11.51  Depositions.

    (a) Depositions for use at the hearing in lieu of the personal 
appearance of a witness before the hearing officer may be taken by the 
respondent or the OED Director by agreement; or upon a showing of good 
cause and with the approval of, and under such conditions as may be 
deemed appropriate by, the hearing officer. If a motion to take a 
deposition is granted, the hearing officer shall authorize a subpoena to 
be issued pursuant to 35 U.S.C. 24. If the deponent is a USPTO employee, 
the respondent shall comply with the requirements of part 104 of this 
chapter.
    (b) A party seeking a deposition shall give reasonable notice of not 
less than 14 days unless a shorter period is agreed upon by the parties 
or authorized by the hearing officer. The notice shall state the date, 
time, and place of the deposition.
    (c) Depositions may be taken upon oral or written questions before 
any officer authorized to administer an oath or affirmation in the place 
where the deposition is to be taken. Deposition expenses shall be borne 
by the party at whose instance the deposition is taken.
    (d) When a deposition is taken upon written questions, copies of the 
written questions will be served upon the other party with the notice, 
and copies of any written cross-questions will be served by hand or 
Priority Mail Express[supreg] not less than five days before the date of 
the taking of the deposition unless the parties mutually agree 
otherwise.
    (e) Testimony by deposition may be recorded by audiovisual means 
provided that:
    (1) The notice of deposition states that the method of recording is 
audiovisual, and
    (2) A written transcript of the deposition is prepared by a court 
reporter who was present at the deposition and recorded the testimony.

[[Page 436]]

    (f) A party on whose behalf a deposition is taken shall file with 
the hearing officer a copy of a transcript of the deposition signed by a 
court reporter and a copy of any audiovisual recording and shall serve 
one copy of the transcript and any audiovisual recording upon the 
opposing party.
    (g) Depositions may not be taken to obtain discovery, except as 
provided for in paragraph (h) of this section.
    (h) When the OED Director and the respondent agree in writing, a 
discovery deposition of any witness who will appear voluntarily may be 
taken under such terms and conditions as may be mutually agreeable to 
the OED Director and the respondent. The deposition shall not be filed 
with the hearing officer and may not be admitted into evidence before 
the hearing officer unless he or she orders the deposition admitted into 
evidence. The admissibility of the deposition shall lie within the 
discretion of the hearing officer, who may reject the deposition on any 
reasonable basis, including the fact that demeanor is involved and that 
the witness should have been called to appear personally before the 
hearing officer.

[86 FR 28462, May 26, 2021]



Sec.11.52  Written discovery.

    (a) After an answer is filed under Sec.11.36, a party may seek 
written discovery of only relevant evidence. The party seeking written 
discovery shall file a motion under Sec.11.43 explaining in detail, 
for each request made, how the discovery sought is reasonable and 
relevant to an issue actually raised in the complaint or the answer. The 
motion shall include a copy of the proposed written discovery requests. 
Any response shall include specific objections to each request, if any. 
Any objection not raised in the response will be deemed to have been 
waived.
    (b) If the hearing officer concludes that the proposed written 
discovery is reasonable and relevant, the hearing officer, under such 
conditions as he or she deems appropriate, may order an opposing party, 
within 30 days, or longer if so ordered by the hearing officer, to:
    (1) Answer a reasonable number of requests for admission, including 
requests for admission as to the genuineness of documents;
    (2) Answer a reasonable number of interrogatories;
    (3) Produce for inspection and copying a reasonable number of 
documents; and
    (4) Produce for inspection a reasonable number of things other than 
documents.
    (c) Discovery shall not be authorized under paragraph (a) of this 
section of any matter that:
    (1) Will be used by another party solely for impeachment;
    (2) Is not available to the party under 35 U.S.C. 122;
    (3) Relates to any other disciplinary proceeding before the Office;
    (4) Relates to experts;
    (5) Is privileged; or
    (6) Relates to mental impressions, conclusions, opinions, or legal 
theories of any attorney or other representative of a party.
    (d) The hearing officer may deny discovery requested under paragraph 
(a) of this section if the discovery sought:
    (1) Will unduly delay the disciplinary proceeding;
    (2) Will place an undue burden on the party required to produce the 
discovery sought; or
    (3) Consists of information that is available:
    (i) Generally to the public,
    (ii) Equally to the parties, or
    (iii) To the party seeking the discovery through another source.
    (e) A request for admission will be deemed admitted if the party to 
whom the request is directed fails to respond or object to the request 
within the time allowed.
    (f) The hearing officer may require parties to file and serve, prior 
to any hearing, a pre-hearing statement that contains:
    (1) A list (together with a copy) of all proposed exhibits to be 
used in connection with a party's case-in-chief;
    (2) A list of proposed witnesses;
    (3) As to each proposed expert witness:
    (i) An identification of the field in which the individual will be 
qualified as an expert,

[[Page 437]]

    (ii) A statement as to the subject matter on which the expert is 
expected to testify,
    (iii) A complete statement of all opinions to which the expert is 
expected to testify and the basis and reasons for them, and
    (iv) A description of all facts or data considered by the expert in 
forming the opinions; and
    (4) Copies of memoranda reflecting the respondent's own statements 
to administrative representatives.

[86 FR 28462, May 26, 2021]



Sec.11.53  Proposed findings and conclusions; post-hearing memorandum.

    (a) Except in cases in which the respondent has failed to answer the 
complaint or the amended complaint, or appear at a hearing, the hearing 
officer, prior to making an initial decision, shall afford the parties a 
reasonable opportunity to submit proposed findings and conclusions and a 
post-hearing memorandum in support of the proposed findings and 
conclusions.
    (b) The OED Director shall serve and file a post-hearing memorandum 
within 30 days after the hearing transcript has been filed with the 
hearing officer. The respondent shall have 30 days after service of the 
OED Director's post-hearing memorandum to file a responsive post-hearing 
memorandum. The OED Director may file a reply memorandum within 21 days 
after service of any responsive post-hearing memorandum.
    (c) The respondent shall serve and file a post-hearing memorandum 
with respect to any asserted affirmative defenses, or other matters for 
which the respondent bears the burden of proof, within 30 days after the 
hearing transcript has been filed with the hearing officer. The OED 
Director shall have 30 days after service of the respondent's post-
hearing memorandum to file a responsive post-hearing memorandum. The 
respondent may file a reply memorandum within 21 days after service of 
any responsive post-hearing memorandum.
    (d) The OED Director's and the respondent's responsive post-hearing 
memoranda shall be limited to 50 pages, 12-point font, double-spacing, 
and one-inch margins, and the reply memoranda shall be limited to 25 
pages, 12-point font, double-spacing, and one-inch margins, unless 
otherwise ordered by the hearing officer.
    (e) The hearing officer may extend the time for filing a post-
hearing memorandum and may also increase the page limits, for good cause 
shown.

[86 FR 28463, May 26, 2021]



Sec.11.54  Initial decision of hearing officer.

    (a) The hearing officer shall make an initial decision in the case. 
The decision will include:
    (1) A statement of findings of fact and conclusions of law, as well 
as the reasons or bases for those findings and conclusions with specific 
references to the record, upon all the material issues of fact, law, or 
discretion presented on the record; and
    (2) An order of default judgment, of suspension or exclusion from 
practice, of reprimand, of probation, or an order dismissing the 
complaint. The order also may impose any conditions deemed appropriate 
under the circumstances.
    (b) The initial decision of the hearing officer shall explain the 
reason for any default judgment, reprimand, suspension, exclusion, or 
probation and shall explain any conditions imposed with discipline. In 
determining any sanction, the following four factors shall be considered 
if they are applicable:
    (1) Whether the practitioner has violated a duty owed to a client, 
the public, the legal system, or the profession;
    (2) Whether the practitioner acted intentionally, knowingly, or 
negligently;
    (3) The amount of the actual or potential injury caused by the 
practitioner's misconduct; and
    (4) The existence of any aggravating or mitigating factors.
    (c) The hearing officer shall transmit a copy of the initial 
decision to the OED Director and to the respondent and shall transmit 
the record of the proceeding to the OED Director within 14 days, or as 
soon as practicable if thereafter, of the date of the initial decision.
    (d) In the absence of an appeal to the USPTO Director, the decision 
of the hearing officer will, without further proceedings, become the 
final decision

[[Page 438]]

of the USPTO Director 30 days from the date of the decision of the 
hearing officer.

[86 FR 28463, May 26, 2021]



Sec.11.55  Appeal to the USPTO Director.

    (a) Within 14 days after the date of the initial decision of the 
hearing officer under Sec. Sec.11.25 or 11.54, either party may appeal 
to the USPTO Director by filing a notice of appeal. The notice shall be 
filed with the General Counsel for the USPTO Director at the address set 
forth in Sec.1.1(a)(3)(iv) of this chapter and served on the opposing 
party. If both parties file notices of appeal, the first to file is 
deemed the appellant for purposes of this rule. If both file on the same 
day, the respondent is deemed the appellant.
    (b) Any notice of cross-appeal shall be filed within 14 days after 
the date of service of the notice of appeal.
    (c) After a notice of appeal is filed, the OED Director shall 
transmit the entire record to the USPTO Director and provide a copy to 
the respondent.
    (d) The appellant's brief shall be filed within 30 days after the 
date of service of the record.
    (e) Any appellee's brief shall be filed within 30 days after the 
date of service of the appellant's brief.
    (f) The appellant's and appellee's briefs shall comply with the 
Federal Rules of Appellate Procedure 28(a)(2), (3), (5), (10), and 
32(a)(4)-(7) unless otherwise ordered by the USPTO Director.
    (g) Any reply brief shall be filed within 14 days after the date of 
service of the appellee's brief and, unless otherwise ordered by the 
USPTO Director, shall comply with Rules 28(c) and 32(a)(4)-(7) of the 
Federal Rules of Appellate Procedure.
    (h) If a cross-appeal has been filed, the parties shall comply with 
Rules 28.1(c), (e), and (f) of the Federal Rules of Appellate Procedure 
unless otherwise ordered by the USPTO Director.
    (i) References to the record in the briefs must be to the pages of 
the certified record.
    (j) An appeal or cross-appeal must include exceptions to the 
decisions of the hearing officer and supporting reasons for those 
exceptions. Any exception not raised will be deemed to have been waived 
and will be disregarded by the USPTO Director in reviewing the initial 
decision.
    (k) The USPTO Director may refuse entry of a nonconforming brief.
    (l) The USPTO Director will decide the appeal on the record made 
before the hearing officer.
    (m) Unless the USPTO Director permits, no further briefs or motions 
shall be filed. The USPTO Director may extend the time for filing a 
brief upon the granting of a motion accompanied by a supporting 
affidavit setting forth good cause warranting the extension.
    (n) The USPTO Director may order reopening of a disciplinary 
proceeding in accordance with the principles that govern the granting of 
new trials. Any request to reopen a disciplinary proceeding on the basis 
of newly discovered evidence must demonstrate that the newly discovered 
evidence could not have been discovered any earlier by due diligence.
    (o) Motions shall be served on the opposing party and filed with the 
USPTO Director. Each motion shall be accompanied by a written memorandum 
setting forth a concise statement of the facts and supporting reasons, 
along with a citation of the authorities upon which the movant relies. 
Unless extended by the USPTO Director for good cause, within 21 days of 
the date of service of the motion, an opposing party shall serve and 
file a response to the motion, and the moving party may file a reply 
within 14 days after service of the opposing party's responsive 
memorandum. All memoranda shall comply with Rules 32(a)(4)-(6) of the 
Federal Rules of Appellate Procedure unless otherwise ordered by the 
USPTO Director. Every motion must include a statement that the moving 
party or attorney for the moving party has conferred with the opposing 
party or attorney for the opposing party in a good faith effort to 
resolve the issues raised by the motion and whether the motion is 
opposed. If, prior to a decision on the motion, the parties resolve 
issues raised by a motion presented to the USPTO Director, the parties 
shall promptly notify the USPTO Director.

[86 FR 28463, May 26, 2021]

[[Page 439]]



Sec.11.56  Decision of the USPTO Director.

    (a) The USPTO Director shall decide an appeal from an initial 
decision of the hearing officer. On appeal from the initial decision, 
the USPTO Director has authority to conduct a de novo review of the 
factual record. The USPTO Director may affirm, reverse, or modify the 
initial decision or remand the matter to the hearing officer for such 
further proceedings as the USPTO Director may deem appropriate. In 
making a final decision, the USPTO Director shall review the record or 
the portions of the record designated by the parties. The USPTO Director 
shall transmit a copy of the final decision to the OED Director and to 
the respondent.
    (b) A final decision of the USPTO Director may dismiss a 
disciplinary proceeding, reverse or modify the initial decision, 
reprimand a practitioner, or may suspend or exclude the practitioner 
from practice before the Office. A final decision suspending or 
excluding a practitioner shall require compliance with the provisions of 
Sec.11.58. The final decision may also condition the reinstatement of 
the practitioner upon a showing that the practitioner has taken steps to 
correct or mitigate the matter forming the basis of the action, or to 
prevent recurrence of the same or similar conduct.
    (c) The respondent or the OED Director may make a single request for 
reconsideration or modification of the decision by the USPTO Director if 
filed within 20 days from the date of entry of the decision. The other 
party may file a response to the request for reconsideration within 14 
days of the filing of the request. No request for reconsideration or 
modification shall be granted unless the request is based on newly 
discovered evidence or clear error of law or fact, and the requestor 
must demonstrate that any newly discovered evidence could not have been 
discovered any earlier by due diligence. Such a request shall have the 
effect of staying the effective date of the order of discipline in the 
final decision. The decision by the USPTO Director is effective on its 
date of entry.

[73 FR 47689, Aug. 14, 2008, as amended at 86 FR 28464, May 26, 2021]



Sec.11.57  Review of final decision of the USPTO Director.

    (a) Review of the final decision by the USPTO Director in a 
disciplinary case may be had by a petition filed in accordance with 35 
U.S.C. 32. Any such petition shall be filed within 30 days after the 
date of the final decision.
    (b) The respondent must serve the USPTO Director with the petition. 
The respondent must serve the petition in accordance with Rule 4 of the 
Federal Rules of Civil Procedure and Sec.104.2 of this chapter.
    (c) Except as provided for in Sec.11.56(c), an order for 
discipline in a final decision will not be stayed except on proof of 
exceptional circumstances.

[86 FR 28464, May 26, 2021]



Sec.11.58  Duties of disciplined practitioner or practitioner in 
disability inactive status.

    (a) Compliance requirements. An excluded or suspended practitioner 
will not be automatically reinstated at the end of his or her period of 
exclusion or suspension. Unless otherwise ordered by the USPTO Director, 
an excluded or suspended practitioner must comply with the provisions of 
this section and Sec.11.60 to be reinstated. A practitioner 
transferred to disability inactive status must comply with the 
provisions of this section and Sec.11.29 to be reinstated unless 
otherwise ordered by the USPTO Director. Failure to comply with the 
provisions of this section may constitute grounds for denying 
reinstatement and cause for further action.
    (b) Practice prohibitions. Any excluded or suspended practitioner, 
or practitioner transferred to disability inactive status, shall:
    (1) Not engage in practice before the Office in patent, trademark, 
or other non-patent matters;
    (2) Not advertise or otherwise hold himself or herself out as 
authorized or able to practice before the Office; and
    (3) Take all necessary steps to remove any advertisements or other 
representations that would reasonably suggest that the practitioner is 
authorized or able to practice before the Office.

[[Page 440]]

    (c) Thirty-day requirements. Within 30 days after the date of the 
order of exclusion, suspension, or transfer to disability inactive 
status, an excluded or suspended practitioner, or practitioner 
transferred to disability inactive status, shall:
    (1) Withdraw from representation in all matters pending before the 
Office;
    (2) Provide written notice of the order of exclusion, suspension, or 
transfer to disability inactive status to all State and Federal 
jurisdictions and administrative agencies to which the practitioner is 
admitted to practice;
    (3) Provide to all clients having immediate or prospective business 
before the Office in patent, trademark, or other non-patent matters:
    (i) Written notice of the order of exclusion, suspension, or 
transfer to disability inactive status, that calls attention to the 
practitioner's lack of authority to act as a practitioner after the 
effective date of the order; specifies any urgent dates for the client's 
matters; and advises the client to act promptly to seek legal advice 
elsewhere if the client is not already represented by another 
practitioner;
    (ii) Any papers or other property to which the clients are entitled, 
or schedule a suitable time and place where the papers and other 
property may be obtained, and call attention to any urgency for 
obtaining the papers or other property; and
    (iii) Any unearned fees for practice before the Office and any 
advanced costs not expended;
    (4) Provide written notice of the order of exclusion, suspension, or 
transfer to disability inactive status to all opposing parties in 
matters pending before the Office and provide in the notice a mailing 
address for each client of the practitioner who is a party in the 
pending matter; and
    (5) Serve all notices required by paragraphs (c)(2), (c)(3), and 
(c)(4) of this section by certified mail, return receipt requested, 
unless the intended recipient is located outside the United States. 
Where the intended recipient is located outside the United States, all 
notices shall be sent by a delivery service that provides the ability to 
confirm delivery or attempted delivery.
    (d) Forty-five-day requirements. Within 45 days after the date of 
the order of exclusion, suspension, or transfer to disability inactive 
status, an excluded or suspended practitioner, or practitioner 
transferred to disability inactive status, shall file with the OED 
Director an affidavit of compliance certifying that the practitioner has 
fully complied with the provisions of the order, with this section, and 
with Sec.11.116 for withdrawal from representation. Appended to the 
affidavit of compliance shall be:
    (1) A copy of each form of notice; the names and addresses of the 
clients, practitioners, courts, and agencies to which notices were sent; 
and all return receipts or returned mail received up to the date of the 
affidavit. Supplemental affidavits shall be filed covering subsequent 
return receipts and returned mail. Such names and addresses of clients 
shall remain confidential unless otherwise ordered by the USPTO 
Director;
    (2) A schedule showing the location, title, and account number of 
every account in which the practitioner holds, or held as of the entry 
date of the order, any client, trust, or fiduciary funds for practice 
before the Office;
    (3) A schedule describing, and evidence showing, the practitioner's 
disposition of all client and fiduciary funds for practice before the 
Office in the practitioner's possession, custody, or control as of the 
date of the order or thereafter;
    (4) A list of all State, Federal, and administrative jurisdictions 
to which the practitioner is admitted to practice; and
    (5) A description of the steps taken to remove any advertisements or 
other representations that would reasonably suggest that the 
practitioner is authorized to practice patent, trademark, or other non-
patent law before the Office.
    (e) Requirement to update correspondence address. An excluded or 
suspended practitioner, or a practitioner transferred to disability 
inactive status, shall continue to file a statement in accordance with 
Sec.11.11 regarding any change of residence or other address to which 
communications may thereafter be directed.

[[Page 441]]

    (f) Limited recognition for winding up practice. Unless otherwise 
provided by an order of the USPTO Director, an excluded or suspended 
practitioner, or practitioner transferred to disability inactive status, 
shall not engage in any practice before the Office. The USPTO Director 
may grant such a practitioner limited recognition for a period of no 
more than 30 days to conclude work on behalf of a client on any matters 
pending before the Office. If such work cannot be concluded, the 
practitioner shall so advise the client so that the client may make 
other arrangements.
    (g) Required records. An excluded or suspended practitioner, or 
practitioner transferred to disability inactive status, shall retain 
copies of all notices sent and maintain records of the various steps 
taken under this section. The practitioner shall provide proof of 
compliance as a condition precedent to the granting of any petition for 
reinstatement.
    (h) Aiding another practitioner while suspended or excluded; acting 
as a paralegal. An excluded or suspended practitioner, or practitioner 
in disability inactive status, may act as a paralegal for a supervising 
practitioner or perform other services for the supervising practitioner 
that are normally performed by laypersons, provided:
    (1) The practitioner is under the direct supervision of the 
supervising practitioner;
    (2) The practitioner is a salaried employee of:
    (i) The supervising practitioner,
    (ii) The supervising practitioner's law firm, or
    (iii) A client-employer who employs the supervising practitioner as 
a salaried employee;
    (3) The supervising practitioner assumes full professional 
responsibility to any client and the Office for any work performed by 
the practitioner for the supervising practitioner; and
    (4) The practitioner does not:
    (i) Communicate directly in writing, orally, or otherwise with a 
client, or prospective client, of the supervising practitioner in regard 
to any immediate or prospective business before the Office;
    (ii) Render any legal advice or any legal services in regard to any 
immediate or prospective business before the Office; or
    (iii) Meet in person with, regardless of the presence of the 
supervising practitioner:
    (A) Any Office employee in connection with the prosecution of any 
patent, trademark, or other matter before the Office;
    (B) Any client, or prospective client, of the supervising 
practitioner, the supervising practitioner's law firm, or the client-
employer of the supervising practitioner regarding immediate or 
prospective business before the Office; or
    (C) Any witness or potential witness whom the supervising 
practitioner, the supervising practitioner's law firm, or the 
supervising practitioner's client-employer may, or intends to, call as a 
witness in any proceeding before the Office. The term ``witness'' 
includes individuals who will testify orally in a proceeding before, or 
sign an affidavit or any other document to be filed in, the Office.
    (i) Reinstatement after aiding another practitioner while suspended 
or excluded. When an excluded or suspended practitioner, or practitioner 
transferred to disability inactive status, acts as a paralegal or 
performs services under paragraph (h) of this section, the practitioner 
shall not thereafter be reinstated to practice before the Office unless:
    (1) The practitioner has filed with the OED Director an affidavit 
that:
    (i) Explains in detail the precise nature of all paralegal or other 
services performed by the practitioner, and
    (ii) Shows by clear and convincing evidence that the practitioner 
has complied with the provisions of this section and all USPTO Rules of 
Professional Conduct; and
    (2) The supervising practitioner has filed with the OED Director a 
written statement that:
    (i) States that the supervising practitioner has read the affidavit 
required by paragraph (i)(1) of this section and that the supervising 
practitioner believes every statement in the affidavit to be true, and
    (ii) States that the supervising practitioner believes that the 
excluded or suspended practitioner, or practitioner

[[Page 442]]

transferred to disability inactive status, has complied with paragraph 
(h) of this section.

[86 FR 28464, May 26, 2021]



Sec.11.59  Dissemination of disciplinary and other information.

    (a) The OED Director shall inform the public of the disposition of 
each matter in which public discipline has been imposed, and of any 
other changes in a practitioner's registration status. Public discipline 
includes exclusion, as well as exclusion on consent; suspension; and 
public reprimand. Unless otherwise ordered by the USPTO Director, the 
OED Director shall give notice of public discipline and the reasons for 
the discipline to disciplinary enforcement agencies in the State where 
the practitioner is admitted to practice, to courts where the 
practitioner is known to be admitted, and the public. If public 
discipline is imposed, the OED Director shall cause a final decision of 
the USPTO Director to be published. Final decisions of the USPTO 
Director include default judgments. See Sec.11.54(a)(2). If a private 
reprimand is imposed, the OED Director shall cause a redacted version of 
the final decision to be published.
    (b) Records available to the public. Unless the USPTO Director 
orders that the proceeding or a portion of the record be kept 
confidential, the OED Director's records of every disciplinary 
proceeding where a practitioner is reprimanded, suspended, or excluded, 
including when said sanction is imposed by default judgment, shall be 
made available to the public upon written request, except that 
information may be withheld as necessary to protect the privacy of third 
parties or as directed in a protective order issued pursuant to Sec.
11.44(c). The record of a proceeding that results in a practitioner's 
transfer to disability inactive status shall not be available to the 
public.
    (c) Access to records of exclusion by consent. Unless the USPTO 
Director orders that the proceeding or a portion of the record be kept 
confidential, an order excluding a practitioner on consent under Sec.
11.27 and the affidavit required under paragraph (a) of Sec.11.27 
shall be available to the public, except that information in the order 
or affidavit may be withheld as necessary to protect the privacy of 
third parties or as directed in a protective order under Sec.11.44(c). 
The affidavit required under paragraph (a) of Sec.11.27 shall not be 
used in any other proceeding except by order of the USPTO Director or 
upon written consent of the practitioner.



Sec.11.60  Petition for reinstatement of disciplined practitioner.

    (a) Restrictions on practice. An excluded or suspended practitioner 
shall not resume the practice of patent, trademark, or other non-patent 
matters before the Office until reinstated.
    (b) Petition for reinstatement for excluded or suspended 
practitioners. An excluded or suspended practitioner shall be eligible 
to petition for reinstatement only upon expiration of the period of 
suspension or exclusion and the practitioner's full compliance with 
Sec.11.58. An excluded practitioner shall be eligible to petition for 
reinstatement no earlier than five years from the effective date of the 
exclusion.
    (c) Review of reinstatement petition. An excluded or suspended 
practitioner shall file a petition for reinstatement accompanied by the 
fee required by Sec.1.21(a)(10) of this chapter. The petition for 
reinstatement shall be filed with the OED Director. A practitioner who 
has violated any provision of Sec.11.58 shall not be eligible for 
reinstatement until a continuous period of the time in compliance with 
Sec.11.58 that is equal to the period of suspension or exclusion has 
elapsed. If the excluded or suspended practitioner is not eligible for 
reinstatement, or if the OED Director determines that the petition is 
insufficient or defective on its face, the OED Director may dismiss the 
petition. Otherwise, the OED Director shall consider the petition for 
reinstatement. The excluded or suspended practitioner seeking 
reinstatement shall have the burden of proving, by clear and convincing 
evidence, that:
    (1) The excluded or suspended practitioner has the good moral 
character and reputation, competency, and learning in law required under 
Sec.11.7 for admission;
    (2) The resumption of practice before the Office will not be 
detrimental to

[[Page 443]]

the administration of justice or subversive to the public interest; and
    (3) The practitioner, if suspended, has complied with the provisions 
of Sec.11.58 for the full period of suspension or, if excluded, has 
complied with the provisions of Sec.11.58 for at least five continuous 
years.
    (d) Petitions for reinstatement--Action by the OED Director granting 
reinstatement. (1) If the excluded or suspended practitioner is found to 
have complied with paragraphs (c)(1) through (c)(3) of this section, the 
OED Director shall enter an order of reinstatement that shall be 
conditioned on payment of the costs of the disciplinary proceeding to 
the extent set forth in paragraphs (d)(2) and (d)(3) of this section.
    (2) Payment of costs of disciplinary proceedings. Prior to 
reinstatement to practice under this section, the excluded or suspended 
practitioner shall pay the costs of the disciplinary proceeding. The 
costs imposed pursuant to this section include all of the following:
    (i) The actual expense incurred by the OED Director or the Office 
for the original and copies of any reporter's transcripts of the 
disciplinary proceeding and any fee paid for the services of the 
reporter;
    (ii) All expenses paid by the OED Director or the Office that would 
qualify as taxable costs recoverable in civil proceedings; and
    (iii) The charges determined by the OED Director to be ``reasonable 
costs'' of investigation, hearing, and review. These amounts shall serve 
to defray the costs, other than fees for services of attorneys and 
experts, of the Office of Enrollment and Discipline in the preparation 
or hearing of the disciplinary proceeding and costs incurred in the 
administrative processing of the disciplinary proceeding.
    (3) A practitioner may only be granted relief from an order 
assessing costs under this section, whether in whole or in part or by 
grant of an extension of time to pay these costs, upon grounds of 
hardship, special circumstances, or other good cause at the discretion 
of the OED Director.
    (e) Petitions for reinstatement--Action by the OED Director denying 
reinstatement. If the excluded or suspended practitioner is found unfit 
to resume practice before the Office, the OED Director shall first 
provide the excluded or suspended practitioner with an opportunity to 
show cause in writing why the petition should not be denied. If 
unpersuaded by the showing, the OED Director shall deny the petition. In 
addition to the reinstatement provisions set forth in this section, the 
OED Director may require the excluded or suspended practitioner, in 
meeting the requirements of paragraph (c)(1) of this section, to take 
and pass the registration examination; attend ethics, substance abuse, 
or law practice management courses; and/or take and pass the Multistate 
Professional Responsibility Examination.
    (f) Right to review. An excluded or suspended practitioner 
dissatisfied with a final decision of the OED Director regarding his or 
her reinstatement may seek review by the USPTO Director pursuant to 
Sec.11.2(d).
    (g) Resubmission of petitions for reinstatement. If a petition for 
reinstatement is denied, no further petition for reinstatement may be 
filed until the expiration of at least one year following the denial 
unless the order of denial provides otherwise.
    (h) Reinstatement proceedings open to public. (1) Proceedings on any 
petition for reinstatement shall be open to the public. Before 
reinstating any excluded or suspended practitioner, the OED Director 
shall publish a notice that such practitioner seeks reinstatement and 
shall permit the public a reasonable opportunity to comment or submit 
evidence regarding such matter.
    (2) Up to 90 days prior to the expiration of the period of 
suspension or exclusion, a practitioner may file a written notice of his 
or her intent to seek reinstatement with the OED Director and may 
request that such notice be published. In the absence of such a request, 
notice of a petition for reinstatement will be published upon receipt of 
such petition.

[86 FR 28465, May 26, 2021]

[[Page 444]]



Sec. Sec.11.61-11.99  [Reserved]



              Subpart D_USPTO Rules of Professional Conduct

    Source: 78 FR 20201, Apr. 3, 2013, unless otherwise noted.



Sec.11.100  [Reserved]

                    Client-Practitioner Relationship



Sec.11.101  Competence.

    A practitioner shall provide competent representation to a client. 
Competent representation requires the legal, scientific, and technical 
knowledge, skill, thoroughness and preparation reasonably necessary for 
the representation.



Sec.11.102  Scope of representation and allocation of authority 
between client and practitioner.

    (a) Subject to paragraphs (c) and (d) of this section, a 
practitioner shall abide by a client's decisions concerning the 
objectives of representation and, as required by Sec.11.104, shall 
consult with the client as to the means by which they are to be pursued. 
A practitioner may take such action on behalf of the client as is 
impliedly authorized to carry out the representation. A practitioner 
shall abide by a client's decision whether to settle a matter.
    (b) [Reserved]
    (c) A practitioner may limit the scope of the representation if the 
limitation is reasonable under the circumstances and the client gives 
informed consent.
    (d) A practitioner shall not counsel a client to engage, or assist a 
client, in conduct that the practitioner knows is criminal or 
fraudulent, but a practitioner may discuss the legal consequences of any 
proposed course of conduct with a client and may counsel or assist a 
client to make a good-faith effort to determine the validity, scope, 
meaning or application of the law.



Sec.11.103  Diligence.

    A practitioner shall act with reasonable diligence and promptness in 
representing a client.



Sec.11.104  Communication.

    (a) A practitioner shall:
    (1) Promptly inform the client of any decision or circumstance with 
respect to which the client's informed consent is required by the USPTO 
Rules of Professional Conduct;
    (2) Reasonably consult with the client about the means by which the 
client's objectives are to be accomplished;
    (3) Keep the client reasonably informed about the status of the 
matter;
    (4) Promptly comply with reasonable requests for information from 
the client; and
    (5) Consult with the client about any relevant limitation on the 
practitioner's conduct when the practitioner knows that the client 
expects assistance not permitted by the USPTO Rules of Professional 
Conduct or other law.
    (b) A practitioner shall explain a matter to the extent reasonably 
necessary to permit the client to make informed decisions regarding the 
representation.



Sec.11.105  Fees.

    (a) A practitioner shall not make an agreement for, charge, or 
collect an unreasonable fee or an unreasonable amount for expenses. The 
factors to be considered in determining the reasonableness of a fee 
include the following:
    (1) The time and labor required, the novelty and difficulty of the 
questions involved, and the skill requisite to perform the legal service 
properly;
    (2) The likelihood, if apparent to the client, that the acceptance 
of the particular employment will preclude other employment by the 
practitioner;
    (3) The fee customarily charged in the locality for similar legal 
services;
    (4) The amount involved and the results obtained;
    (5) The time limitations imposed by the client or by the 
circumstances;
    (6) The nature and length of the professional relationship with the 
client;
    (7) The experience, reputation, and ability of the practitioner or 
practitioners performing the services; and
    (8) Whether the fee is fixed or contingent.

[[Page 445]]

    (b) The scope of the representation and the basis or rate of the fee 
and expenses for which the client will be responsible shall be 
communicated to the client, preferably in writing, before or within a 
reasonable time after commencing the representation, except when the 
practitioner will charge a regularly represented client on the same 
basis or rate. Any changes in the basis or rate of the fee or expenses 
shall also be communicated to the client.
    (c) A fee may be contingent on the outcome of the matter for which 
the service is rendered, except in a matter in which a contingent fee is 
prohibited by law. A contingent fee agreement shall be in a writing 
signed by the client and shall state the method by which the fee is to 
be determined, including the percentage or percentages that shall accrue 
to the practitioner in the event of settlement, trial or appeal; 
litigation and other expenses to be deducted from the recovery; and 
whether such expenses are to be deducted before or after the contingent 
fee is calculated. The agreement must clearly notify the client of any 
expenses for which the client will be liable whether or not the client 
is the prevailing party. Upon conclusion of a contingent fee matter, the 
practitioner shall provide the client with a written statement stating 
the outcome of the matter and, if there is a recovery, showing the 
remittance to the client and the method of its determination.
    (d) [Reserved]
    (e) A division of a fee between practitioners who are not in the 
same firm may be made only if:
    (1) The division is in proportion to the services performed by each 
practitioner or each practitioner assumes joint responsibility for the 
representation;
    (2) The client agrees to the arrangement, including the share each 
practitioner will receive, and the agreement is confirmed in writing; 
and
    (3) The total fee is reasonable.



Sec.11.106  Confidentiality of information.

    (a) A practitioner shall not reveal information relating to the 
representation of a client unless the client gives informed consent, the 
disclosure is impliedly authorized in order to carry out the 
representation, the disclosure is permitted by paragraph (b) of this 
section, or the disclosure is required by paragraph (c) of this section.
    (b) A practitioner may reveal information relating to the 
representation of a client to the extent the practitioner reasonably 
believes necessary:
    (1) To prevent reasonably certain death or substantial bodily harm;
    (2) To prevent the client from engaging in inequitable conduct 
before the Office or from committing a crime or fraud that is reasonably 
certain to result in substantial injury to the financial interests or 
property of another and in furtherance of which the client has used or 
is using the practitioner's services;
    (3) To prevent, mitigate, or rectify substantial injury to the 
financial interests or property of another that is reasonably certain to 
result or has resulted from the client's commission of a crime, fraud, 
or inequitable conduct before the Office in furtherance of which the 
client has used the practitioner's services;
    (4) To secure legal advice about the practitioner's compliance with 
the USPTO Rules of Professional Conduct;
    (5) To establish a claim or defense on behalf of the practitioner in 
a controversy between the practitioner and the client, to establish a 
defense to a criminal charge or civil claim against the practitioner 
based upon conduct in which the client was involved, or to respond to 
allegations in any proceeding concerning the practitioner's 
representation of the client;
    (6) To comply with other law or a court order; or
    (7) To detect and resolve conflicts of interest arising from the 
practitioner's change of employment or from changes in the composition 
or ownership of a firm, but only if the revealed information would not 
compromise the practitioner-client privilege or otherwise prejudice the 
client.
    (c) A practitioner shall disclose to the Office information 
necessary to comply with applicable duty of disclosure provisions.
    (d) A practitioner shall make reasonable efforts to prevent the 
inadvertent

[[Page 446]]

or unauthorized disclosure of, or unauthorized access to, information 
relating to the representation of a client.

[86 FR 28466, May 26, 2021]



Sec.11.107  Conflict of interest; Current clients.

    (a) Except as provided in paragraph (b) of this section, a 
practitioner shall not represent a client if the representation involves 
a concurrent conflict of interest. A concurrent conflict of interest 
exists if:
    (1) The representation of one client will be directly adverse to 
another client; or
    (2) There is a significant risk that the representation of one or 
more clients will be materially limited by the practitioner's 
responsibilities to another client, a former client or a third person or 
by a personal interest of the practitioner.
    (b) Notwithstanding the existence of a concurrent conflict of 
interest under paragraph (a) of this section, a practitioner may 
represent a client if:
    (1) The practitioner reasonably believes that the practitioner will 
be able to provide competent and diligent representation to each 
affected client;
    (2) The representation is not prohibited by law;
    (3) The representation does not involve the assertion of a claim by 
one client against another client represented by the practitioner in the 
same litigation or other proceeding before a tribunal; and
    (4) Each affected client gives informed consent, confirmed in 
writing.



Sec.11.108  Conflict of interest; Current clients; Specific rules.

    (a) A practitioner shall not enter into a business transaction with 
a client or knowingly acquire an ownership, possessory, security or 
other pecuniary interest adverse to a client unless:
    (1) The transaction and terms on which the practitioner acquires the 
interest are fair and reasonable to the client and are fully disclosed 
and transmitted in writing in a manner that can be reasonably understood 
by the client;
    (2) The client is advised in writing of the desirability of seeking 
and is given a reasonable opportunity to seek the advice of independent 
legal counsel in the transaction; and
    (3) The client gives informed consent, in a writing signed by the 
client, to the essential terms of the transaction and the practitioner's 
role in the transaction, including whether the practitioner is 
representing the client in the transaction.
    (b) A practitioner shall not use information relating to 
representation of a client to the disadvantage of the client unless the 
client gives informed consent, except as permitted or required by the 
USPTO Rules of Professional Conduct.
    (c) A practitioner shall not solicit any substantial gift from a 
client, including a testamentary gift, or prepare on behalf of a client 
an instrument giving the practitioner or a person related to the 
practitioner any substantial gift unless the practitioner or other 
recipient of the gift is related to the client. For purposes of this 
paragraph, related persons include a spouse, child, grandchild, parent, 
grandparent or other relative or individual with whom the practitioner 
or the client maintains a close, familial relationship.
    (d) Prior to the conclusion of representation of a client, a 
practitioner shall not make or negotiate an agreement giving the 
practitioner literary or media rights to a portrayal or account based in 
substantial part on information relating to the representation.
    (e) A practitioner shall not provide financial assistance to a 
client in connection with pending or contemplated litigation or a 
proceeding before the Office, except that:
    (1) A practitioner may advance court costs and expenses of 
litigation, the repayment of which may be contingent on the outcome of 
the matter;
    (2) A practitioner representing an indigent client may pay court 
costs and expenses of litigation or a proceeding before the Office on 
behalf of the client;
    (3) A practitioner may advance costs and expenses in connection with 
a proceeding before the Office provided the client remains ultimately 
liable for such costs and expenses; and
    (4) A practitioner may also advance any fee required to prevent or 
remedy

[[Page 447]]

an abandonment of a client's application by reason of an act or omission 
attributable to the practitioner and not to the client, whether or not 
the client is ultimately liable for such fee.
    (f) A practitioner shall not accept compensation for representing a 
client from one other than the client unless:
    (1) The client gives informed consent;
    (2) There is no interference with the practitioner's independence of 
professional judgment or with the client-practitioner relationship; and
    (3) Information relating to representation of a client is protected 
as required by Sec.11.106.
    (g) A practitioner who represents two or more clients shall not 
participate in making an aggregate settlement of the claims of or 
against the clients, unless each client gives informed consent, in a 
writing signed by the client. The practitioner's disclosure shall 
include the existence and nature of all the claims involved and of the 
participation of each person in the settlement.
    (h) A practitioner shall not:
    (1) Make an agreement prospectively limiting the practitioner's 
liability to a client for malpractice unless the client is independently 
represented in making the agreement; or
    (2) Settle a claim or potential claim for such liability with an 
unrepresented client or former client unless that person is advised in 
writing of the desirability of seeking and is given a reasonable 
opportunity to seek the advice of independent legal counsel in 
connection therewith.
    (i) A practitioner shall not acquire a proprietary interest in the 
cause of action, subject matter of litigation, or a proceeding before 
the Office which the practitioner is conducting for a client, except 
that the practitioner may, subject to the other provisions in this 
section:
    (1) Acquire a lien authorized by law to secure the practitioner's 
fee or expenses;
    (2) Contract with a client for a reasonable contingent fee in a 
civil case; and
    (3) In a patent case or a proceeding before the Office, take an 
interest in the patent or patent application as part or all of his or 
her fee.
    (j) [Reserved]
    (k) While practitioners are associated in a firm, a prohibition in 
paragraphs (a) through (i) of this section that applies to any one of 
them shall apply to all of them.



Sec.11.109  Duties to former clients.

    (a) A practitioner who has formerly represented a client in a matter 
shall not thereafter represent another person in the same or a 
substantially related matter in which that person's interests are 
materially adverse to the interests of the former client unless the 
former client gives informed consent, confirmed in writing.
    (b) A practitioner shall not knowingly represent a person in the 
same or a substantially related matter in which a firm with which the 
practitioner formerly was associated had previously represented a 
client:
    (1) Whose interests are materially adverse to that person; and
    (2) About whom the practitioner had acquired information protected 
by Sec. Sec.11.106 and 11.109(c) that is material to the matter; 
unless the former client gives informed consent, confirmed in writing.
    (c) A practitioner who has formerly represented a client in a matter 
or whose present or former firm has formerly represented a client in a 
matter shall not thereafter:
    (1) Use information relating to the representation to the 
disadvantage of the former client except as the USPTO Rules of 
Professional Conduct would permit or require with respect to a client, 
or when the information has become generally known; or
    (2) Reveal information relating to the representation except as the 
USPTO Rules of Professional Conduct would permit or require with respect 
to a client.



Sec.11.110  Imputation of conflicts of interest; General rule.

    (a) While practitioners are associated in a firm, none of them shall 
knowingly represent a client when any one of them practicing alone would 
be prohibited from doing so by Sec. Sec.11.107 or 11.109, unless:

[[Page 448]]

    (1) The prohibition is based on a personal interest of the 
disqualified practitioner and does not present a significant risk of 
materially limiting the representation of the client by the remaining 
practitioners in the firm; or
    (2) The prohibition is based upon Sec.11.109(a) or (b), and arises 
out of the disqualified practitioner's association with a prior firm, 
and
    (i) The disqualified practitioner is timely screened from any 
participation in the matter and is apportioned no part of the fee 
therefrom; and
    (ii) Written notice is promptly given to any affected former client 
to enable the former client to ascertain compliance with the provisions 
of this section, which shall include a description of the screening 
procedures employed; a statement of the firm's and of the screened 
practitioner's compliance with the USPTO Rules of Professional Conduct; 
a statement that review may be available before a tribunal; and an 
agreement by the firm to respond promptly to any written inquiries or 
objections by the former client about the screening procedures.
    (b) When a practitioner has terminated an association with a firm, 
the firm is not prohibited from thereafter representing a person with 
interests materially adverse to those of a client represented by the 
formerly associated practitioner and not currently represented by the 
firm, unless:
    (1) The matter is the same or substantially related to that in which 
the formerly associated practitioner represented the client; and
    (2) Any practitioner remaining in the firm has information protected 
by Sec. Sec.11.106 and 11.109(c) that is material to the matter.
    (c) A disqualification prescribed by this section may be waived by 
the affected client under the conditions stated in Sec.11.107.
    (d) The disqualification of practitioners associated in a firm with 
former or current Federal Government lawyers is governed by Sec.
11.111.



Sec.11.111  Former or current Federal Government employees.

    A practitioner who is a former or current Federal Government 
employee shall not engage in any conduct which is contrary to applicable 
Federal ethics law, including conflict of interest statutes and 
regulations of the department, agency or commission formerly or 
currently employing said practitioner.



Sec.11.112  Former judge, arbitrator, mediator or other third-party
neutral.

    (a) Except as stated in paragraph (d) of this section, a 
practitioner shall not represent anyone in connection with a matter in 
which the practitioner participated personally and substantially as a 
judge or other adjudicative officer or law clerk to such a person or as 
an arbitrator, mediator or other third-party neutral, unless all parties 
to the proceeding give informed consent, confirmed in writing.
    (b) A practitioner shall not negotiate for employment with any 
person who is involved as a party or as practitioner for a party in a 
matter in which the practitioner is participating personally and 
substantially as a judge or other adjudicative officer or as an 
arbitrator, mediator or other third-party neutral. A practitioner 
serving as a law clerk to a judge or other adjudicative officer may 
negotiate for employment with a party or practitioner involved in a 
matter in which the clerk is participating personally and substantially, 
but only after the practitioner has notified the judge, or other 
adjudicative officer.
    (c) If a practitioner is disqualified by paragraph (a) of this 
section, no practitioner in a firm with which that practitioner is 
associated may knowingly undertake or continue representation in the 
matter unless:
    (1) The disqualified practitioner is timely screened from any 
participation in the matter and is apportioned no part of the fee 
therefrom; and
    (2) Written notice is promptly given to the parties and any 
appropriate tribunal to enable them to ascertain compliance with the 
provisions of this section.
    (d) An arbitrator selected as a partisan of a party in a multimember 
arbitration panel is not prohibited from subsequently representing that 
party.

[[Page 449]]



Sec.11.113  Organization as client.

    (a) A practitioner employed or retained by an organization 
represents the organization acting through its duly authorized 
constituents.
    (b) If a practitioner for an organization knows that an officer, 
employee or other person associated with the organization is engaged in 
action, intends to act or refuses to act in a matter related to the 
representation that is a violation of a legal obligation to the 
organization, or a violation of law that reasonably might be imputed to 
the organization, and that is likely to result in substantial injury to 
the organization, then the practitioner shall proceed as is reasonably 
necessary in the best interest of the organization. Unless the 
practitioner reasonably believes that it is not necessary in the best 
interest of the organization to do so, the practitioner shall refer the 
matter to higher authority in the organization, including, if warranted 
by the circumstances, to the highest authority that can act on behalf of 
the organization as determined by applicable law.
    (c) Except as provided in paragraph (d) of this section, if
    (1) Despite the practitioner's efforts in accordance with paragraph 
(b) of this section the highest authority that can act on behalf of the 
organization insists upon or fails to address in a timely and 
appropriate manner an action, or a refusal to act, that is clearly a 
violation of law, and
    (2) The practitioner reasonably believes that the violation is 
reasonably certain to result in substantial injury to the organization, 
then the practitioner may reveal information relating to the 
representation whether or not Sec.11.106 permits such disclosure, but 
only if and to the extent the practitioner reasonably believes necessary 
to prevent substantial injury to the organization.
    (d) Paragraph (c) of this section shall not apply with respect to 
information relating to a practitioner's representation of an 
organization to investigate an alleged violation of law, or to defend 
the organization or an officer, employee or other constituent associated 
with the organization against a claim arising out of an alleged 
violation of law.
    (e) A practitioner who reasonably believes that he or she has been 
discharged because of the practitioner's actions taken pursuant to 
paragraphs (b) or (c) of this section, or who withdraws under 
circumstances that require or permit the practitioner to take action 
under either of those paragraphs, shall proceed as the practitioner 
reasonably believes necessary to assure that the organization's highest 
authority is informed of the practitioner's discharge or withdrawal.
    (f) In dealing with an organization's directors, officers, 
employees, members, shareholders, or other constituents, a practitioner 
shall explain the identity of the client when the practitioner knows or 
reasonably should know that the organization's interests are adverse to 
those of the constituents with whom the practitioner is dealing.
    (g) A practitioner representing an organization may also represent 
any of its directors, officers, employees, members, shareholders or 
other constituents, subject to the provisions of Sec.11.107. If the 
organization's consent to the dual representation is required by Sec.
11.107, the consent shall be given by an appropriate official of the 
organization other than the individual who is to be represented, or by 
the shareholders.



Sec.11.114  Client with diminished capacity.

    (a) When a client's capacity to make adequately considered decisions 
in connection with a representation is diminished, whether because of 
minority, mental impairment or for some other reason, the practitioner 
shall, as far as reasonably possible, maintain a normal client-
practitioner relationship with the client.
    (b) When the practitioner reasonably believes that the client has 
diminished capacity, is at risk of substantial physical, financial or 
other harm unless action is taken and cannot adequately act in the 
client's own interest, the practitioner may take reasonably necessary 
protective action, including consulting with individuals or entities 
that have the ability to take action to protect the client and, in 
appropriate cases, seeking the appointment of a

[[Page 450]]

guardian ad litem, conservator or guardian.
    (c) Information relating to the representation of a client with 
diminished capacity is protected under Sec.11.106. When taking 
protective action pursuant to paragraph (b) of this section, the 
practitioner is impliedly authorized under Sec.11.106(a) to reveal 
information about the client, but only to the extent reasonably 
necessary to protect the client's interests.



Sec.11.115  Safekeeping property.

    (a) A practitioner shall hold property of clients or third persons 
that is in a practitioner's possession in connection with a 
representation separate from the practitioner's own property. Funds 
shall be kept in a separate account maintained in the state where the 
practitioner's office is situated, or elsewhere with the consent of the 
client or third person. Where the practitioner's office is situated in a 
foreign country, funds shall be kept in a separate account maintained in 
that foreign country or elsewhere with the consent of the client or 
third person. Other property shall be identified as such and 
appropriately safeguarded. Complete records of such account funds and 
other property shall be kept by the practitioner and shall be preserved 
for a period of five years after termination of the representation.
    (b) A practitioner may deposit the practitioner's own funds in a 
client trust account for the sole purpose of paying bank service charges 
on that account, but only in an amount necessary for that purpose.
    (c) A practitioner shall deposit into a client trust account legal 
fees and expenses that have been paid in advance, to be withdrawn by the 
practitioner only as fees are earned or expenses incurred.
    (d) Upon receiving funds or other property in which a client or 
third person has an interest, a practitioner shall promptly notify the 
client or third person. Except as stated in this section or otherwise 
permitted by law or by agreement with the client, a practitioner shall 
promptly deliver to the client or third person any funds or other 
property that the client or third person is entitled to receive and, 
upon request by the client or third person, shall promptly render a full 
accounting regarding such property.
    (e) When in the course of representation a practitioner is in 
possession of property in which two or more persons (one of whom may be 
the practitioner) claim interests, the property shall be kept separate 
by the practitioner until the dispute is resolved. The practitioner 
shall promptly distribute all portions of the property as to which the 
interests are not in dispute.
    (f) All separate accounts for clients or third persons kept by a 
practitioner must also comply with the following provisions:
    (1) Required records. The records to be kept include:
    (i) Receipt and disbursement journals containing a record of 
deposits to and withdrawals from client trust accounts, specifically 
identifying the date, source, and description of each item deposited, as 
well as the date, payee and purpose of each disbursement;
    (ii) Ledger records for all client trust accounts showing, for each 
separate trust client or beneficiary, the source of all funds deposited, 
the names of all persons for whom the funds are or were held, the amount 
of such funds, the descriptions and amounts of charges or withdrawals, 
and the names of all persons or entities to whom such funds were 
disbursed;
    (iii) Copies of retainer and compensation agreements with clients;
    (iv) Copies of accountings to clients or third persons showing the 
disbursement of funds to them or on their behalf;
    (v) Copies of bills for legal fees and expenses rendered to clients;
    (vi) Copies of records showing disbursements on behalf of clients;
    (vii) The physical or electronic equivalents of all checkbook 
registers, bank statements, records of deposit, pre-numbered canceled 
checks, and substitute checks provided by a financial institution;
    (viii) Records of all electronic transfers from client trust 
accounts, including the name of the person authorizing transfer, the 
date of transfer, the name of the recipient and confirmation from the 
financial institution of the trust

[[Page 451]]

account number from which money was withdrawn and the date and the time 
the transfer was completed;
    (ix) Copies of monthly trial balances and quarterly reconciliations 
of the client trust accounts maintained by the practitioner; and
    (x) Copies of those portions of client files that are reasonably 
related to client trust account transactions.
    (2) Client trust account safeguards. With respect to client trust 
accounts required by paragraphs (a) through (e) of this section:
    (i) Only a practitioner or a person under the direct supervision of 
the practitioner shall be an authorized signatory or authorize transfers 
from a client trust account;
    (ii) Receipts shall be deposited intact and records of deposit 
should be sufficiently detailed to identify each item; and
    (iii) Withdrawals shall be made only by check payable to a named 
payee and not to cash, or by authorized electronic transfer.
    (3) Availability of records. Records required by paragraph (f)(1) of 
this section may be maintained by electronic, photographic, or other 
media provided that they otherwise comply with paragraphs (f)(1) and 
(f)(2) of this section and that printed copies can be produced. These 
records shall be readily accessible to the practitioner.
    (4) Lawyers. The records kept by a lawyer are deemed to be in 
compliance with this section if the types of records that are maintained 
meet the recordkeeping requirements of a state in which the lawyer is 
licensed and in good standing, the recordkeeping requirements of the 
state where the lawyer's principal place of business is located, or the 
recordkeeping requirements of this section.
    (5) Patent agents and persons granted limited recognition who are 
employed in the United States by a law firm. The records kept by a law 
firm employing one or more registered patent agents or persons granted 
limited recognition under Sec.11.9 are deemed to be in compliance with 
this section if the types of records that are maintained meet the 
recordkeeping requirements of the state where at least one practitioner 
of the law firm is licensed and in good standing, the recordkeeping 
requirements of the state where the law firm's principal place of 
business is located, or the recordkeeping requirements of this section.



Sec.11.116  Declining or terminating representation.

    (a) Except as stated in paragraph (c) of this section, a 
practitioner shall not represent a client, or where representation has 
commenced, shall withdraw from the representation of a client if:
    (1) The representation will result in violation of the USPTO Rules 
of Professional Conduct or other law;
    (2) The practitioner's physical or mental condition materially 
impairs the practitioner's ability to represent the client; or
    (3) The practitioner is discharged.
    (b) Except as stated in paragraph (c) of this section, a 
practitioner may withdraw from representing a client if:
    (1) Withdrawal can be accomplished without material adverse effect 
on the interests of the client;
    (2) The client persists in a course of action involving the 
practitioner's services that the practitioner reasonably believes is 
criminal or fraudulent;
    (3) The client has used the practitioner's services to perpetrate a 
crime or fraud;
    (4) A client insists upon taking action that the practitioner 
considers repugnant or with which the practitioner has a fundamental 
disagreement;
    (5) The client fails substantially to fulfill an obligation to the 
practitioner regarding the practitioner's services and has been given 
reasonable warning that the practitioner will withdraw unless the 
obligation is fulfilled;
    (6) The representation will result in an unreasonable financial 
burden on the practitioner or has been rendered unreasonably difficult 
by the client; or
    (7) Other good cause for withdrawal exists.
    (c) A practitioner must comply with applicable law requiring notice 
to or permission of a tribunal when terminating a representation. When 
ordered to do so by a tribunal, a practitioner shall continue 
representation notwithstanding good cause for terminating the 
representation.

[[Page 452]]

    (d) Upon termination of representation, a practitioner shall take 
steps to the extent reasonably practicable to protect a client's 
interests, such as giving reasonable notice to the client, allowing time 
for employment of other counsel, surrendering papers and property to 
which the client is entitled and refunding any advance payment of fee or 
expense that has not been earned or incurred. The practitioner may 
retain papers relating to the client to the extent permitted by other 
law.



Sec.11.117  Sale of law practice.

    A practitioner or a law firm may sell or purchase a law practice, or 
an area of law practice, including good will, if the following 
conditions are satisfied:
    (a) The seller ceases to engage in the private practice of law, or 
in the area of practice that has been sold, in a geographic area in 
which the practice has been conducted;
    (b)(1) Except as provided in paragraph (b)(2) of this section, the 
entire practice, or the entire area of practice, is sold to one or more 
lawyers or law firms;
    (2) To the extent the practice or the area of practice involves 
patent proceedings before the Office, that practice or area of practice 
may be sold only to one or more registered practitioners or law firms 
that include at least one registered practitioner;
    (c)(1) The seller gives written notice to each of the seller's 
clients regarding:
    (i) The proposed sale;
    (ii) The client's right to retain other counsel or to take 
possession of the file; and
    (iii) The fact that the client's consent to the transfer of the 
client's files will be presumed if the client does not take any action 
or does not otherwise object within ninety (90) days after receipt of 
the notice.
    (2) If a client cannot be given notice, the representation of that 
client may be transferred to the purchaser only upon entry of an order 
so authorizing by a court having jurisdiction. The seller may disclose 
to the court in camera information relating to the representation only 
to the extent necessary to obtain an order authorizing the transfer of a 
file; and
    (d) The fees charged clients shall not be increased by reason of the 
sale.



Sec.11.118  Duties to prospective client.

    (a) A person who consults with a practitioner about the possibility 
of forming a client-practitioner relationship with respect to a matter 
is a prospective client.
    (b) Even when no client-practitioner relationship ensues, a 
practitioner who has learned information from a prospective client shall 
not use or reveal that information, except as Sec.11.109 would permit 
with respect to information of a former client.
    (c) A practitioner subject to paragraph (b) of this section shall 
not represent a client with interests materially adverse to those of a 
prospective client in the same or a substantially related matter if the 
practitioner received information from the prospective client that could 
be significantly harmful to that person in the matter, except as 
provided in paragraph (d) of this section. If a practitioner is 
disqualified from representation under this paragraph, no practitioner 
in a firm with which that practitioner is associated may knowingly 
undertake or continue representation in such a matter, except as 
provided in paragraph (d) of this section.
    (d) When the practitioner has received disqualifying information as 
defined in paragraph (c) of this section, representation is permissible 
if:
    (1) Both the affected client and the prospective client have given 
informed consent, confirmed in writing; or
    (2) The practitioner who received the information took reasonable 
measures to avoid exposure to more disqualifying information than was 
reasonably necessary to determine whether to represent the prospective 
client; and
    (i) The disqualified practitioner is timely screened from any 
participation in the matter and is apportioned no part of the fee 
therefrom; and
    (ii) Written notice is promptly given to the prospective client.

[78 FR 20201, Apr. 3, 2013, as amended at 86 FR 28466, May 26, 2021]

[[Page 453]]



Sec. Sec.11.119-11.200  [Reserved]

                                Counselor



Sec.11.201  Advisor.

    In representing a client, a practitioner shall exercise independent 
professional judgment and render candid advice. In rendering advice, a 
practitioner may refer not only to law but to other considerations such 
as moral, economic, social and political factors that may be relevant to 
the client's situation.



Sec.11.202  [Reserved]



Sec.11.203  Evaluation for use by third persons.

    (a) A practitioner may provide an evaluation of a matter affecting a 
client for the use of someone other than the client if the practitioner 
reasonably believes that making the evaluation is compatible with other 
aspects of the practitioner's relationship with the client.
    (b) When the practitioner knows or reasonably should know that the 
evaluation is likely to affect the client's interests materially and 
adversely, the practitioner shall not provide the evaluation unless the 
client gives informed consent.
    (c) Except as disclosure is authorized in connection with a report 
of an evaluation, information relating to the evaluation is otherwise 
protected by Sec.11.106.



Sec.11.204  Practitioner serving as third-party neutral.

    (a) A practitioner serves as a third-party neutral when the 
practitioner assists two or more persons who are not clients of the 
practitioner to reach a resolution of a dispute or other matter that has 
arisen between them. Service as a third-party neutral may include 
service as an arbitrator, a mediator or in such other capacity as will 
enable the practitioner to assist the parties to resolve the matter.
    (b) A practitioner serving as a third-party neutral shall inform 
unrepresented parties that the practitioner is not representing them. 
When the practitioner knows or reasonably should know that a party does 
not understand the practitioner's role in the matter, the practitioner 
shall explain the difference between the practitioner's role as a third-
party neutral and a practitioner's role as one who represents a client.



Sec. Sec.11.205-11.300  [Reserved]

                                Advocate



Sec.11.301  Meritorious claims and contentions.

    A practitioner shall not bring or defend a proceeding, or assert or 
controvert an issue therein, unless there is a basis in law and fact for 
doing so that is not frivolous, which includes a good-faith argument for 
an extension, modification or reversal of existing law.



Sec.11.302  Expediting proceedings.

    A practitioner shall make reasonable efforts to expedite proceedings 
before a tribunal consistent with the interests of the client.



Sec.11.303  Candor toward the tribunal.

    (a) A practitioner shall not knowingly:
    (1) Make a false statement of fact or law to a tribunal or fail to 
correct a false statement of material fact or law previously made to the 
tribunal by the practitioner;
    (2) Fail to disclose to the tribunal legal authority in the 
controlling jurisdiction known to the practitioner to be directly 
adverse to the position of the client and not disclosed by opposing 
counsel in an inter partes proceeding, or fail to disclose such 
authority in an ex parte proceeding before the Office if such authority 
is not otherwise disclosed; or
    (3) Offer evidence that the practitioner knows to be false. If a 
practitioner, the practitioner's client, or a witness called by the 
practitioner, has offered material evidence and the practitioner comes 
to know of its falsity, the practitioner shall take reasonable remedial 
measures, including, if necessary, disclosure to the tribunal. A 
practitioner may refuse to offer evidence that the practitioner 
reasonably believes is false.
    (b) A practitioner who represents a client in a proceeding before a 
tribunal

[[Page 454]]

and who knows that a person intends to engage, is engaging or has 
engaged in criminal or fraudulent conduct related to the proceeding 
shall take reasonable remedial measures, including, if necessary, 
disclosure to the tribunal.
    (c) The duties stated in paragraphs (a) and (b) of this section 
continue to the conclusion of the proceeding, and apply even if 
compliance requires disclosure of information otherwise protected by 
Sec.11.106.
    (d) In an ex parte proceeding, a practitioner shall inform the 
tribunal of all material facts known to the practitioner that will 
enable the tribunal to make an informed decision, whether or not the 
facts are adverse.
    (e) In a proceeding before the Office, a practitioner shall disclose 
to the Office information necessary to comply with applicable duty of 
disclosure provisions.



Sec.11.304  Fairness to opposing party and counsel.

    A practitioner shall not:
    (a) Unlawfully obstruct another party's access to evidence or 
unlawfully alter, destroy or conceal a document or other material having 
potential evidentiary value. A practitioner shall not counsel or assist 
another person to do any such act;
    (b) Falsify evidence, counsel or assist a witness to testify 
falsely, or offer an inducement to a witness that is prohibited by law;
    (c) Knowingly disobey an obligation under the rules of a tribunal 
except for an open refusal based on an assertion that no valid 
obligation exists;
    (d) Make a frivolous discovery request or fail to make a reasonably 
diligent effort to comply with a legally proper discovery request by an 
opposing party;
    (e) In a proceeding before a tribunal, allude to any matter that the 
practitioner does not reasonably believe is relevant or that will not be 
supported by admissible evidence, assert personal knowledge of facts in 
issue except when testifying as a witness, or state a personal opinion 
as to the justness of a cause, the credibility of a witness, the 
culpability of a civil litigant or the guilt or innocence of an accused; 
or
    (f) Request a person other than a client to refrain from voluntarily 
giving relevant information to another party unless:
    (1) The person is a relative or an employee or other agent of a 
client; and
    (2) The practitioner reasonably believes that the person's interests 
will not be adversely affected by refraining from giving such 
information.



Sec.11.305  Impartiality and decorum of the tribunal.

    A practitioner shall not:
    (a) Seek to influence a judge, hearing officer, administrative law 
judge, administrative patent judge, administrative trademark judge, 
juror, prospective juror, employee or officer of the Office, or other 
official by means prohibited by law;
    (b) Communicate ex parte with such a person during the proceeding 
unless authorized to do so by law, rule or court order; or
    (c) [Reserved]
    (d) Engage in conduct intended to disrupt any proceeding before a 
tribunal.



Sec.11.306  Trial publicity.

    (a) A practitioner who is participating or has participated in the 
investigation or litigation of a matter shall not make an extrajudicial 
statement that the practitioner knows or reasonably should know will be 
disseminated by means of public communication and will have a 
substantial likelihood of materially prejudicing an adjudicative 
proceeding in the matter.
    (b) Notwithstanding paragraph (a) of this section, a practitioner 
may state:
    (1) The claim, offense or defense involved and, except when 
prohibited by law, the identity of the persons involved;
    (2) Information contained in a public record;
    (3) That an investigation of a matter is in progress;
    (4) The scheduling or result of any step in litigation;
    (5) A request for assistance in obtaining evidence and information 
necessary thereto; and
    (6) A warning of danger concerning the behavior of a person 
involved, when

[[Page 455]]

there is reason to believe that there exists the likelihood of 
substantial harm to an individual or to the public interest.
    (c) Notwithstanding paragraph (a) of this section, a practitioner 
may make a statement that a reasonable practitioner would believe is 
required to protect a client from the substantial undue prejudicial 
effect of recent publicity not initiated by the practitioner or the 
practitioner's client. A statement made pursuant to this paragraph shall 
be limited to such information as is necessary to mitigate the recent 
adverse publicity.
    (d) No practitioner associated in a firm or government agency with a 
practitioner subject to paragraph (a) of this section shall make a 
statement prohibited by paragraph (a).



Sec.11.307  Practitioner as witness.

    (a) A practitioner shall not act as advocate at a proceeding before 
a tribunal in which the practitioner is likely to be a necessary witness 
unless:
    (1) The testimony relates to an uncontested issue;
    (2) The testimony relates to the nature and value of legal services 
rendered in the case; or
    (3) Disqualification of the practitioner would work substantial 
hardship on the client.
    (b) A practitioner may act as advocate in a proceeding before a 
tribunal in which another practitioner in the practitioner's firm is 
likely to be called as a witness unless precluded from doing so by 
Sec. Sec.11.107 or 11.109.



Sec.11.308  [Reserved]



Sec.11.309  Advocate in nonadjudicative proceedings.

    A practitioner representing a client before a legislative body or 
administrative agency in a nonadjudicative proceeding shall disclose 
that the appearance is in a representative capacity and shall conform to 
the provisions of Sec. Sec.11.303(a) through (c), 11.304(a) through 
(c), and 11.305.



Sec. Sec.11.310-11.400  [Reserved]

              Transactions With Persons Other Than Clients



Sec.11.401  Truthfulness in statements to others.

    In the course of representing a client, a practitioner shall not 
knowingly:
    (a) Make a false statement of material fact or law to a third 
person; or
    (b) Fail to disclose a material fact to a third person when 
disclosure is necessary to avoid assisting a criminal or fraudulent act 
by a client, unless disclosure is prohibited by Sec.11.106.



Sec.11.402  Communication with person represented by a practitioner.

    (a) In representing a client, a practitioner shall not communicate 
about the subject of the representation with a person the practitioner 
knows to be represented by another practitioner in the matter, unless 
the practitioner has the consent of the other practitioner or is 
authorized to do so by law, rule, or a court order.
    (b) This section does not prohibit communication by a practitioner 
with government officials who are otherwise represented by counsel and 
who have the authority to redress the grievances of the practitioner's 
client, provided that, if the communication relates to a matter for 
which the government official is represented, then prior to the 
communication the practitioner must disclose to such government official 
both the practitioner's identity and the fact that the practitioner 
represents a party with a claim against the government.



Sec.11.403  Dealing with unrepresented person.

    In dealing on behalf of a client with a person who is not 
represented by a practitioner, a practitioner shall not state or imply 
that the practitioner is disinterested. When the practitioner knows or 
reasonably should know that the unrepresented person misunderstands the 
practitioner's role in the matter, the practitioner shall make 
reasonable efforts to correct the misunderstanding. The practitioner 
shall not give legal advice to an unrepresented person, other than the 
advice to

[[Page 456]]

secure counsel, if the practitioner knows or reasonably should know that 
the interests of such a person are or have a reasonable possibility of 
being in conflict with the interests of the client.



Sec.11.404  Respect for rights of third persons.

    (a) In representing a client, a practitioner shall not use means 
that have no substantial purpose other than to embarrass, delay, or 
burden a third person, or use methods of obtaining evidence that violate 
the legal rights of such a person.
    (b) A practitioner who receives a document or electronically stored 
information relating to the representation of the practitioner's client 
and knows or reasonably should know that the document or electronically 
stored information was inadvertently sent shall promptly notify the 
sender.



Sec. Sec.11.405-11.500  [Reserved]

                       Law Firms and Associations



Sec.11.501  Responsibilities of partners, managers, and supervisory
practitioners.

    (a) A practitioner who is a partner in a law firm, and a 
practitioner who individually or together with other practitioners 
possesses comparable managerial authority in a law firm, shall make 
reasonable efforts to ensure that the firm has in effect measures giving 
reasonable assurance that all practitioners in the firm conform to the 
USPTO Rules of Professional Conduct.
    (b) A practitioner having direct supervisory authority over another 
practitioner shall make reasonable efforts to ensure that the other 
practitioner conforms to the USPTO Rules of Professional Conduct.
    (c) A practitioner shall be responsible for another practitioner's 
violation of the USPTO Rules of Professional Conduct if:
    (1) The practitioner orders or, with knowledge of the specific 
conduct, ratifies the conduct involved; or
    (2) The practitioner is a partner or has comparable managerial 
authority in the law firm in which the other practitioner practices, or 
has direct supervisory authority over the other practitioner, and knows 
of the conduct at a time when its consequences can be avoided or 
mitigated but fails to take reasonable remedial action.



Sec.11.502  Responsibilities of a subordinate practitioner.

    (a) A practitioner is bound by the USPTO Rules of Professional 
Conduct notwithstanding that the practitioner acted at the direction of 
another person.
    (b) A subordinate practitioner does not violate the USPTO Rules of 
Professional Conduct if that practitioner acts in accordance with a 
supervisory practitioner's reasonable resolution of an arguable question 
of professional duty.



Sec.11.503  Responsibilities regarding non-practitioner assistance.

    With respect to a non-practitioner assistant employed or retained by 
or associated with a practitioner:
    (a) A practitioner who is a partner, and a practitioner who 
individually or together with other practitioners possesses comparable 
managerial authority in a law firm shall make reasonable efforts to 
ensure that the firm has in effect measures giving reasonable assurance 
that the person's conduct is compatible with the professional 
obligations of the practitioner;
    (b) A practitioner having direct supervisory authority over the non-
practitioner assistant shall make reasonable efforts to ensure that the 
person's conduct is compatible with the professional obligations of the 
practitioner; and
    (c) A practitioner shall be responsible for conduct of such a person 
that would be a violation of the USPTO Rules of Professional Conduct if 
engaged in by a practitioner if:
    (1) The practitioner orders or, with the knowledge of the specific 
conduct, ratifies the conduct involved; or
    (2) The practitioner is a partner or has comparable managerial 
authority in the law firm in which the person is employed, or has direct 
supervisory authority over the person, and knows of the conduct at a 
time when its consequences can be avoided or mitigated but fails to take 
reasonable remedial action.

[[Page 457]]



Sec.11.504  Professional independence of a practitioner.

    (a) A practitioner or law firm shall not share legal fees with a 
non-practitioner, except that:
    (1) An agreement by a practitioner with the practitioner's firm, 
partner, or associate may provide for the payment of money, over a 
reasonable period of time after the practitioner's death, to the 
practitioner's estate or to one or more specified persons;
    (2) A practitioner who purchases the practice of a deceased, 
disabled, or disappeared practitioner may, pursuant to the provisions of 
Sec.11.117, pay to the estate or other representative of that 
practitioner the agreed-upon purchase price;
    (3) A practitioner or law firm may include non-practitioner 
employees in a compensation or retirement plan, even though the plan is 
based in whole or in part on a profit-sharing arrangement; and
    (4) A practitioner may share legal fees, whether awarded by a 
tribunal or received in settlement of a matter, with a nonprofit 
organization that employed, retained or recommended employment of the 
practitioner in the matter and that qualifies under Section 501(c)(3) of 
the Internal Revenue Code.
    (b) A practitioner shall not form a partnership with a non-
practitioner if any of the activities of the partnership consist of the 
practice of law.
    (c) A practitioner shall not permit a person who recommends, 
employs, or pays the practitioner to render legal services for another 
to direct or regulate the practitioner's professional judgment in 
rendering such legal services.
    (d) A practitioner shall not practice with or in the form of a 
professional corporation or association authorized to practice law for a 
profit, if:
    (1) A non-practitioner owns any interest therein, except that a 
fiduciary representative of the estate of a practitioner may hold the 
stock or interest of the practitioner for a reasonable time during 
administration;
    (2) A non-practitioner is a corporate director or officer thereof or 
occupies the position of similar responsibility in any form of 
association other than a corporation; or
    (3) A non-practitioner has the right to direct or control the 
professional judgment of a practitioner.



Sec.11.505  Unauthorized practice of law.

    A practitioner shall not practice law in a jurisdiction in violation 
of the regulation of the legal profession in that jurisdiction, or 
assist another in doing so.



Sec.11.506  Restrictions on right to practice.

    A practitioner shall not participate in offering or making:
    (a) A partnership, shareholders, operating, employment, or other 
similar type of agreement that restricts the right of a practitioner to 
practice after termination of the relationship, except an agreement 
concerning benefits upon retirement; or
    (b) An agreement in which a restriction on the practitioner's right 
to practice is part of the settlement of a client controversy.



Sec.11.507  Responsibilities regarding law-related services.

    A practitioner shall be subject to the USPTO Rules of Professional 
Conduct with respect to the provision of law-related services if the 
law-related services are provided:
    (a) By the practitioner in circumstances that are not distinct from 
the practitioner's provision of legal services to clients; or
    (b) In other circumstances by an entity controlled by the 
practitioner individually or with others if the practitioner fails to 
take reasonable measures to assure that a person obtaining the law-
related services knows that the services are not legal services and that 
the protections of the client-practitioner relationship do not exist.



Sec. Sec.11.508-11.700  [Reserved]

                    Information About Legal Services



Sec.11.701  Communications concerning a practitioner's services.

    A practitioner shall not make a false or misleading communication 
about the practitioner or the practitioner's services. A communication 
is false or

[[Page 458]]

misleading if it contains a material misrepresentation of fact or law, 
or omits a fact necessary to make the statement considered as a whole 
not materially misleading.



Sec.11.702  Communications concerning a practitioner's services: specific rules.

    (a) A practitioner may communicate information regarding the 
practitioner's services through any medium.
    (b) A practitioner shall not compensate, give, or promise anything 
of value to a person for recommending the practitioner's services, 
except that a practitioner may:
    (1) Pay the reasonable costs of advertisements or communications 
permitted by this section;
    (2) Pay the usual charges of a legal service plan or a not-for-
profit or qualified practitioner referral service;
    (3) Pay for a law practice in accordance with Sec.11.117;
    (4) Refer clients to another practitioner or a non-practitioner 
professional pursuant to an agreement not otherwise prohibited under the 
USPTO Rules of Professional Conduct that provides for the other person 
to refer clients or customers to the practitioner, if:
    (i) The reciprocal referral agreement is not exclusive, and
    (ii) The client is informed of the existence and nature of the 
agreement; and
    (5) Give nominal gifts as an expression of appreciation that are 
neither intended nor reasonably expected to be a form of compensation 
for recommending a practitioner's services.
    (c) A practitioner shall not state or imply that he or she is 
certified as a specialist in a particular field of law, unless:
    (1) The practitioner has been certified as a specialist by an 
organization that has been approved by an appropriate authority of a 
State or that has been accredited by the American Bar Association, and
    (2) The name of the certifying organization is clearly identified in 
the communication.
    (d) Any communication made under this section must include the name 
and contact information of at least one practitioner or law firm 
responsible for its content.

[86 FR 28466, May 26, 2021]



Sec.11.703  Solicitation of clients.

    (a) ``Solicitation'' or ``solicit'' denotes a communication 
initiated by or on behalf of a practitioner or law firm that is directed 
to a specific person the practitioner knows or reasonably should know 
needs legal services in a particular matter and that offers to provide, 
or reasonably can be understood as offering to provide, legal services 
for that matter.
    (b) A practitioner shall not solicit professional employment by live 
person-to-person contact when a significant motive for the 
practitioner's doing so is the practitioner's or law firm's pecuniary 
gain, unless the contact is with a:
    (1) Practitioner;
    (2) Person who has a family, close personal, or prior business or 
professional relationship with the practitioner or law firm; or
    (3) Person who routinely uses for business purposes the type of 
legal services offered by the practitioner.
    (c) A practitioner shall not solicit professional employment even 
when not otherwise prohibited by paragraph (b) of this section, if:
    (1) The target of solicitation has made known to the practitioner a 
desire not to be solicited by the practitioner, or
    (2) The solicitation involves coercion, duress, or harassment.
    (d) This section does not prohibit communications authorized by law 
or ordered by a court or other tribunal.
    (e) Notwithstanding the prohibitions in this section, a practitioner 
may participate with a prepaid or group legal service plan operated by 
an organization not owned or directed by the practitioner that uses live 
person-to-person contact to enroll members or sell subscriptions for the 
plan from persons who are not known to need legal services in a 
particular matter covered by the plan.

[86 FR 28467, May 26, 2021]

[[Page 459]]



Sec.11.704  Communication of fields of practice and specialization.

    (a) A practitioner may communicate the fact that the practitioner 
does or does not practice in particular fields of law.
    (b) A registered practitioner who is an attorney may use the 
designation ``Patents,'' ``Patent Attorney,'' ``Patent Lawyer,'' 
``Registered Patent Attorney,'' or a substantially similar designation. 
A registered practitioner who is not an attorney may use the designation 
``Patents,'' ``Patent Agent,'' ``Registered Patent Agent,'' or a 
substantially similar designation. Unless authorized by Sec.11.14(b), 
a registered patent agent shall not hold himself or herself out as being 
qualified or authorized to practice before the Office in trademark 
matters or before a court.
    (c) [Reserved]
    (d) A practitioner shall not state or imply that a practitioner is 
certified as a specialist in a particular field of law, unless:
    (1) The practitioner has been certified as a specialist by an 
organization that has been approved by an appropriate state authority or 
that has been accredited by the American Bar Association; and
    (2) The name of the certifying organization is clearly identified in 
the communication.
    (e) Individuals granted limited recognition may use the designation 
``Limited Recognition'' but may not hold themselves out as being 
registered.

[78 FR 20201, Apr. 3, 2013, as amended at 86 FR 28467, May 26, 2021]



Sec.11.705  Firm names and letterheads.

    (a) A practitioner shall not use a firm name, letterhead or other 
professional designation that violates Sec.11.701. A trade name may be 
used by a practitioner in private practice if it does not imply a 
connection with a government agency or with a public or charitable legal 
services organization and is not otherwise in violation of Sec.11.701.
    (b) [Reserved]
    (c) The name of a practitioner holding a public office shall not be 
used in the name of a law firm, or in communications on its behalf, 
during any substantial period in which the practitioner is not actively 
and regularly practicing with the firm.



Sec. Sec.11.706-11.800  [Reserved]

               Maintaining the Integrity of the Profession



Sec.11.801  Registration, recognition and disciplinary matters.

    An applicant for registration or recognition to practice before the 
Office, or a practitioner in connection with an application for 
registration or recognition, or a practitioner in connection with a 
disciplinary or reinstatement matter, shall not:
    (a) Knowingly make a false statement of material fact; or
    (b) Fail to disclose a fact necessary to correct a misapprehension 
known by the person to have arisen in the matter, fail to cooperate with 
the Office of Enrollment and Discipline in an investigation of any 
matter before it, or knowingly fail to respond to a lawful demand or 
request for information from an admissions or disciplinary authority, 
except that the provisions of this section do not require disclosure of 
information otherwise protected by Sec.11.106.



Sec.11.802  Judicial and legal officials.

    (a) A practitioner shall not make a statement that the practitioner 
knows to be false or with reckless disregard as to its truth or falsity 
concerning the qualifications or integrity of a judge, adjudicatory 
officer or public legal officer, or of a candidate for election or 
appointment to judicial or legal office.
    (b) A practitioner who is a candidate for judicial office shall 
comply with the applicable provisions of the Code of Judicial Conduct.



Sec.11.803  Reporting professional misconduct.

    (a) A practitioner who knows that another practitioner has committed 
a violation of the USPTO Rules of Professional Conduct that raises a 
substantial question as to that practitioner's honesty, trustworthiness 
or fitness as a practitioner in other respects, shall inform the OED 
Director and any other appropriate professional authority.

[[Page 460]]

    (b) A practitioner who knows that a judge, hearing officer, 
administrative law judge, administrative patent judge, or administrative 
trademark judge has committed a violation of applicable rules of 
judicial conduct that raises a substantial question as to the 
individual's fitness for office shall inform the appropriate authority.
    (c) The provisions of this section do not require disclosure of 
information otherwise protected by Sec.11.106 or information gained 
while participating in an approved lawyers assistance program.



Sec.11.804  Misconduct.

    It is professional misconduct for a practitioner to:
    (a) Violate or attempt to violate the USPTO Rules of Professional 
Conduct, knowingly assist or induce another to do so, or do so through 
the acts of another;
    (b) Commit a criminal act that reflects adversely on the 
practitioner's honesty, trustworthiness, or fitness as a practitioner in 
other respects, or be convicted of a crime that reflects adversely on 
the practitioner's honesty, trustworthiness, or fitness as a 
practitioner in other respects;
    (c) Engage in conduct involving dishonesty, fraud, deceit or 
misrepresentation;
    (d) Engage in conduct that is prejudicial to the administration of 
justice;
    (e) State or imply an ability to influence improperly a government 
agency or official or to achieve results by means that violate the USPTO 
Rules of Professional Conduct or other law;
    (f) Knowingly assist a judge, hearing officer, administrative law 
judge, administrative patent judge, administrative trademark judge, or 
judicial officer in conduct that is a violation of applicable rules of 
judicial conduct or other law;
    (g) Knowingly assist an officer or employee of the Office in conduct 
that is a violation of applicable rules of conduct or other law;
    (h) Be publicly disciplined on ethical or professional misconduct 
grounds by any duly constituted authority of:
    (1) A State,
    (2) The United States, or
    (3) A country having disciplinary jurisdiction over the 
practitioner; or
    (i) Engage in other conduct that adversely reflects on the 
practitioner's fitness to practice before the Office.

[78 FR 20201, Apr. 3, 2013, as amended at 86 FR 28467, May 26, 2021]



Sec. Sec.11.805-11.900  [Reserved]



Sec.11.901  Savings clause.

    (a) A disciplinary proceeding based on conduct engaged in prior to 
the effective date of these regulations may be instituted subsequent to 
such effective date, if such conduct would continue to justify 
disciplinary sanctions under the provisions of this part.
    (b) No practitioner shall be subject to a disciplinary proceeding 
under this part based on conduct engaged in before the effective date 
hereof if such conduct would not have been subject to disciplinary 
action before such effective date.

                         PARTS 15	15a [RESERVED]



PART 41_PRACTICE BEFORE THE PATENT TRIAL AND APPEAL BOARD--
Table of Contents



                      Subpart A_General Provisions

Sec.
41.1 Policy.
41.2 Definitions.
41.3 Petitions.
41.4 Timeliness.
41.5 Counsel.
41.6 Public availability of Board records.
41.7 Management of the record.
41.8 Mandatory notices.
41.9 Action by owner.
41.10 Correspondence addresses.
41.11 Ex parte communications in inter partes proceedings.
41.12 Citation of authority.
41.20 Fees.

                       Subpart B_Ex Parte Appeals

41.30 Definitions.
41.31 Appeal to Board.
41.33 Amendments and affidavits or other Evidence after appeal.
41.35 Jurisdiction over appeal.
41.37 Appeal brief.
41.39 Examiner's answer.
41.40 Tolling of time period to file a reply brief.
41.41 Reply brief.
41.45 Appeal forwarding fee.

[[Page 461]]

41.47 Oral hearing.
41.50 Decisions and other actions by the Board.
41.52 Rehearing.
41.54 Action following decision.

                     Subpart C_Inter Partes Appeals

41.60 Definitions.
41.61 Notice of appeal and cross appeal to Board.
41.63 Amendments and affidavits or other evidence after appeal.
41.64 Jurisdiction over appeal in inter partes reexamination.
41.66 Time for filing briefs.
41.67 Appellant's brief.
41.68 Respondent's brief.
41.69 Examiner's answer.
41.71 Rebuttal brief.
41.73 Oral hearing.
41.77 Decisions and other actions by the Board.
41.79 Rehearing.
41.81 Action following decision.

                        Subpart D_Contested Cases

41.100 Definitions.
41.101 Notice of proceeding.
41.102 Completion of examination.
41.103 Jurisdiction over involved files.
41.104 Conduct of contested case.
41.106 Filing and service.
41.108 Lead counsel.
41.109 Access to and copies of Office records.
41.110 Filing claim information.
41.120 Notice of basis for relief.
41.121 Motions.
41.122 Oppositions and replies.
41.123 Default filing times.
41.124 Oral argument.
41.125 Decision on motions.
41.126 Arbitration.
41.127 Judgment.
41.128 Sanctions.
41.150 Discovery.
41.151 Admissibility.
41.152 Applicability of the Federal Rules of Evidence.
41.153 Records of the Office.
41.154 Form of evidence.
41.155 Objection; motion to exclude; motion in limine.
41.156 Compelling testimony and production.
41.157 Taking testimony.
41.158 Expert testimony; tests and data.

                     Subpart E_Patent Interferences

41.200 Procedure; pendency.
41.201 Definitions.
41.202 Suggesting an interference.
41.203 Declaration.
41.204 Notice of basis for relief.
41.205 Settlement agreements.
41.206 Common interests in the invention.
41.207 Presumptions.
41.208 Content of substantive and responsive motions.

    Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 134, 135, 
and Public Law 112-29.

    Source: 69 FR 50003, Aug. 12, 2004, unless otherwise noted.



                      Subpart A_General Provisions



Sec.41.1  Policy.

    (a) Scope. Part 41 governs appeals and interferences before the 
Patent Trial and Appeal Board. Sections 1.1 to 1.36 and 1.181 to 1.183 
of this title also apply to practice before the Board, as do other 
sections of part 1 of this title that are incorporated by reference into 
part 41.
    (b) Construction. The provisions of Part 41 shall be construed to 
secure the just, speedy, and inexpensive resolution of every proceeding 
before the Board.
    (c) Decorum. Each party must act with courtesy and decorum in all 
proceedings before the Board, including interactions with other parties.

[69 FR 50003, Aug. 12, 2004, as amended at 77 FR 46630, Aug. 6, 2012]



Sec.41.2  Definitions.

    Unless otherwise clear from the context, the following definitions 
apply to proceedings under this part:
    Affidavit means affidavit, declaration under Sec.1.68 of this 
title, or statutory declaration under 28 U.S.C. 1746. A transcript of an 
ex parte deposition may be used as an affidavit in a contested case.
    Board means the Patent Trial and Appeal Board and includes:
    (1) For a final Board action:
    (i) In an appeal or contested case, a panel of the Board.
    (ii) In a proceeding under Sec.41.3, the Chief Administrative 
Patent Judge or another official acting under an express delegation from 
the Chief Administrative Patent Judge.
    (2) For non-final actions, a Board member or employee acting with 
the authority of the Board.
    Board member means the Under Secretary of Commerce for Intellectual 
Property and Director of the United States Patent and Trademark Office,

[[Page 462]]

the Deputy Under Secretary of Commerce for Intellectual Property and 
Deputy Director of the United States Patent and Trademark Office, the 
Commissioner for Patents, the Commissioner for Trademarks, and the 
administrative patent judges.
    Contested case means a Board proceeding other than an appeal under 
35 U.S.C. 134 or a petition under Sec.41.3. An appeal in an inter 
partes reexamination is not a contested case.
    Final means, with regard to a Board action, final for the purposes 
of judicial review. A decision is final only if:
    (1) In a panel proceeding. The decision is rendered by a panel, 
disposes of all issues with regard to the party seeking judicial review, 
and does not indicate that further action is required; and
    (2) In other proceedings. The decision disposes of all issues or the 
decision states it is final.
    Hearing means consideration of the issues of record. Rehearing means 
reconsideration.
    Office means United States Patent and Trademark Office.
    Panel means at least three Board members acting in a panel 
proceeding.
    Panel proceeding means a proceeding in which final action is 
reserved by statute to at least three Board members, but includes a non-
final portion of such a proceeding whether administered by a panel or 
not.
    Party, in this part, means any entity participating in a Board 
proceeding, other than officers and employees of the Office, including:
    (1) An appellant;
    (2) A participant in a contested case;
    (3) A petitioner; and
    (4) Counsel for any of the above, where context permits.

[69 FR 50003, Aug. 12, 2004, as amended at 77 FR 46630, Aug. 6, 2012]



Sec.41.3  Petitions.

    (a) Deciding official. Petitions must be addressed to the Chief 
Administrative Patent Judge. A panel or an administrative patent judge 
may certify a question of policy to the Chief Administrative Patent 
Judge for decision. The Chief Administrative Patent Judge may delegate 
authority to decide petitions.
    (b) Scope. This section covers petitions on matters pending before 
the Board (Sec. Sec.41.35, 41.64, 41.103, and 41.205); otherwise, see 
Sec. Sec.1.181 to 1.183 of this title. The following matters are not 
subject to petition:
    (1) Issues committed by statute to a panel, and
    (2) In pending contested cases, procedural issues. See Sec.
41.121(a)(3) and Sec.41.125(c).
    (c) Petition fee. The fee set in Sec.41.20(a) must accompany any 
petition under this section except no fee is required for a petition 
under this section seeking supervisory review.
    (d) Effect on proceeding. The filing of a petition does not stay the 
time for any other action in a Board proceeding.
    (e) Time for action. (1) Except as otherwise provided in this part 
or as the Board may authorize in writing, a party may:
    (i) File the petition within 14 days from the date of the action 
from which the party is requesting relief, and
    (ii) File any request for reconsideration of a petition decision 
within 14 days of the decision on petition or such other time as the 
Board may set.
    (2) A party may not file an opposition or a reply to a petition 
without Board authorization.

[69 FR 50003, Aug. 12, 2004, as amended at 69 FR 58260, Sept. 30, 2004]



Sec.41.4  Timeliness.

    (a) Extensions of time. Extensions of time will be granted only on a 
showing of good cause except as otherwise provided by rule.
    (b) Late filings. (1) A late filing that results in either an 
application becoming abandoned or a reexamination prosecution becoming 
terminated under Sec.1.550(d) or Sec.1.957(b) of this title or 
limited under Sec.1.957(c) of this title may be revived as set forth 
in Sec.1.137 of this title.
    (2) A late filing that does not result in either an application 
becoming abandoned or a reexamination prosecution becoming terminated 
under Sec.1.550(d) or Sec.1.957(b) of this title or limited under 
Sec.1.957(c) of this title will be excused upon a showing of excusable 
neglect or a Board determination that consideration on the merits would 
be in the interest of justice.

[[Page 463]]

    (c) Scope. This section governs all proceedings before the Board, 
but does not apply to filings related to Board proceedings before or 
after the Board has jurisdiction, such as:
    (1) Extensions during prosecution (see Sec.1.136 of this title),
    (2) Filing of a brief or request for oral hearing (see Sec. Sec.
41.37, 41.41, 41.47, 41.67, 41.68, 41.71 and 41.73), or
    (3) Seeking judicial review (see Sec. Sec.1.301 to 1.304 of this 
title).

[69 FR 50003, Aug. 12, 2004, as amended at 72 FR 18907, Apr. 16, 2007]



Sec.41.5  Counsel.

    While the Board has jurisdiction:
    (a) Appearance pro hac vice. The Board may authorize a person other 
than a registered practitioner to appear as counsel in a specific 
proceeding.
    (b) Disqualification. (1) The Board may disqualify counsel in a 
specific proceeding after notice and an opportunity to be heard.
    (2) A decision to disqualify is not final for the purposes of 
judicial review until certified by the Chief Administrative Patent 
Judge.
    (c) Withdrawal. Counsel may not withdraw from a proceeding before 
the Board unless the Board authorizes such withdrawal. See Sec.11.116 
of this subchapter regarding conditions for withdrawal.
    (d) Procedure. The Board may institute a proceeding under this 
section on its own or a party in a contested case may request relief 
under this section.
    (e) Referral to the Director of Enrollment and Discipline. Possible 
violations of the disciplinary rules in part 11 of this subchapter may 
be referred to the Office of Enrollment and Discipline for 
investigation. See Sec.11.22 of this subchapter.

[69 FR 50003, Aug. 12, 2004, as amended at 73 FR 47704, Aug. 14, 2008; 
78 FR 20211, Apr. 3, 2013]



Sec.41.6  Public availability of Board records.

    (a) Publication--(1) Generally. Any Board action is available for 
public inspection without a party's permission if rendered in a file 
open to the public pursuant to Sec.1.11 of this title or in an 
application that has been published in accordance with Sec. Sec.1.211 
to 1.221 of this title. The Office may independently publish any Board 
action that is available for public inspection.
    (2) Determination of special circumstances. Any Board action not 
publishable under paragraph (a)(1) of this section may be published or 
made available for public inspection if the Director believes that 
special circumstances warrant publication and a party does not, within 
two months after being notified of the intention to make the action 
public, object in writing on the ground that the action discloses the 
objecting party's trade secret or other confidential information and 
states with specificity that such information is not otherwise publicly 
available. If the action discloses such information, the party shall 
identify the deletions in the text of the action considered necessary to 
protect the information. If the affected party considers that the entire 
action must be withheld from the public to protect such information, the 
party must explain why. The party will be given time, not less than 
twenty days, to request reconsideration and seek court review before any 
contested portion of the action is made public over its objection.
    (b) Record of proceeding. (1) The record of a Board proceeding is 
available to the public unless a patent application not otherwise 
available to the public is involved.
    (2) Notwithstanding paragraph (b)(1) of this section, after a final 
Board action in or judgment in a Board proceeding, the record of the 
Board proceeding will be made available to the public if any involved 
file is or becomes open to the public under Sec.1.11 of this title or 
an involved application is or becomes published under Sec. Sec.1.211 
to 1.221 of this title.



Sec.41.7  Management of the record.

    (a) The Board may expunge any paper directed to a Board proceeding, 
or filed while an application or patent is under the jurisdiction of the 
Board, that is not authorized under this part or in a Board order, or 
that is filed contrary to a Board order.

[[Page 464]]

    (b) A party may not file a paper previously filed in the same Board 
proceeding, not even as an exhibit or appendix, without Board 
authorization or as required by rule.



Sec.41.8  Mandatory notices.

    (a) In an appeal brief (Sec. Sec.41.37, 41.67, or 41.68) or at the 
initiation of a contested case (Sec.41.101), and within 20 days of any 
change during the proceeding, a party must identify:
    (1) Its real party-in-interest, and
    (2) Each judicial or administrative proceeding that could affect, or 
be affected by, the Board proceeding.
    (b) For contested cases, a party seeking judicial review of a Board 
proceeding must file a notice with the Board of the judicial review 
within 20 days of the filing of the complaint or the notice of appeal. 
The notice to the Board must include a copy of the complaint or notice 
of appeal. See also Sec. Sec.1.301 to 1.304 of this title.



Sec.41.9  Action by owner.

    (a) Entire interest. An owner of the entire interest in an 
application or patent involved in a Board proceeding may act in the 
proceeding to the exclusion of the inventor (see Sec. Sec.3.71 and 
3.73 of this title).
    (b) Part interest. An owner of a part interest in an application or 
patent involved in a Board proceeding may petition to act in the 
proceeding to the exclusion of an inventor or a co-owner. The petition 
must show the inability or refusal of an inventor or co-owner to 
prosecute the proceeding or other cause why it is in the interest of 
justice to permit the owner of a part interest to act in the proceeding. 
An order granting the petition may set conditions on the actions of the 
parties during the proceeding.

[69 FR 50003, Aug. 12, 2004, as amended at 77 FR 48826, Aug. 14, 2012]



Sec.41.10  Correspondence addresses.

    Except as the Board may otherwise direct,
    (a) Appeals. Correspondence in an application or a patent involved 
in an appeal (subparts B and C of this part) during the period beginning 
when an appeal docketing notice is issued and ending when a decision has 
been rendered by the Board, as well as any request for rehearing of a 
decision by the Board, shall be mailed to: Patent Trial and Appeal 
Board, United States Patent and Trademark Office, PO Box 1450, 
Alexandria, Virginia 22313-1450. Notices of appeal, appeal briefs, reply 
briefs, requests for oral hearing, as well as all other correspondence 
in an application or a patent involved in an appeal to the Board for 
which an address is not otherwise specified, should be addressed as set 
out in Sec.1.1(a)(1)(i) of this title.
    (b) Interferences. Mailed correspondence in interference (subpart D 
of this part) shall be sent to Mail Stop INTERFERENCE, Patent Trial and 
Appeal Board, United States Patent and Trademark Office, PO Box 1450, 
Alexandria, Virginia 22313-1450.
    (c) Trial Proceedings. Correspondence in trial proceedings (part 42 
of this title) are governed by Sec.42.6(b) of this title.

[77 FR 46630, Aug. 6, 2012]



Sec.41.11  Ex Parte communications in inter partes proceedings.

    An ex parte communication about an inter partes reexamination 
(subpart C of this part) or about a contested case (subparts D and E of 
this part) with a Board member, or with a Board employee assigned to the 
proceeding, is not permitted.



Sec.41.12  Citation of authority.

    (a) For any United States Supreme Court decision, citation to the 
United States Reports is preferred.
    (b) For any decision other than a United States Supreme Court 
decision, citation to the West Reporter System is preferred.
    (c) Citations to authority must include pinpoint citations whenever 
a specific holding or portion of an authority is invoked.
    (d) Non-binding authority should be used sparingly. If the authority 
is not an authority of the Office and is not reproduced in the United 
States Reports or the West Reporter System, a copy of the authority 
should be provided.

[76 FR 72296, Nov. 22, 2011]

[[Page 465]]



Sec.41.20  Fees.

    (a) Petition fee. The fee for filing a petition under this part is: 
$420.00.
    (b) Appeal fees.(1) For filing a notice of appeal from the examiner 
to the Patent Trial and Appeal Board:

                       Table 1 to Paragraph (b)(1)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $210.00
By a small entity (Sec. 1.27(a)).........................       420.00
By other than a small or micro entity......................       840.00
------------------------------------------------------------------------

    (2)(i) For filing a brief in support of an appeal in an application 
or ex parte reexamination proceeding: $0.00.
    (ii) In addition to the fee for filing a notice of appeal, for 
filing a brief in support of an appeal in an inter partes reexamination 
proceeding:

                     Table 2 to Paragraph (b)(2)(ii)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $525.00
By a small entity (Sec. 1.27(a)).........................     1,050.00
By other than a small or micro entity......................     2,100.00
------------------------------------------------------------------------

    (3) For filing a request for an oral hearing before the Board in an 
appeal under 35 U.S.C. 134:

                       Table 3 to Paragraph (b)(3)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $340.00
By a small entity (Sec. 1.27(a)).........................       680.00
By other than a small or micro entity......................     1,360.00
------------------------------------------------------------------------

    (4) In addition to the fee for filing a notice of appeal, for 
forwarding an appeal in an application or ex parte reexamination 
proceeding to the Board:

                       Table 4 to Paragraph (b)(4)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................      $590.00
By a small entity (Sec. 1.27(a)).........................     1,180.00
By other than a small or micro entity......................     2,360.00
------------------------------------------------------------------------


[78 FR 4290, Jan. 18, 2013, as amended at 82 FR 52817, Nov. 14, 2017; 85 
FR 46993, Aug. 3, 2020]



                       Subpart B_Ex Parte Appeals



Sec.41.30  Definitions.

    In addition to the definitions in Sec.41.2, the following 
definitions apply to proceedings under this subpart unless otherwise 
clear from the context:
    Applicant means either the applicant in a national application for a 
patent or the applicant in an application for reissue of a patent.
    Evidence means something (including testimony, documents and 
tangible objects) that tends to prove or disprove the existence of an 
alleged fact, except that for the purpose of this subpart Evidence does 
not include dictionaries, which may be cited before the Board.
    Owner means the owner of the patent undergoing ex parte 
reexamination under Sec.1.510 of this title.
    Proceeding means either a national application for a patent, an 
application for reissue of a patent, an ex parte reexamination 
proceeding, or a trial before the Patent Trial and Appeal Board. Appeal 
to the Board in an inter partes reexamination proceeding is controlled 
by subpart C of this part.
    Record means the items listed in the content listing of the Image 
File Wrapper of the official file of the application or reexamination 
proceeding on appeal or the official file of the Office if other than 
the Image File Wrapper, excluding amendments, Evidence, and other 
documents that were not entered. In the case of an issued patent being 
reissued or reexamined, the Record further includes the Record of the 
patent being reissued or reexamined.

[69 FR 50003, Aug. 12, 2004, as amended at 76 FR 72296, Nov. 22, 2011; 
77 FR 46630, Aug. 6, 2012]



Sec.41.31  Appeal to Board.

    (a) Who may appeal and how to file an appeal. An appeal is taken to 
the Board by filing a notice of appeal.
    (1) Every applicant, any of whose claims has been twice rejected, 
may appeal from the decision of the examiner to the Board by filing a 
notice of appeal accompanied by the fee set forth in Sec.41.20(b)(1) 
within the time period provided under Sec.1.134 of this title for 
reply.
    (2) Every owner of a patent under ex parte reexamination filed under 
Sec.1.510 of this title before November 29, 1999, any of whose claims 
has been twice rejected, may appeal from the decision of the examiner to 
the Board by filing a notice of appeal accompanied by the fee set forth 
in Sec.41.20(b)(1) within the

[[Page 466]]

time period provided under Sec.1.134 of this title for reply.
    (3) Every owner of a patent under ex parte reexamination filed under 
Sec.1.510 of this title on or after November 29, 1999, any of whose 
claims has been finally (Sec.1.113 of this title) rejected, may appeal 
from the decision of the examiner to the Board by filing a notice of 
appeal accompanied by the fee set forth in Sec.41.20(b)(1) within the 
time period provided under Sec.1.134 of this title for reply.
    (b) The signature requirements of Sec. Sec.1.33 and 11.18(a) of 
this title do not apply to a notice of appeal filed under this section.
    (c) An appeal, when taken, is presumed to be taken from the 
rejection of all claims under rejection unless cancelled by an amendment 
filed by the applicant and entered by the Office. Questions relating to 
matters not affecting the merits of the invention may be required to be 
settled before an appeal can be considered.
    (d) The time periods set forth in paragraphs (a)(1) through (a)(3) 
of this section are extendable under the provisions of Sec.1.136 of 
this title for patent applications and Sec.1.550(c) of this title for 
ex parte reexamination proceedings.

[69 FR 50003, Aug. 12, 2004, as amended at 76 FR 72296, Nov. 22, 2011]



Sec.41.33  Amendments and affidavits or other Evidence after appeal.

    (a) Amendments filed after the date of filing an appeal pursuant to 
Sec.41.31(a)(1) through (a)(3) and prior to the date a brief is filed 
pursuant to Sec.41.37 may be admitted as provided in Sec.1.116 of 
this title.
    (b) Amendments filed on or after the date of filing a brief pursuant 
to Sec.41.37 may be admitted:
    (1) To cancel claims, where such cancellation does not affect the 
scope of any other pending claim in the proceeding, or
    (2) To rewrite dependent claims into independent form.
    (c) All other amendments filed after the date of filing an appeal 
pursuant to Sec.41.31(a)(1) through (a)(3) will not be admitted except 
as permitted by Sec. Sec.41.39(b)(1), 41.50(a)(2)(i), and 41.50(b)(1).
    (d)(1) An affidavit or other Evidence filed after the date of filing 
an appeal pursuant to Sec.41.31(a)(1) through (a)(3) and prior to the 
date of filing a brief pursuant to Sec.41.37 may be admitted if the 
examiner determines that the affidavit or other Evidence overcomes all 
rejections under appeal and that a showing of good and sufficient 
reasons why the affidavit or other Evidence is necessary and was not 
earlier presented has been made.
    (2) All other affidavits or other Evidence filed after the date of 
filing an appeal pursuant to Sec.41.31(a)(1) through (a)(3) will not 
be admitted except as permitted by Sec. Sec.41.39(b)(1), 
41.50(a)(2)(i), and 41.50(b)(1).

[69 FR 50003, Aug. 12, 2004, as amended at 76 FR 72296, Nov. 22, 2011]



Sec.41.35  Jurisdiction over appeal.

    (a) Beginning of jurisdiction. Jurisdiction over the proceeding 
passes to the Board upon the filing of a reply brief under Sec.41.41 
or the expiration of the time in which to file such a reply brief, 
whichever is earlier.
    (b) End of jurisdiction. The jurisdiction of the Board ends when:
    (1) The Director or the Board enters a remand order (see Sec. Sec.
41.35(c), 41.35(e), and 41.50(a)(1)),
    (2) The Board enters a final decision (see Sec.41.2) and judicial 
review is sought or the time for seeking judicial review has expired,
    (3) An express abandonment which complies with Sec.1.138 of this 
title is recognized,
    (4) A request for continued examination is filed which complies with 
Sec.1.114 of this title,
    (5) Appellant fails to take any required action under Sec. Sec.
41.39(b), 41.50(a)(2), 41.50(b), or 41.50(d), and the Board enters an 
order of dismissal, or
    (6) Appellant reopens prosecution pursuant to Sec.41.40(b) or in 
response to a new ground of rejection entered in a decision of the Board 
(see Sec.41.50(b)(1)).
    (c) Remand ordered by the Director. Prior to the entry of a decision 
on the appeal by the Board (see Sec.41.50), the Director may sua 
sponte order the proceeding remanded to the examiner.
    (d) Documents filed during Board's jurisdiction. Except for 
petitions authorized by this part, consideration of any

[[Page 467]]

information disclosure statement or petition filed while the Board 
possesses jurisdiction over the proceeding will be held in abeyance 
until the Board's jurisdiction ends.
    (e) Administrative remands ordered by the Board. If, after receipt 
and review of the proceeding, the Board determines that the file is not 
complete or is not in compliance with the requirements of this subpart, 
the Board may relinquish jurisdiction to the examiner or take other 
appropriate action to permit completion of the file.

[76 FR 72297, Nov. 22, 2011]



Sec.41.37  Appeal brief.

    (a) Timing. Appellant must file a brief under this section within 
two months from the date of filing the notice of appeal under Sec.
41.31. The appeal brief fee in an application or ex parte reexamination 
proceeding is $0.00, but if the appeal results in an examiner's answer, 
the appeal forwarding fee set forth in Sec.41.20(b)(4) must be paid 
within the time period specified in Sec.41.45 to avoid dismissal of an 
appeal.
    (b) Failure to file a brief. On failure to file the brief within the 
period specified in paragraph (a) of this section, the appeal will stand 
dismissed.
    (c) Content of appeal brief. (1) Except as otherwise provided in 
this paragraph, the brief shall contain the following items under 
appropriate headings and in the order indicated in paragraphs (c)(1)(i) 
through (v) of this section, except that a brief filed by an appellant 
who is not represented by a registered practitioner need only 
substantially comply with paragraphs (c)(1)(i), (c)(1)(ii), (c)(1)(iv), 
and (c)(1)(v) of this section:
    (i) Real party in interest. A statement identifying by name the real 
party in interest at the time the appeal brief is filed, except that 
such statement is not required if the named inventor or inventors are 
themselves the real party in interest. If an appeal brief does not 
contain a statement of the real party in interest, the Office may assume 
that the named inventor or inventors are the real party in interest.
    (ii) Related appeals, interferences, and trials. A statement 
identifying by application, patent, appeal, interference, or trial 
number all other prior and pending appeals, interferences, trials before 
the Board, or judicial proceedings (collectively, ``related cases'') 
which satisfy all of the following conditions: involve an application or 
patent owned by the appellant or assignee, are known to appellant, the 
appellant's legal representative, or assignee, and may be related to, 
directly affect or be directly affected by or have a bearing on the 
Board's decision in the pending appeal, except that such statement is 
not required if there are no such related cases. If an appeal brief does 
not contain a statement of related cases, the Office may assume that 
there are no such related cases.
    (iii) Summary of claimed subject matter. A concise explanation of 
the subject matter defined in each of the rejected independent claims, 
which shall refer to the specification in the Record by page and line 
number or by paragraph number, and to the drawing, if any, by reference 
characters. For each rejected independent claim, and for each dependent 
claim argued separately under the provisions of paragraph (c)(1)(iv) of 
this section, if the claim contains a means plus function or step plus 
function recitation as permitted by 35 U.S.C. 112(f), then the concise 
explanation must identify the structure, material, or acts described in 
the specification in the Record as corresponding to each claimed 
function with reference to the specification in the Record by page and 
line number or by paragraph number, and to the drawing, if any, by 
reference characters. Reference to the patent application publication 
does not satisfy the requirements of this paragraph.
    (iv) Argument. The arguments of appellant with respect to each 
ground of rejection, and the basis therefor, with citations of the 
statutes, regulations, authorities, and parts of the Record relied on. 
The arguments shall explain why the examiner erred as to each ground of 
rejection contested by appellant. Except as provided for in Sec. Sec.
41.41, 41.47 and 41.52, any arguments or authorities not included in the 
appeal brief will be refused consideration by the Board for purposes of 
the present appeal. Each ground of rejection contested by appellant must 
be argued under a separate heading, and each

[[Page 468]]

heading shall reasonably identify the ground of rejection being 
contested (e.g., by claim number, statutory basis, and applied 
reference, if any). For each ground of rejection applying to two or more 
claims, the claims may be argued separately (claims are considered by 
appellant as separately patentable), as a group (all claims subject to 
the ground of rejection stand or fall together), or as a subgroup (a 
subset of the claims subject to the ground of rejection stand or fall 
together). When multiple claims subject to the same ground of rejection 
are argued as a group or subgroup by appellant, the Board may select a 
single claim from the group or subgroup and may decide the appeal as to 
the ground of rejection with respect to the group or subgroup on the 
basis of the selected claim alone. Notwithstanding any other provision 
of this paragraph, the failure of appellant to separately argue claims 
which appellant has grouped together shall constitute a waiver of any 
argument that the Board must consider the patentability of any grouped 
claim separately. Under each heading identifying the ground of rejection 
being contested, any claim(s) argued separately or as a subgroup shall 
be argued under a separate subheading that identifies the claim(s) by 
number. A statement which merely points out what a claim recites will 
not be considered an argument for separate patentability of the claim.
    (v) Claims appendix. An appendix containing a copy of the claims 
involved in the appeal.
    (2) A brief shall not include any new or non-admitted amendment, or 
any new or non-admitted affidavit or other Evidence. See Sec.1.116 of 
this title for treatment of amendments, affidavits or other evidence 
filed after final action but before or on the same date of filing an 
appeal and Sec.41.33 for treatment of amendments, affidavits or other 
Evidence filed after the date of filing the appeal. Review of an 
examiner's refusal to admit an amendment or Evidence is by petition to 
the Director. See Sec.1.181 of this title.
    (d) Notice of non-compliance. If a brief is filed which does not 
comply with all the requirements of paragraph (c) of this section, 
appellant will be notified of the reasons for non-compliance and given a 
time period within which to file an amended brief. If appellant does 
not, within the set time period, file an amended brief that overcomes 
all the reasons for non-compliance stated in the notification, the 
appeal will stand dismissed. Review of a determination of non-compliance 
is by petition to the Chief Administrative Patent Judge. See Sec.41.3.
    (e) Extensions of time. The time periods set forth in this section 
are extendable under the provisions of Sec.1.136 of this title for 
patent applications and Sec.1.550(c) of this title for ex parte 
reexamination proceedings.

[69 FR 50003, Aug. 12, 2004, as amended at 76 FR 72297, Nov. 22, 2011; 
77 FR 46630, Aug. 6, 2012; 78 FR 4291, Jan. 18, 2013; 78 FR 17107, Mar. 
20, 2013]



Sec.41.39  Examiner's answer.

    (a) Content of examiner's answer. The primary examiner may, within 
such time as may be directed by the Director, furnish a written answer 
to the appeal brief.
    (1) An examiner's answer is deemed to incorporate all of the grounds 
of rejection set forth in the Office action from which the appeal is 
taken (as modified by any advisory action and pre-appeal brief 
conference decision), unless the examiner's answer expressly indicates 
that a ground of rejection has been withdrawn.
    (2) An examiner's answer may include a new ground of rejection. For 
purposes of the examiner's answer, any rejection that relies upon any 
Evidence not relied upon in the Office action from which the appeal is 
taken (as modified by any advisory action) shall be designated by the 
primary examiner as a new ground of rejection. The examiner must obtain 
the approval of the Director to furnish an answer that includes a new 
ground of rejection.
    (b) Appellant's response to new ground of rejection. If an 
examiner's answer contains a rejection designated as a new ground of 
rejection, appellant must within two months from the date of the 
examiner's answer exercise one of the following two options to avoid sua 
sponte dismissal of the appeal as to the claims subject to the new 
ground of rejection:

[[Page 469]]

    (1) Reopen prosecution. Request that prosecution be reopened before 
the primary examiner by filing a reply under Sec.1.111 of this title 
with or without amendment or submission of affidavits (Sec. Sec.1.130, 
1.131 or 1.132 of this of this title) or other Evidence. Any amendment 
or submission of affidavits or other Evidence must be relevant to the 
new ground of rejection. A request that complies with this paragraph 
will be entered and the application or the patent under ex parte 
reexamination will be reconsidered by the examiner under the provisions 
of Sec.1.112 of this title. Any request that prosecution be reopened 
under this paragraph will be treated as a request to withdraw the 
appeal.
    (2) Maintain appeal. Request that the appeal be maintained by filing 
a reply brief as set forth in Sec.41.41. Such a reply brief must 
address as set forth in Sec.41.37(c)(1)(iv) each new ground of 
rejection and should follow the other requirements of a brief as set 
forth in Sec.41.37(c). A reply brief may not be accompanied by any 
amendment, affidavit (Sec. Sec.1.130, 1.131 or 1.132 of this of this 
title) or other Evidence. If a reply brief filed pursuant to this 
section is accompanied by any amendment, affidavit or other Evidence, it 
shall be treated as a request that prosecution be reopened before the 
primary examiner under paragraph (b)(1) of this section.
    (c) Extensions of time. Extensions of time under Sec.1.136(a) of 
this title for patent applications are not applicable to the time period 
set forth in this section. See Sec.1.136(b) of this title for 
extensions of time to reply for patent applications and Sec.1.550(c) 
of this title for extensions of time to reply for ex parte reexamination 
proceedings.

[69 FR 50003, Aug. 12, 2004, as amended at 76 FR 72298, Nov. 22, 2011]



Sec.41.40  Tolling of time period to file a reply brief.

    (a) Timing. Any request to seek review of the primary examiner's 
failure to designate a rejection as a new ground of rejection in an 
examiner's answer must be by way of a petition to the Director under 
Sec.1.181 of this title filed within two months from the entry of the 
examiner's answer and before the filing of any reply brief. Failure of 
appellant to timely file such a petition will constitute a waiver of any 
arguments that a rejection must be designated as a new ground of 
rejection.
    (b) Petition granted and prosecution reopened. A decision granting a 
petition under Sec.1.181 to designate a new ground of rejection in an 
examiner's answer will provide a two-month time period in which 
appellant must file a reply under Sec.1.111 of this title to reopen 
the prosecution before the primary examiner. On failure to timely file a 
reply under Sec.1.111, the appeal will stand dismissed.
    (c) Petition not granted and appeal maintained. A decision refusing 
to grant a petition under Sec.1.181 of this title to designate a new 
ground of rejection in an examiner's answer will provide a two-month 
time period in which appellant may file only a single reply brief under 
Sec.41.41.
    (d) Withdrawal of petition and appeal maintained. If a reply brief 
under Sec.41.41 is filed within two months from the date of the 
examiner's answer and on or after the filing of a petition under Sec.
1.181 to designate a new ground of rejection in an examiner's answer, 
but before a decision on the petition, the reply brief will be treated 
as a request to withdraw the petition and to maintain the appeal.
    (e) Extensions of time. Extensions of time under Sec.1.136(a) of 
this title for patent applications are not applicable to the time period 
set forth in this section. See Sec.1.136(b) of this title for 
extensions of time to reply for patent applications and Sec.1.550(c) 
of this title for extensions of time to reply for ex parte reexamination 
proceedings.

[76 FR 72298, Nov. 22, 2011]



Sec.41.41  Reply brief.

    (a) Timing. Appellant may file only a single reply brief to an 
examiner's answer within the later of two months from the date of either 
the examiner's answer, or a decision refusing to grant a petition under 
Sec.1.181 of this title to designate a new ground of rejection in an 
examiner's answer.
    (b) Content. (1) A reply brief shall not include any new or non-
admitted amendment, or any new or non-admitted affidavit or other 
Evidence. See

[[Page 470]]

Sec.1.116 of this title for amendments, affidavits or other evidence 
filed after final action but before or on the same date of filing an 
appeal and Sec.41.33 for amendments, affidavits or other Evidence 
filed after the date of filing the appeal.
    (2) Any argument raised in the reply brief which was not raised in 
the appeal brief, or is not responsive to an argument raised in the 
examiner's answer, including any designated new ground of rejection, 
will not be considered by the Board for purposes of the present appeal, 
unless good cause is shown.
    (c) Extensions of time. Extensions of time under Sec.1.136(a) of 
this title for patent applications are not applicable to the time period 
set forth in this section. See Sec.1.136(b) of this title for 
extensions of time to reply for patent applications and Sec.1.550(c) 
of this title for extensions of time to reply for ex parte reexamination 
proceedings.

[69 FR 50003, Aug. 12, 2004, as amended at 76 FR 72298, Nov. 22, 2011]



Sec.41.45  Appeal forwarding fee.

    (a) Timing. Appellant in an application or ex parte reexamination 
proceeding must pay the fee set forth in Sec.41.20(b)(4) within the 
later of two months from the date of either the examiner's answer, or a 
decision refusing to grant a petition under Sec.1.181 of this chapter 
to designate a new ground of rejection in an examiner's answer.
    (b) Failure to pay appeal forwarding fee. On failure to pay the fee 
set forth in Sec.41.20(b)(4) within the period specified in paragraph 
(a) of this section, the appeal will stand dismissed.
    (c) Extensions of time. Extensions of time under Sec.1.136(a) of 
this title for patent applications are not applicable to the time period 
set forth in this section. See Sec.1.136(b) of this title for 
extensions of time to reply for patent applications and Sec.1.550(c) 
of this title for extensions of time to reply for ex parte reexamination 
proceedings.

[78 FR 17107, Mar. 20, 2013]



Sec.41.47  Oral hearing.

    (a) An oral hearing should be requested only in those circumstances 
in which appellant considers such a hearing necessary or desirable for a 
proper presentation of the appeal. An appeal decided on the briefs 
without an oral hearing will receive the same consideration by the Board 
as appeals decided after an oral hearing.
    (b) If appellant desires an oral hearing, appellant must file, as a 
separate paper captioned ``REQUEST FOR ORAL HEARING,'' a written request 
for such hearing accompanied by the fee set forth in Sec.41.20(b)(3) 
within two months from the date of the examiner's answer or on the date 
of filing of a reply brief, whichever is earlier.
    (c) If no request and fee for oral hearing have been timely filed by 
appellant as required by paragraph (b) of this section, the appeal will 
be assigned for consideration and decision on the briefs without an oral 
hearing.
    (d) If appellant has complied with all the requirements of paragraph 
(b) of this section, a date for the oral hearing will be set, and due 
notice thereof given to appellant. If an oral hearing is held, an oral 
argument may be presented by, or on behalf of, the primary examiner if 
considered desirable by either the primary examiner or the Board. A 
hearing will be held as stated in the notice, and oral argument will 
ordinarily be limited to twenty minutes for appellant and fifteen 
minutes for the primary examiner unless otherwise ordered.
    (e)(1) Appellant will argue first and may reserve time for rebuttal. 
At the oral hearing, appellant may only rely on Evidence that has been 
previously entered and considered by the primary examiner and present 
argument that has been relied upon in the brief or reply brief except as 
permitted by paragraph (e)(2) of this section. The primary examiner may 
only rely on argument and Evidence relied upon in an answer except as 
permitted by paragraph (e)(2) of this section.
    (2) Upon a showing of good cause, appellant and/or the primary 
examiner may rely on a new argument based upon a recent relevant 
decision of either the Board or a Federal Court.
    (f) Notwithstanding the submission of a request for oral hearing 
complying with this rule, if the Board decides that a hearing is not 
necessary, the Board will so notify appellant.

[[Page 471]]

    (g) Extensions of time under Sec.1.136(a) of this title for patent 
applications are not applicable to the time periods set forth in this 
section. See Sec.1.136(b) of this title for extensions of time to 
reply for patent applications and Sec.1.550(c) of this title for 
extensions of time to reply for ex parte reexamination proceedings.

[69 FR 50003, Aug. 12, 2004, as amended at 76 FR 72298, Nov. 22, 2011]



Sec.41.50  Decisions and other actions by the Board.

    (a)(1) Affirmance and reversal. The Board, in its decision, may 
affirm or reverse the decision of the examiner in whole or in part on 
the grounds and on the claims specified by the examiner. The affirmance 
of the rejection of a claim on any of the grounds specified constitutes 
a general affirmance of the decision of the examiner on that claim, 
except as to any ground specifically reversed. The Board may also remand 
an application to the examiner.
    (2) If a substitute examiner's answer is written in response to a 
remand by the Board for further consideration of a rejection pursuant to 
paragraph (a)(1) of this section, the appellant must within two months 
from the date of the substitute examiner's answer exercise one of the 
following two options to avoid sua sponte dismissal of the appeal as to 
the claims subject to the rejection for which the Board has remanded the 
proceeding:
    (i) Reopen prosecution. Request that prosecution be reopened before 
the examiner by filing a reply under Sec.1.111 of this title with or 
without amendment or submission of affidavits (Sec. Sec.1.130, 1.131 
or 1.132 of this title) or other Evidence. Any amendment or submission 
of affidavits or other Evidence must be relevant to the issues set forth 
in the remand or raised in the substitute examiner's answer. A request 
that complies with this paragraph (a) will be entered and the 
application or the patent under ex parte reexamination will be 
reconsidered by the examiner under the provisions of Sec.1.112 of this 
title. Any request that prosecution be reopened under this paragraph 
will be treated as a request to withdraw the appeal.
    (ii) Maintain appeal. Request that the appeal be maintained by 
filing a reply brief as provided in Sec.41.41. If such a reply brief 
is accompanied by any amendment, affidavit or other Evidence, it shall 
be treated as a request that prosecution be reopened before the examiner 
under paragraph (a)(2)(i) of this section.
    (b) New ground of rejection. Should the Board have knowledge of any 
grounds not involved in the appeal for rejecting any pending claim, it 
may include in its opinion a statement to that effect with its reasons 
for so holding, and designate such a statement as a new ground of 
rejection of the claim. A new ground of rejection pursuant to this 
paragraph shall not be considered final for judicial review. When the 
Board enters such a non-final decision, the appellant, within two months 
from the date of the decision, must exercise one of the following two 
options with respect to the new ground of rejection to avoid termination 
of the appeal as to the rejected claims:
    (1) Reopen prosecution. Submit an appropriate amendment of the 
claims so rejected or new Evidence relating to the claims so rejected, 
or both, and have the matter reconsidered by the examiner, in which 
event the prosecution will be remanded to the examiner. The new ground 
of rejection is binding upon the examiner unless an amendment or new 
Evidence not previously of Record is made which, in the opinion of the 
examiner, overcomes the new ground of rejection designated in the 
decision. Should the examiner reject the claims, appellant may again 
appeal to the Board pursuant to this subpart.
    (2) Request rehearing. Request that the proceeding be reheard under 
Sec.41.52 by the Board upon the same Record. The request for rehearing 
must address any new ground of rejection and state with particularity 
the points believed to have been misapprehended or overlooked in 
entering the new ground of rejection and also state all other grounds 
upon which rehearing is sought.
    (c) Review of undesignated new ground of rejection. Any request to 
seek review of a panel's failure to designate a new ground of rejection 
in its decision must be raised by filing a request for rehearing as set 
forth in Sec.41.52. Failure of appellant to timely file such a request 
for

[[Page 472]]

rehearing will constitute a waiver of any arguments that a decision 
contains an undesignated new ground of rejection.
    (d) Request for briefing and information. The Board may order 
appellant to additionally brief any matter that the Board considers to 
be of assistance in reaching a reasoned decision on the pending appeal. 
Appellant will be given a time period within which to respond to such an 
order. Failure to timely comply with the order may result in the sua 
sponte dismissal of the appeal.
    (e) Remand not final action. Whenever a decision of the Board 
includes a remand, that decision shall not be considered final for 
judicial review. When appropriate, upon conclusion of proceedings on 
remand before the examiner, the Board may enter an order otherwise 
making its decision final for judicial review.
    (f) Extensions of time. Extensions of time under Sec.1.136(a) of 
this title for patent applications are not applicable to the time 
periods set forth in this section. See Sec.1.136(b) of this title for 
extensions of time to reply for patent applications and Sec.1.550(c) 
of this title for extensions of time to reply for ex parte reexamination 
proceedings.

[76 FR 72299, Nov. 22, 2011]



Sec.41.52  Rehearing.

    (a)(1) Appellant may file a single request for rehearing within two 
months of the date of the original decision of the Board. No request for 
rehearing from a decision on rehearing will be permitted, unless the 
rehearing decision so modified the original decision as to become, in 
effect, a new decision, and the Board states that a second request for 
rehearing would be permitted. The request for rehearing must state with 
particularity the points believed to have been misapprehended or 
overlooked by the Board. Arguments not raised, and Evidence not 
previously relied upon, pursuant to Sec. Sec.41.37, 41.41, or 41.47 
are not permitted in the request for rehearing except as permitted by 
paragraphs (a)(2) through (a)(4) of this section. When a request for 
rehearing is made, the Board shall render a decision on the request for 
rehearing. The decision on the request for rehearing is deemed to 
incorporate the earlier opinion reflecting its decision for appeal, 
except for those portions specifically withdrawn on rehearing, and is 
final for the purpose of judicial review, except when noted otherwise in 
the decision on rehearing.
    (2) Appellant may present a new argument based upon a recent 
relevant decision of either the Board or a Federal Court.
    (3) New arguments responding to a new ground of rejection designated 
pursuant to Sec.41.50(b) are permitted.
    (4) New arguments that the Board's decision contains an undesignated 
new ground of rejection are permitted.
    (b) Extensions of time under Sec.1.136(a) of this title for patent 
applications are not applicable to the time period set forth in this 
section. See Sec.1.136(b) of this title for extensions of time to 
reply for patent applications and Sec.1.550(c) of this title for 
extensions of time to reply for ex parte reexamination proceedings.

[69 FR 50003, Aug. 12, 2004, as amended at 76 FR 72299, Nov. 22, 2011]



Sec.41.54  Action following decision.

    After decision by the Board, jurisdiction over an application or 
patent under ex parte reexamination proceeding passes to the examiner, 
subject to appellant's right of appeal or other review, for such further 
action by appellant or by the examiner, as the condition of the 
application or patent under ex parte reexamination proceeding may 
require, to carry into effect the decision.

[76 FR 72299, Nov. 22, 2011]



                     Subpart C_Inter Partes Appeals



Sec.41.60  Definitions.

    In addition to the definitions in Sec.41.2, the following 
definitions apply to proceedings under this subpart unless otherwise 
clear from the context:
    Appellant means any party, whether the owner or a requester, filing 
a notice of appeal or cross appeal under Sec.41.61. If more than one 
party appeals or cross appeals, each appealing or cross appealing party 
is an appellant with respect to the claims to which his or her appeal or 
cross appeal is directed.

[[Page 473]]

    Filing means filing with a certificate indicating service of the 
document under Sec.1.903 of this title.
    Owner means the owner of the patent undergoing inter partes 
reexamination under Sec.1.915 of this title.
    Proceeding means an inter partes reexamination proceeding. Appeal to 
the Board in an ex parte reexamination proceeding is controlled by 
subpart B of this part. An inter partes reexamination proceeding is not 
a contested case subject to subpart D.
    Requester means each party, other than the owner, who requested that 
the patent undergo inter partes reexamination under Sec.1.915 of this 
title.
    Respondent means any requester responding under Sec.41.68 to the 
appellant's brief of the owner, or the owner responding under Sec.
41.68 to the appellant's brief of any requester. No requester may be a 
respondent to the appellant brief of any other requester.



Sec.41.61  Notice of appeal and cross appeal to Board.

    (a)(1) Upon the issuance of a Right of Appeal Notice under Sec.
1.953 of this title, the owner may appeal to the Board with respect to 
the final rejection of any claim of the patent by filing a notice of 
appeal within the time provided in the Right of Appeal Notice and paying 
the fee set forth in Sec.41.20(b)(1).
    (2) Upon the issuance of a Right of Appeal Notice under Sec.1.953 
of this title, the requester may appeal to the Board with respect to any 
final decision favorable to the patentability, including any final 
determination not to make a proposed rejection, of any original, 
proposed amended, or new claim of the patent by filing a notice of 
appeal within the time provided in the Right of Appeal Notice and paying 
the fee set forth in Sec.41.20(b)(1).
    (b)(1) Within fourteen days of service of a requester's notice of 
appeal under paragraph (a)(2) of this section and upon payment of the 
fee set forth in Sec.41.20(b)(1), an owner who has not filed a notice 
of appeal may file a notice of cross appeal with respect to the final 
rejection of any claim of the patent.
    (2) Within fourteen days of service of an owner's notice of appeal 
under paragraph (a)(1) of this section and upon payment of the fee set 
forth in Sec.41.20(b)(1), a requester who has not filed a notice of 
appeal may file a notice of cross appeal with respect to any final 
decision favorable to the patentability, including any final 
determination not to make a proposed rejection, of any original, 
proposed amended, or new claim of the patent.
    (c) The notice of appeal or cross appeal in the proceeding must 
identify the appealed claim(s) and must be signed by the owner, the 
requester, or a duly authorized attorney or agent.
    (d) An appeal or cross appeal, when taken, must be taken from all 
the rejections of the claims in a Right of Appeal Notice which the 
patent owner proposes to contest or from all the determinations 
favorable to patentability, including any final determination not to 
make a proposed rejection, in a Right of Appeal Notice which a requester 
proposes to contest. Questions relating to matters not affecting the 
merits of the invention may be required to be settled before an appeal 
is decided.
    (e) The time periods for filing a notice of appeal or cross appeal 
may not be extended.
    (f) If a notice of appeal or cross appeal is timely filed but does 
not comply with any requirement of this section, appellant will be 
notified of the reasons for non-compliance and given a non-extendable 
time period within which to file an amended notice of appeal or cross 
appeal. If the appellant does not then file an amended notice of appeal 
or cross appeal within the set time period, or files a notice which does 
not overcome all the reasons for non-compliance stated in the 
notification of the reasons for non-compliance, that appellant's appeal 
or cross appeal will stand dismissed.



Sec.41.63  Amendments and affidavits or other evidence after appeal.

    (a) Amendments filed after the date of filing an appeal pursuant to 
Sec.41.61 canceling claims may be admitted where such cancellation 
does not affect the scope of any other pending claim in the proceeding.
    (b) All other amendments filed after the date of filing an appeal 
pursuant to Sec.41.61 will not be admitted except as permitted by 
Sec.41.77(b)(1).

[[Page 474]]

    (c) Affidavits or other evidence filed after the date of filing an 
appeal pursuant to Sec.41.61 will not be admitted except as permitted 
by reopening prosecution under Sec.41.77(b)(1).



Sec.41.64  Jurisdiction over appeal in inter partes reexamination.

    (a) Jurisdiction over the proceeding passes to the Board upon 
transmittal of the file, including all briefs and examiner's answers, to 
the Board.
    (b) If, after receipt and review of the proceeding, the Board 
determines that the file is not complete or is not in compliance with 
the requirements of this subpart, the Board may relinquish jurisdiction 
to the examiner or take other appropriate action to permit completion of 
the file.
    (c) Prior to the entry of a decision on the appeal by the Board, the 
Director may sua sponte order the proceeding remanded to the examiner.



Sec.41.66  Time for filing briefs.

    (a) An appellant's brief must be filed no later than two months from 
the latest filing date of the last-filed notice of appeal or cross 
appeal or, if any party to the proceeding is entitled to file an appeal 
or cross appeal but fails to timely do so, no later than two months from 
the expiration of the time for filing (by the last party entitled to do 
so) such notice of appeal or cross appeal. The time for filing an 
appellant's brief or an amended appellant's brief may not be extended.
    (b) Once an appellant's brief has been properly filed, any brief 
must be filed by respondent within one month from the date of service of 
the appellant's brief. The time for filing a respondent's brief or an 
amended respondent's brief may not be extended.
    (c) The examiner will consider both the appellant's and respondent's 
briefs and may prepare an examiner's answer under Sec.41.69.
    (d) Any appellant may file a rebuttal brief under Sec.41.71 within 
one month of the date of the examiner's answer. The time for filing a 
rebuttal brief or an amended rebuttal brief may not be extended.
    (e) No further submission will be considered and any such submission 
will be treated in accordance with Sec.1.939 of this title.



Sec.41.67  Appellant's brief.

    (a)(1) Appellant(s) may once, within time limits for filing set 
forth in Sec.41.66, file a brief and serve the brief on all other 
parties to the proceeding in accordance with Sec.1.903 of this title.
    (2) The brief must be signed by the appellant, or the appellant's 
duly authorized attorney or agent and must be accompanied by the 
requisite fee set forth in Sec.41.20(b)(2).
    (b) An appellant's appeal shall stand dismissed upon failure of that 
appellant to file an appellant's brief, accompanied by the requisite 
fee, within the time allowed under Sec.41.66(a).
    (c)(1) The appellant's brief shall contain the following items under 
appropriate headings and in the order indicated in paragraphs (c)(1)(i) 
through (c)(1)(xi) of this section.
    (i) Real party in interest. A statement identifying by name the real 
party in interest.
    (ii) Related appeals, interferences, and trials. A statement 
identifying by application, patent, appeal, interference, or trial 
number all other prior and pending appeals, interferences, trials before 
the Board, or judicial proceedings known to appellant, the appellant's 
legal representative, or assignee which may be related to, directly 
affect or be directly affected by or have a bearing on the Board's 
decision in the pending appeal. Copies of any decisions rendered by a 
court or the Board in any proceeding identified under this paragraph 
must be included in an appendix as required by paragraph (c)(1)(xi) of 
this section.
    (iii) Status of claims. A statement of the status of all the claims 
in the proceeding (e.g., rejected, allowed or confirmed, withdrawn, 
objected to, canceled). If the appellant is the owner, the appellant 
must also identify the rejected claims whose rejection is being 
appealed. If the appellant is a requester, the appellant must identify 
the claims that the examiner has made a determination favorable to 
patentability, which determination is being appealed.
    (iv) Status of amendments. A statement of the status of any 
amendment

[[Page 475]]

filed subsequent to the close of prosecution.
    (v) Summary of claimed subject matter. A concise explanation of the 
subject matter defined in each of the independent claims involved in the 
appeal, which shall refer to the specification by column and line 
number, and to the drawing(s), if any, by reference characters. For each 
independent claim involved in the appeal and for each dependent claim 
argued separately under the provisions of paragraph (c)(1)(vii) of this 
section, every means plus function and step plus function as permitted 
by 35 U.S.C. 112(f), must be identified and the structure, material, or 
acts described in the specification as corresponding to each claimed 
function must be set forth with reference to the specification by page 
and line number, and to the drawing, if any, by reference characters.
    (vi) Issues to be reviewed on appeal. A concise statement of each 
issue presented for review. No new ground of rejection can be proposed 
by a third party requester appellant, unless such ground was withdrawn 
by the examiner during the prosecution of the proceeding, and the third 
party requester has not yet had an opportunity to propose it as a third 
party requester proposed ground of rejection.
    (vii) Argument. The contentions of appellant with respect to each 
issue presented for review in paragraph (c)(1)(vi) of this section, and 
the basis therefor, with citations of the statutes, regulations, 
authorities, and parts of the record relied on. Any arguments or 
authorities not included in the brief permitted under this section or 
Sec. Sec.41.68 and 41.71 will be refused consideration by the Board, 
unless good cause is shown. Each issue must be treated under a separate 
heading. If the appellant is the patent owner, for each ground of 
rejection in the Right of Appeal Notice which appellant contests and 
which applies to two or more claims, the claims may be argued separately 
or as a group. When multiple claims subject to the same ground of 
rejection are argued as a group by appellant, the Board may select a 
single claim from the group of claims that are argued together to decide 
the appeal with respect to the group of claims as to the ground of 
rejection on the basis of the selected claim alone. Notwithstanding any 
other provision of this paragraph, the failure of appellant to 
separately argue claims which appellant has grouped together shall 
constitute a waiver of any argument that the Board must consider the 
patentability of any grouped claim separately. Any claim argued 
separately should be placed under a subheading identifying the claim by 
number. Claims argued as a group should be placed under a subheading 
identifying the claims by number. A statement which merely points out 
what a claim recites will not be considered an argument for separate 
patentability of the claim.
    (viii) Claims appendix. An appendix containing a copy of the claims 
to be reviewed on appeal.
    (ix) Evidence appendix. An appendix containing copies of any 
evidence submitted pursuant to Sec. Sec.1.130, 1.131, or 1.132 of this 
title or of any other evidence entered by the examiner and relied upon 
by appellant in the appeal, along with a statement setting forth where 
in the record that evidence was entered in the record by the examiner. 
Reference to unentered evidence is not permitted in the brief. See Sec.
41.63 for treatment of evidence submitted after appeal. This appendix 
may also include copies of the evidence relied upon by the examiner in 
any ground of rejection to be reviewed on appeal.
    (x) Related proceedings appendix. An appendix containing copies of 
decisions rendered by a court or the Board in any proceeding identified 
pursuant to paragraph (c)(1)(ii) of this section.
    (xi) Certificate of service. A certification that a copy of the 
brief has been served in its entirety on all other parties to the 
reexamination proceeding. The names and addresses of the parties served 
must be indicated.
    (2) A brief shall not include any new or non-admitted amendment, or 
any new or non-admitted affidavit or other evidence. See Sec.1.116 of 
this title for amendments, affidavits or other evidence filed after 
final action but before or on the same date of filing an appeal and 
Sec.41.63 for amendments, affidavits or other evidence after the date 
of filing the appeal.

[[Page 476]]

    (d) If a brief is filed which does not comply with all the 
requirements of paragraph (a) and paragraph (c) of this section, 
appellant will be notified of the reasons for non-compliance and given a 
non-extendable time period within which to file an amended brief. If 
appellant does not file an amended brief within the set time period, or 
files an amended brief which does not overcome all the reasons for non-
compliance stated in the notification, that appellant's appeal will 
stand dismissed.

[69 FR 50003, Aug. 12, 2004, as amended at 77 FR 46630, Aug. 6, 2012]



Sec.41.68  Respondent's brief.

    (a)(1) Respondent(s) in an appeal may once, within the time limit 
for filing set forth in Sec.41.66, file a respondent brief and serve 
the brief on all parties in accordance with Sec.1.903 of this title.
    (2) The brief must be signed by the party, or the party's duly 
authorized attorney or agent, and must be accompanied by the requisite 
fee set forth in Sec.41.20(b)(2).
    (3) The respondent brief shall be limited to issues raised in the 
appellant brief to which the respondent brief is directed.
    (4) A requester's respondent brief may not address any brief of any 
other requester.
    (b)(1) The respondent brief shall contain the following items under 
appropriate headings and in the order here indicated, and may include an 
appendix containing only those portions of the record on which reliance 
has been made.
    (i) Real Party in Interest. A statement identifying by name the real 
party in interest.
    (ii) Related Appeals, Interferences, and trials. A statement 
identifying by application, patent, appeal, interference, or trial 
number all other prior and pending appeals, interferences or judicial 
proceedings known to respondent, the respondent's legal representative, 
or assignee which may be related to, directly affect or be directly 
affected by or have a bearing on the Board's decision in the pending 
appeal. Copies of any decisions rendered by a court or the Board in any 
proceeding identified under this paragraph must be included in an 
appendix as required by paragraph (b)(1)(ix) of this section.
    (iii) Status of claims. A statement accepting or disputing 
appellant's statement of the status of claims. If appellant's statement 
of the status of claims is disputed, the errors in appellant's statement 
must be specified with particularity.
    (iv) Status of amendments. A statement accepting or disputing 
appellant's statement of the status of amendments. If appellant's 
statement of the status of amendments is disputed, the errors in 
appellant's statement must be specified with particularity.
    (v) Summary of claimed subject matter. A statement accepting or 
disputing appellant's summary of the subject matter defined in each of 
the independent claims involved in the appeal. If appellant's summary of 
the subject matter is disputed, the errors in appellant's summary must 
be specified.
    (vi) Issues to be reviewed on appeal. A statement accepting or 
disputing appellant's statement of the issues presented for review. If 
appellant's statement of the issues presented for review is disputed, 
the errors in appellant's statement must be specified. A counter 
statement of the issues for review may be made. No new ground of 
rejection can be proposed by a requester respondent.
    (vii) Argument. A statement accepting or disputing the contentions 
of appellant with each of the issues presented by the appellant for 
review. If a contention of the appellant is disputed, the errors in 
appellant's argument must be specified, stating the basis therefor, with 
citations of the statutes, regulations, authorities, and parts of the 
record relied on. Each issue must be treated under a separate heading. 
An argument may be made with each of the issues stated in the counter 
statement of the issues, with each counter-stated issue being treated 
under a separate heading.
    (viii) Evidence appendix. An appendix containing copies of any 
evidence submitted pursuant to Sec. Sec.1.130, 1.131, or 1.132 of this 
title or of any other evidence entered by the examiner and relied upon 
by respondent in the appeal, along with a statement setting forth

[[Page 477]]

where in the record that evidence was entered in the record by the 
examiner. Reference to unentered evidence is not permitted in the 
respondent's brief. See Sec.41.63 for treatment of evidence submitted 
after appeal.
    (ix) Related proceedings appendix. An appendix containing copies of 
decisions rendered by a court or the Board in any proceeding identified 
pursuant to paragraph (b)(1)(ii) of this section.
    (x) Certificate of service. A certification that a copy of the 
respondent brief has been served in its entirety on all other parties to 
the reexamination proceeding. The names and addresses of the parties 
served must be indicated.
    (2) A respondent brief shall not include any new or non-admitted 
amendment, or any new or non-admitted affidavit or other evidence. See 
Sec.1.116 of this title for amendments, affidavits or other evidence 
filed after final action but before or on the same date of filing an 
appeal and Sec.41.63 for amendments, affidavits or other evidence 
filed after the date of filing the appeal.
    (c) If a respondent brief is filed which does not comply with all 
the requirements of paragraph (a) and paragraph (b) of this section, 
respondent will be notified of the reasons for non-compliance and given 
a non-extendable time period within which to file an amended brief. If 
respondent does not file an amended respondent brief within the set time 
period, or files an amended respondent brief which does not overcome all 
the reasons for non-compliance stated in the notification, the 
respondent brief and any amended respondent brief by that respondent 
will not be considered.

[69 FR 50003, Aug. 12, 2004, as amended at 77 FR 46631, Aug. 6, 2012]



Sec.41.69  Examiner's answer.

    (a) The primary examiner may, within such time as directed by the 
Director, furnish a written answer to the owner's and/or requester's 
appellant brief or respondent brief including, as may be necessary, such 
explanation of the invention claimed and of the references relied upon, 
the grounds of rejection, and the reasons for patentability, including 
grounds for not adopting any proposed rejection. A copy of the answer 
shall be supplied to the owner and all requesters. If the primary 
examiner determines that the appeal does not comply with the provisions 
of Sec. Sec.41.61, 41.66, 41.67 and 41.68 or does not relate to an 
appealable action, the primary examiner shall make such determination of 
record.
    (b) An examiner's answer may not include a new ground of rejection.
    (c) An examiner's answer may not include a new determination not to 
make a proposed rejection of a claim.
    (d) Any new ground of rejection, or any new determination not to 
make a proposed rejection, must be made in an Office action reopening 
prosecution.



Sec.41.71  Rebuttal brief.

    (a) Within one month of the examiner's answer, any appellant may 
once file a rebuttal brief.
    (b)(1) The rebuttal brief of the owner may be directed to the 
examiner's answer and/or any respondent brief.
    (2) The rebuttal brief of the owner shall not include any new or 
non-admitted amendment, or an affidavit or other evidence. See Sec.
1.116 of this title for amendments, affidavits or other evidence filed 
after final action but before or on the same date of filing an appeal 
and Sec.41.63 for amendments, affidavits or other evidence filed after 
the date of filing the appeal.
    (c)(1) The rebuttal brief of any requester may be directed to the 
examiner's answer and/or the respondent brief of the owner.
    (2) The rebuttal brief of a requester may not be directed to the 
respondent brief of any other requester.
    (3) No new ground of rejection can be proposed by a requester.
    (4) The rebuttal brief of a requester shall not include any new or 
non-admitted affidavit or other evidence. See Sec.1.116(d) of this 
title for affidavits or other evidence filed after final action but 
before or on the same date of filing an appeal and Sec.41.63(c) for 
affidavits or other evidence filed after the date of filing the appeal.
    (d) The rebuttal brief must include a certification that a copy of 
the rebuttal brief has been served in its entirety on all other parties 
to the proceeding. The names and addresses of the parties served must be 
indicated.

[[Page 478]]

    (e) If a rebuttal brief is timely filed under paragraph (a) of this 
section but does not comply with all the requirements of paragraphs (a) 
through (d) of this section, appellant will be notified of the reasons 
for non-compliance and provided with a non-extendable period of one 
month within which to file an amended rebuttal brief. If the appellant 
does not file an amended rebuttal brief during the one-month period, or 
files an amended rebuttal brief which does not overcome all the reasons 
for non-compliance stated in the notification, that appellant's rebuttal 
brief and any amended rebuttal brief by that appellant will not be 
considered.



Sec.41.73  Oral hearing.

    (a) An oral hearing should be requested only in those circumstances 
in which an appellant or a respondent considers such a hearing necessary 
or desirable for a proper presentation of the appeal. An appeal decided 
on the briefs without an oral hearing will receive the same 
consideration by the Board as an appeal decided after an oral hearing.
    (b) If an appellant or a respondent desires an oral hearing, he or 
she must file, as a separate paper captioned ``REQUEST FOR ORAL 
HEARING,'' a written request for such hearing accompanied by the fee set 
forth in Sec.41.20(b)(3) within two months after the date of the 
examiner's answer. The time for requesting an oral hearing may not be 
extended. The request must include a certification that a copy of the 
request has been served in its entirety on all other parties to the 
proceeding. The names and addresses of the parties served must be 
indicated.
    (c) If no request and fee for oral hearing have been timely filed by 
appellant or respondent as required by paragraph (b) of this section, 
the appeal will be assigned for consideration and decision on the briefs 
without an oral hearing.
    (d) If appellant or respondent has complied with all the 
requirements of paragraph (b) of this section, a hearing date will be 
set, and notice given to the owner and all requesters. If an oral 
hearing is held, an oral argument may be presented by, or on behalf of, 
the primary examiner if considered desirable by either the primary 
examiner or the Board. The notice shall set a non-extendable period 
within which all requests for oral hearing shall be submitted by any 
other party to the appeal desiring to participate in the oral hearing. A 
hearing will be held as stated in the notice, and oral argument will be 
limited to thirty minutes for each appellant or respondent who has 
requested an oral hearing, and twenty minutes for the primary examiner 
unless otherwise ordered. No appellant or respondent will be permitted 
to participate in an oral hearing unless he or she has requested an oral 
hearing and submitted the fee set forth in Sec.41.20(b)(3).
    (e)(1) At the oral hearing, each appellant and respondent may only 
rely on evidence that has been previously entered and considered by the 
primary examiner and present argument that has been relied upon in the 
briefs except as permitted by paragraph (e)(2) of this section. The 
primary examiner may only rely on argument and evidence relied upon in 
an answer except as permitted by paragraph (e)(2) of this section. The 
Board will determine the order of the arguments presented at the oral 
hearing.
    (2) Upon a showing of good cause, appellant, respondent and/or the 
primary examiner may rely on a new argument based upon a recent relevant 
decision of either the Board or a Federal Court.
    (f) Notwithstanding the submission of a request for oral hearing 
complying with this rule, if the Board decides that a hearing is not 
necessary, the Board will so notify the owner and all requesters.



Sec.41.77  Decisions and other actions by the Board.

    (a) The Patent Trial and Appeal Board, in its decision, may affirm 
or reverse each decision of the examiner on all issues raised on each 
appealed claim, or remand the reexamination proceeding to the examiner 
for further consideration. The reversal of the examiner's determination 
not to make a rejection proposed by the third party requester 
constitutes a decision adverse to the patentability of the claims which 
are subject to that proposed rejection which will be set forth in the 
decision of the Patent Trial and Appeal

[[Page 479]]

Board as a new ground of rejection under paragraph (b) of this section. 
The affirmance of the rejection of a claim on any of the grounds 
specified constitutes a general affirmance of the decision of the 
examiner on that claim, except as to any ground specifically reversed.
    (b) Should the Board reverse the examiner's determination not to 
make a rejection proposed by a requester, the Board shall set forth in 
the opinion in support of its decision a new ground of rejection; or 
should the Board have knowledge of any grounds not raised in the appeal 
for rejecting any pending claim, it may include in its opinion a 
statement to that effect with its reasons for so holding, which 
statement shall constitute a new ground of rejection of the claim. Any 
decision which includes a new ground of rejection pursuant to this 
paragraph shall not be considered final for judicial review. When the 
Board makes a new ground of rejection, the owner, within one month from 
the date of the decision, must exercise one of the following two options 
with respect to the new ground of rejection to avoid termination of the 
appeal proceeding as to the rejected claim:
    (1) Reopen prosecution. The owner may file a response requesting 
reopening of prosecution before the examiner. Such a response must be 
either an amendment of the claims so rejected or new evidence relating 
to the claims so rejected, or both.
    (2) Request rehearing. The owner may request that the proceeding be 
reheard under Sec.41.79 by the Board upon the same record. The request 
for rehearing must address any new ground of rejection and state with 
particularity the points believed to have been misapprehended or 
overlooked in entering the new ground of rejection and also state all 
other grounds upon which rehearing is sought.
    (c) Where the owner has filed a response requesting reopening of 
prosecution under paragraph (b)(1) of this section, any requester, 
within one month of the date of service of the owner's response, may 
once file comments on the response. Such written comments must be 
limited to the issues raised by the Board's opinion reflecting its 
decision and the owner's response. Any requester that had not previously 
filed an appeal or cross appeal and is seeking under this subsection to 
file comments or a reply to the comments is subject to the appeal and 
brief fees under Sec.41.20(b)(1) and (2), respectively, which must 
accompany the comments or reply.
    (d) Following any response by the owner under paragraph (b)(1) of 
this section and any written comments from a requester under paragraph 
(c) of this section, the proceeding will be remanded to the examiner. 
The statement of the Board shall be binding upon the examiner unless an 
amendment or new evidence not previously of record is made which, in the 
opinion of the examiner, overcomes the new ground of rejection stated in 
the decision. The examiner will consider any owner response under 
paragraph (b)(1) of this section and any written comments by a requester 
under paragraph (c) of this section and issue a determination that the 
rejection is maintained or has been overcome.
    (e) Within one month of the examiner's determination pursuant to 
paragraph (d) of this section, the owner or any requester may once 
submit comments in response to the examiner's determination. Within one 
month of the date of service of comments in response to the examiner's 
determination, the owner and any requesters may file a reply to the 
comments. No requester reply may address the comments of any other 
requester reply. Any requester that had not previously filed an appeal 
or cross appeal and is seeking under this subsection to file comments or 
a reply to the comments is subject to the appeal and brief fees under 
Sec.41.20(b)(1) and (2), respectively, which must accompany the 
comments or reply.
    (f) After submission of any comments and any reply pursuant to 
paragraph (e) of this section, or after time has expired, the proceeding 
will be returned to the Board which shall reconsider the matter and 
issue a new decision. The new decision is deemed to incorporate the 
earlier decision, except for those portions specifically withdrawn.
    (g) The time period set forth in paragraph (b) of this section is 
subject to

[[Page 480]]

the extension of time provisions of Sec.1.956 of this title when the 
owner is responding under paragraph (b)(1) of this section. The time 
period set forth in paragraph (b) of this section may not be extended 
when the owner is responding under paragraph (b)(2) of this section. The 
time periods set forth in paragraphs (c) and (e) of this section may not 
be extended.

[69 FR 50003, Aug. 12, 2004, as amended at 77 FR 46631, Aug. 6, 2012]



Sec.41.79  Rehearing.

    (a) Parties to the appeal may file a request for rehearing of the 
decision within one month of the date of:
    (1) The original decision of the Board under Sec.41.77(a),
    (2) The original Sec.41.77(b) decision under the provisions of 
Sec.41.77(b)(2),
    (3) The expiration of the time for the owner to take action under 
Sec.41.77(b)(2), or
    (4) The new decision of the Board under Sec.41.77(f).
    (b)(1) The request for rehearing must state with particularity the 
points believed to have been misapprehended or overlooked in rendering 
the Board's opinion reflecting its decision. Arguments not raised in the 
briefs before the Board and evidence not previously relied upon in the 
briefs are not permitted in the request for rehearing except as 
permitted by paragraphs (b)(2) and (b)(3) of this section.
    (2) Upon a showing of good cause, appellant and/or respondent may 
present a new argument based upon a recent relevant decision of either 
the Board or a Federal Court.
    (3) New arguments responding to a new ground of rejection made 
pursuant to Sec.41.77(b) are permitted.
    (c) Within one month of the date of service of any request for 
rehearing under paragraph (a) of this section, or any further request 
for rehearing under paragraph (d) of this section, the owner and all 
requesters may once file comments in opposition to the request for 
rehearing or the further request for rehearing. The comments in 
opposition must be limited to the issues raised in the request for 
rehearing or the further request for rehearing.
    (d) If a party to an appeal files a request for rehearing under 
paragraph (a) of this section, or a further request for rehearing under 
this section, the Board shall render a decision on the request for 
rehearing. The decision on the request for rehearing is deemed to 
incorporate the earlier opinion reflecting its decision for appeal, 
except for those portions specifically withdrawn on rehearing and is 
final for the purpose of judicial review, except when noted otherwise in 
the decision on rehearing. If the Board opinion reflecting its decision 
on rehearing becomes, in effect, a new decision, and the Board so 
indicates, then any party to the appeal may, within one month of the new 
decision, file a further request for rehearing of the new decision under 
this subsection. Such further request for rehearing must comply with 
paragraph (b) of this section.
    (e) The times for requesting rehearing under paragraph (a) of this 
section, for requesting further rehearing under paragraph (c) of this 
section, and for submitting comments under paragraph (b) of this section 
may not be extended.



Sec.41.81  Action following decision.

    The parties to an appeal to the Board may not appeal to the U.S. 
Court of Appeals for the Federal Circuit under Sec.1.983 of this title 
until all parties' rights to request rehearing have been exhausted, at 
which time the decision of the Board is final and appealable by any 
party to the appeal to the Board.



                        Subpart D_Contested Cases



Sec.41.100  Definitions.

    In addition to the definitions in Sec.41.2, the following 
definitions apply to proceedings under this subpart:
    Business day means a day other than a Saturday, Sunday, or Federal 
holiday within the District of Columbia.
    Involved means the Board has declared the patent application, 
patent, or claim so described to be a subject of the contested case.



Sec.41.101  Notice of proceeding.

    (a) Notice of a contested case will be sent to every party to the 
proceeding. The entry of the notice initiates the proceeding.
    (b) When the Board is unable to provide actual notice of a contested 
case

[[Page 481]]

on a party through the correspondence address of record for the party, 
the Board may authorize other modes of notice, including:
    (1) Sending notice to another address associated with the party, or
    (2) Publishing the notice in the Official Gazette of the United 
States Patent and Trademark Office.



Sec.41.102  Completion of examination.

    Before a contested case is initiated, except as the Board may 
otherwise authorize, for each involved application and patent:
    (a) Examination or reexamination must be completed, and
    (b) There must be at least one claim that:
    (1) Is patentable but for a judgment in the contested case, and
    (2) Would be involved in the contested case.



Sec.41.103  Jurisdiction over involved files.

    The Board acquires jurisdiction over any involved file when the 
Board initiates a contested case. Other proceedings for the involved 
file within the Office are suspended except as the Board may order.



Sec.41.104  Conduct of contested case.

    (a) The Board may determine a proper course of conduct in a 
proceeding for any situation not specifically covered by this part and 
may enter non-final orders to administer the proceeding.
    (b) An administrative patent judge may waive or suspend in a 
proceeding the application of any rule in this subpart, subject to such 
conditions as the administrative patent judge may impose.
    (c) Times set in this subpart are defaults. In the event of a 
conflict between a time set by rule and a time set by order, the time 
set by order is controlling. Action due on a day other than a business 
day may be completed on the next business day unless the Board expressly 
states otherwise.



Sec.41.106  Filing and service.

    (a) General format requirements. (1) The paper used for filings must 
be durable and white. A party must choose to file on either A4-sized 
paper or 8\1/2\ inch x 11 inch paper except in the case of exhibits that 
require a larger size in order to preserve details of the original. A 
party may not switch between paper sizes in a single proceeding. Only 
one side of the paper may be used.
    (2) In papers, including affidavits, created for the proceeding:
    (i) Markings must be in black ink or must otherwise provide an 
equivalently permanent, dark, high-contrast image on the paper. The 
quality of printing must be equivalent to the quality produced by a 
laser printer. Either a proportional or monospaced font may be used, but 
the proportional font must be 12-point or larger and a monospaced font 
must not contain more than 4 characters per centimeter (10 characters 
per inch). Case names must be underlined or italicized.
    (ii) Double spacing must be used except in headings, tables of 
contents, tables of authorities, indices, signature blocks, and 
certificates of service. Block quotations may be single-spaced and must 
be indented. Margins must be at least 2.5 centimeters (1 inch) on all 
sides.
    (b) Papers other than exhibits--(1) Cover sheet. (i) The cover sheet 
must include the caption the Board specifies for the proceeding, a 
header indicating the party and contact information for the party, and a 
title indicating the sequence and subject of the paper. For example, 
``JONES MOTION 2, For benefit of an earlier application''.
    (ii) If the Board specifies a color other than white for the cover 
sheet, the cover sheet must be that color.
    (2) Papers must have two 0.5 cm (\1/4\ inch) holes with centers 1 cm 
(\1/2\ inch) from the top of the page and 7 cm (2 \3/4\ inch) apart, 
centered horizontally on the page.
    (3) Incorporation by reference; combined papers. Arguments must not 
be incorporated by reference from one paper into another paper. Combined 
motions, oppositions, replies, or other combined papers are not 
permitted.
    (4) Exhibits. Additional requirements for exhibits appear in Sec.
41.154(c).
    (c) Working copy. Every paper filed must be accompanied by a working 
copy marked ``APJ Copy''.
    (d) Specific filing forms--(1) Filing by mail. A paper filed using 
the Priority

[[Page 482]]

Mail Express[supreg] service of the United States Postal Service will be 
deemed to be filed as of ``date accepted'' on the Priority Mail 
Express[supreg] mailing label; otherwise, mail will be deemed to be 
filed as of the stamped date of receipt at the Board.
    (2) Other modes of filing. The Board may authorize other modes of 
filing, including electronic filing and hand filing, and may set 
conditions for the use of such other modes.
    (e) Service. (1) Papers filed with the Board, if not previously 
served, must be served simultaneously on every opposing party except as 
the Board expressly directs.
    (2) If a party is represented by counsel, service must be on 
counsel.
    (3) Service must be by Priority Mail Express[supreg] or by means at 
least as fast and reliable as Priority Mail Express[supreg]. Electronic 
service is not permitted without Board authorization.
    (4) The date of service does not count in computing the time for 
responding.
    (f) Certificate of service. (1) Papers other than exhibits must 
include a certificate of service as a separate page at the end of each 
paper that must be served on an opposing party.
    (2) Exhibits must be accompanied by a certificate of service, but a 
single certificate may accompany any group of exhibits submitted 
together.
    (3) A certificate of service must state:
    (i) The date and manner of service,
    (ii) The name and address of every person served, and
    (iii) For exhibits filed as a group, the name and number of each 
exhibit served.
    (4) A certificate made by a person other than a registered patent 
practitioner must be in the form of an affidavit.

[69 FR 50003, Aug. 12, 2004, as amended at 79 FR 63043, Oct. 22, 2014]



Sec.41.108  Lead counsel.

    (a) A party may be represented by counsel. The Board may require a 
party to appoint a lead counsel. If counsel is not of record in a 
party's involved application or patent, then a power of attorney for 
that counsel for the party's involved application or patent must be 
filed with the notice required in paragraph (b) of this section.
    (b) Within 14 days of the initiation of each contested case, each 
party must file a separate notice identifying its counsel, if any, and 
providing contact information for each counsel identified or, if the 
party has no counsel, then for the party. Contact information must, at a 
minimum, include:
    (1) A mailing address;
    (2) An address for courier delivery when the mailing address is not 
available for such delivery (for example, when the mailing address is a 
Post Office box);
    (3) A telephone number;
    (4) A facsimile number; and
    (5) An electronic mail address.
    (c) A party must promptly notify the Board of any change in the 
contact information required in paragraph (b) of this section.



Sec.41.109  Access to and copies of Office records.

    (a) Request for access or copies. Any request from a party for 
access to or copies of Office records directly related to a contested 
case must be filed with the Board. The request must precisely identify 
the records and in the case of copies include the appropriate fee set 
under Sec.1.19(b) of this title.
    (b) Authorization of access and copies. Access and copies will 
ordinarily only be authorized for the following records:
    (1) The application file for an involved patent;
    (2) An involved application; and
    (3) An application for which a party has been accorded benefit under 
subpart E of this part.
    (c) Missing or incomplete copies. If a party does not receive a 
complete copy of a record within 21 days of the authorization, the party 
must promptly notify the Board.



Sec.41.110  Filing claim information.

    (a) Clean copy of claims. Within 14 days of the initiation of the 
proceeding, each party must file a clean copy of its involved claims 
and, if a biotechnology material sequence is a limitation, a clean copy 
of the sequence.

[[Page 483]]

    (b) Annotated copy of claims. Within 28 days of the initiation of 
the proceeding, each party must:
    (1) For each involved claim having a limitation that is illustrated 
in a drawing or biotechnology material sequence, file an annotated copy 
of the claim indicating in bold face between braces ({ {time} ) where 
each limitation is shown in the drawing or sequence.
    (2) For each involved claim that contains a means-plus-function or 
step-plus-function limitation in the form permitted under 35 U.S.C. 
112(f), file an annotated copy of the claim indicating in bold face 
between braces ({ {time} ) the specific portions of the specification 
that describe the structure, material, or acts corresponding to each 
claimed function.
    (c) Any motion to add or amend a claim must include:
    (1) A clean copy of the claim,
    (2) A claim chart showing where the disclosure of the patent or 
application provides written description of the subject matter of the 
claim, and
    (3) Where applicable, a copy of the claims annotated according to 
paragraph (b) of this section.

[69 FR 50003, Aug. 12, 2004, as amended at 77 FR 46631, Aug. 6, 2012]



Sec.41.120  Notice of basis for relief.

    (a) The Board may require a party to provide a notice stating the 
relief it requests and the basis for its entitlement to relief. The 
Board may provide for the notice to be maintained in confidence for a 
limited time.
    (b) Effect. If a notice under paragraph (a) of this section is 
required, a party will be limited to filing substantive motions 
consistent with the notice. Ambiguities in the notice will be construed 
against the party. A notice is not evidence except as an admission by a 
party-opponent.
    (c) Correction. A party may move to correct its notice. The motion 
should be filed promptly after the party becomes aware of the basis for 
the correction. A correction filed after the time set for filing notices 
will only be entered if entry would serve the interests of justice.



Sec.41.121  Motions.

    (a) Types of motions--(1) Substantive motions. Consistent with the 
notice of requested relief, if any, and to the extent the Board 
authorizes, a party may file a motion:
    (i) To redefine the scope of the contested case,
    (ii) To change benefit accorded for the contested subject matter, or
    (iii) For judgment in the contested case.
    (2) Responsive motions. The Board may authorize a party to file a 
motion to amend or add a claim, to change inventorship, or otherwise to 
cure a defect raised in a notice of requested relief or in a substantive 
motion.
    (3) Miscellaneous motions. Any request for relief other than a 
substantive or responsive motion must be filed as a miscellaneous 
motion.
    (b) Burden of proof. The party filing the motion has the burden of 
proof to establish that it is entitled to the requested relief.
    (c) Content of motions; oppositions and replies. (1) Each motion 
must be filed as a separate paper and must include:
    (i) A statement of the precise relief requested,
    (ii) A statement of material facts (see paragraph (d) of this 
section), and
    (iii) A full statement of the reasons for the relief requested, 
including a detailed explanation of the significance of the evidence and 
the governing law, rules, and precedent.
    (2) Compliance with rules. Where a rule in part 1 of this title 
ordinarily governs the relief sought, the motion must make any showings 
required under that rule in addition to any showings required in this 
part.
    (3) The Board may order additional showings or explanations as a 
condition for filing a motion.
    (d) Statement of material facts. (1) Each material fact shall be set 
forth as a separate numbered sentence with specific citations to the 
portions of the record that support the fact.
    (2) The Board may require that the statement of material facts be 
submitted as a separate paper.
    (e) Claim charts. Claim charts must be used in support of any paper 
requiring the comparison of a claim to something else, such as another 
claim, prior

[[Page 484]]

art, or a specification. Claim charts must accompany the paper as an 
appendix. Claim charts are not a substitute for appropriate argument and 
explanation in the paper.
    (f) The Board may order briefing on any issue that could be raised 
by motion.



Sec.41.122  Oppositions and replies.

    (a) Oppositions and replies must comply with the content 
requirements for motions and must include a statement identifying 
material facts in dispute. Any material fact not specifically denied 
shall be considered admitted.
    (b) All arguments for the relief requested in a motion must be made 
in the motion. A reply may only respond to arguments raised in the 
corresponding opposition.



Sec.41.123  Default filing times.

    (a) A motion, other than a miscellaneous motion, may only be filed 
according to a schedule the Board sets. The default times for acting 
are:
    (1) An opposition is due 30 days after service of the motion.
    (2) A reply is due 30 days after service of the opposition.
    (3) A responsive motion is due 30 days after the service of the 
motion.
    (b) Miscellaneous motions. (1) If no time for filing a specific 
miscellaneous motion is provided in this part or in a Board order:
    (i) The opposing party must be consulted prior to filing the 
miscellaneous motion, and
    (ii) If an opposing party plans to oppose the miscellaneous motion, 
the movant may not file the motion without Board authorization. Such 
authorization should ordinarily be obtained through a telephone 
conference including the Board and every other party to the proceeding. 
Delay in seeking relief may justify a denial of the motion.
    (2) An opposition may not be filed without authorization. The 
default times for acting are:
    (i) An opposition to a miscellaneous motion is due five business 
days after service of the motion.
    (ii) A reply to a miscellaneous motion opposition is due three 
business days after service of the opposition.
    (c) Exhibits. Each exhibit must be filed and served with the first 
paper in which it is cited except as the Board may otherwise order.



Sec.41.124  Oral argument.

    (a) Request for oral argument. A party may request an oral argument 
on an issue raised in a paper within five business days of the filing of 
the paper. The request must be filed as a separate paper and must 
specify the issues to be considered.
    (b) Copies for panel. If an oral argument is set for a panel, the 
movant on any issue to be argued must provide three working copies of 
the motion, the opposition, and the reply. Each party is responsible for 
providing three working copies of its exhibits relating to the motion.
    (c) Length of argument. If a request for oral argument is granted, 
each party will have a total of 20 minutes to present its arguments, 
including any time for rebuttal.
    (d) Demonstrative exhibits must be served at least five business 
days before the oral argument and filed no later than the time of the 
oral argument.
    (e) Transcription. The Board encourages the use of a transcription 
service at oral arguments but, if such a service is to be used, the 
Board must be notified in advance to ensure adequate facilities are 
available and a transcript must be filed with the Board promptly after 
the oral argument.



Sec.41.125  Decision on motions.

    (a) Order of consideration. The Board may take up motions for 
decisions in any order, may grant, deny, or dismiss any motion, and may 
take such other action appropriate to secure the just, speedy, and 
inexpensive determination of the proceeding. A decision on a motion may 
include deferral of action on an issue until a later point in the 
proceeding.
    (b) Interlocutory decisions. A decision on motions without a 
judgment is not final for the purposes of judicial review. A panel 
decision on an issue will govern further proceedings in the contested 
case.
    (c) Rehearing--(1) Time for request. A request for rehearing of a 
decision on a

[[Page 485]]

motion must be filed within fourteen days of the decision.
    (2) No tolling. The filing of a request for rehearing does not toll 
times for taking action.
    (3) Burden on rehearing. The burden of showing a decision should be 
modified lies with the party attacking the decision. The request must 
specifically identify:
    (i) All matters the party believes to have been misapprehended or 
overlooked, and
    (ii) The place where the matter was previously addressed in a 
motion, opposition, or reply.
    (4) Opposition; reply. Neither an opposition nor a reply to a 
request for rehearing may be filed without Board authorization.
    (5) Panel rehearing. If a decision is not a panel decision, the 
party requesting rehearing may request that a panel rehear the decision. 
A panel rehearing a procedural decision will review the decision for an 
abuse of discretion.



Sec.41.126  Arbitration.

    (a) Parties to a contested case may resort to binding arbitration to 
determine any issue in a contested case. The Office is not a party to 
the arbitration. The Board is not bound and may independently determine 
questions of patentability, jurisdiction, and Office practice.
    (b) The Board will not authorize arbitration unless:
    (1) It is to be conducted according to Title 9 of the United States 
Code.
    (2) The parties notify the Board in writing of their intention to 
arbitrate.
    (3) The agreement to arbitrate:
    (i) Is in writing,
    (ii) Specifies the issues to be arbitrated,
    (iii) Names the arbitrator, or provides a date not more than 30 days 
after the execution of the agreement for the selection of the 
arbitrator, and
    (iv) Provides that the arbitrator's award shall be binding on the 
parties and that judgment thereon can be entered by the Board.
    (4) A copy of the agreement is filed within 20 days after its 
execution.
    (5) The arbitration is completed within the time the Board sets.
    (c) The parties are solely responsible for the selection of the 
arbitrator and the conduct of proceedings before the arbitrator.
    (d) Issues not disposed of by the arbitration will be resolved in 
accordance with the procedures established in this subpart.
    (e) The Board will not consider the arbitration award unless it:
    (1) Is binding on the parties,
    (2) Is in writing,
    (3) States in a clear and definite manner each issue arbitrated and 
the disposition of each issue, and
    (4) Is filed within 20 days of the date of the award.
    (f) Once the award is filed, the parties to the award may not take 
actions inconsistent with the award. If the award is dispositive of the 
contested subject matter for a party, the Board may enter judgment as to 
that party.



Sec.41.127  Judgment.

    (a) Effect within Office--(1) Estoppel. A judgment disposes of all 
issues that were, or by motion could have properly been, raised and 
decided. A losing party who could have properly moved for relief on an 
issue, but did not so move, may not take action in the Office after the 
judgment that is inconsistent with that party's failure to move, except 
that a losing party shall not be estopped with respect to any contested 
subject matter for which that party was awarded a favorable judgment.
    (2) Final disposal of claim. Adverse judgment against a claim is a 
final action of the Office requiring no further action by the Office to 
dispose of the claim permanently.
    (b) Request for adverse judgment. A party may at any time in the 
proceeding request judgment against itself. Actions construed to be a 
request for adverse judgment include:
    (1) Abandonment of an involved application such that the party no 
longer has an application or patent involved in the proceeding,
    (2) Cancellation or disclaiming of a claim such that the party no 
longer has a claim involved in the proceeding,
    (3) Concession of priority or unpatentability of the contested 
subject matter, and
    (4) Abandonment of the contest.

[[Page 486]]

    (c) Recommendation. The judgment may include a recommendation for 
further action by the examiner or by the Director. If the Board 
recommends rejection of a claim of an involved application, the examiner 
must enter and maintain the recommended rejection unless an amendment or 
showing of facts not previously of record is filed which, in the opinion 
of the examiner, overcomes the recommended rejection.
    (d) Rehearing. A party dissatisfied with the judgment may file a 
request for rehearing within 30 days of the entry of the judgment. The 
request must specifically identify all matters the party believes to 
have been misapprehended or overlooked, and the place where the matter 
was previously addressed in a motion, opposition, or reply.

[69 FR 50003, Aug. 12, 2004, as amended at 69 FR 58260, Sept. 30, 2004]



Sec.41.128  Sanctions.

    (a) The Board may impose a sanction against a party for misconduct, 
including:
    (1) Failure to comply with an applicable rule or order in the 
proceeding;
    (2) Advancing a misleading or frivolous request for relief or 
argument; or
    (3) Engaging in dilatory tactics.
    (b) Sanctions include entry of:
    (1) An order holding certain facts to have been established in the 
proceeding;
    (2) An order expunging, or precluding a party from filing, a paper;
    (3) An order precluding a party from presenting or contesting a 
particular issue;
    (4) An order precluding a party from requesting, obtaining, or 
opposing discovery;
    (5) An order excluding evidence;
    (6) An order awarding compensatory expenses, including attorney 
fees;
    (7) An order requiring terminal disclaimer of patent term; or
    (8) Judgment in the contested case.



Sec.41.150  Discovery.

    (a) Limited discovery. A party is not entitled to discovery except 
as authorized in this subpart. The parties may agree to discovery among 
themselves at any time.
    (b) Automatic discovery. (1) Within 21 days of a request by an 
opposing party, a party must:
    (i) Serve a legible copy of every requested patent, patent 
application, literature reference, and test standard mentioned in the 
specification of the party's involved patent or application, or 
application upon which the party will rely for benefit, and, if the 
requested material is in a language other than English, a translation, 
if available, and
    (ii) File with the Board a notice (without copies of the requested 
materials) of service of the requested materials.
    (2) Unless previously served, or the Board orders otherwise, any 
exhibit cited in a motion or in testimony must be served with the citing 
motion or testimony.
    (c) Additional discovery. (1) A party may request additional 
discovery. The requesting party must show that such additional discovery 
is in the interests of justice. The Board may specify conditions for 
such additional discovery.
    (2) When appropriate, a party may obtain production of documents and 
things during cross examination of an opponent's witness or during 
testimony authorized under Sec.41.156.



Sec.41.151  Admissibility.

    Evidence that is not taken, sought, or filed in accordance with this 
subpart shall not be admissible.



Sec.41.152  Applicability of the Federal Rules of Evidence.

    (a) Generally. Except as otherwise provided in this subpart, the 
Federal Rules of Evidence shall apply to contested cases.
    (b) Exclusions. Those portions of the Federal Rules of Evidence 
relating to criminal proceedings, juries, and other matters not relevant 
to proceedings under this subpart shall not apply.
    (c) Modifications in terminology. Unless otherwise clear from 
context, the following terms of the Federal Rules of Evidence shall be 
construed as indicated:
    Appellate court means United States Court of Appeals for the Federal 
Circuit or a United States district court

[[Page 487]]

when judicial review is under 35 U.S.C. 146.
    Civil action, civil proceeding, action, and trial mean contested 
case.
    Courts of the United States, U.S. Magistrate, court, trial court, 
and trier of fact mean Board.
    Hearing means:
    (i) In Federal Rule of Evidence 703, the time when the expert 
testifies.
    (ii) In Federal Rule of Evidence 804(a)(5), the time for taking 
testimony.
    Judge means the Board.
    Judicial notice means official notice.
    Trial or hearing means, in Federal Rule of Evidence 807, the time 
for taking testimony.
    (d) The Board, in determining foreign law, may consider any relevant 
material or source, including testimony, whether or not submitted by a 
party or admissible under the Federal Rules of Evidence.



Sec.41.153  Records of the Office.

    Certification is not necessary as a condition to admissibility when 
the evidence to be submitted is a record of the Office to which all 
parties have access.



Sec.41.154  Form of evidence.

    (a) Evidence consists of affidavits, transcripts of depositions, 
documents, and things. All evidence must be submitted in the form of an 
exhibit.
    (b) Translation required. When a party relies on a document or is 
required to produce a document in a language other than English, a 
translation of the document into English and an affidavit attesting to 
the accuracy of the translation must be filed with the document.
    (c) An exhibit must conform with the requirements for papers in 
Sec.41.106 of this subpart and the requirements of this paragraph.
    (1) Each exhibit must have an exhibit label with a unique number in 
a range assigned by the Board, the names of the parties, and the 
proceeding number in the following format:


JONES EXHIBIT 2001

Jones v. Smith

Contested Case 104,999

    (2) When the exhibit is a paper:
    (i) Each page must be uniquely numbered in sequence, and
    (ii) The exhibit label must be affixed to the lower right corner of 
the first page of the exhibit without obscuring information on the first 
page or, if obscuring is unavoidable, affixed to a duplicate first page.
    (d) Exhibit list. Each party must maintain an exhibit list with the 
exhibit number and a brief description of each exhibit. If the exhibit 
is not filed, the exhibit list should note that fact. The Board may 
require the filing of a current exhibit list prior to acting on a 
motion.

[69 FR 50003, Aug. 12, 2004, as amended at 69 FR 58260, Sept. 30, 2004]



Sec.41.155  Objection; motion to exclude; motion in limine.

    (a) Deposition. Objections to deposition evidence must be made 
during the deposition. Evidence to cure the objection must be provided 
during the deposition unless the parties to the deposition stipulate 
otherwise on the deposition record.
    (b) Other than deposition. For evidence other than deposition 
evidence:
    (1) Objection. Any objection must be served within five business 
days of service of evidence, other than deposition evidence, to which 
the objection is directed.
    (2) Supplemental evidence. The party relying on evidence for which 
an objection is timely served may respond to the objection by serving 
supplemental evidence within ten business days of service of the 
objection.
    (c) Motion to exclude. A miscellaneous motion to exclude evidence 
must be filed to preserve any objection. The motion must identify the 
objections in the record in order and must explain the objections.
    (d) Motion in limine. A party may file a miscellaneous motion in 
limine for a ruling on the admissibility of evidence.

[69 FR 50003, Aug. 12, 2004, as amended at 69 FR 58260, Sept. 30, 2004]



Sec.41.156  Compelling testimony and production.

    (a) Authorization required. A party seeking to compel testimony or 
production of documents or things must

[[Page 488]]

file a miscellaneous motion for authorization. The miscellaneous motion 
must describe the general relevance of the testimony, document, or thing 
and must:
    (1) In the case of testimony, identify the witness by name or title, 
and
    (2) In the case of a document or thing, the general nature of the 
document or thing.
    (b) Outside the United States. For testimony or production sought 
outside the United States, the motion must also:
    (1) In the case of testimony. (i) Identify the foreign country and 
explain why the party believes the witness can be compelled to testify 
in the foreign country, including a description of the procedures that 
will be used to compel the testimony in the foreign country and an 
estimate of the time it is expected to take to obtain the testimony; and
    (ii) Demonstrate that the party has made reasonable efforts to 
secure the agreement of the witness to testify in the United States but 
has been unsuccessful in obtaining the agreement, even though the party 
has offered to pay the expenses of the witness to travel to and testify 
in the United States.
    (2) In the case of production of a document or thing. (i) Identify 
the foreign country and explain why the party believes production of the 
document or thing can be compelled in the foreign country, including a 
description of the procedures that will be used to compel production of 
the document or thing in the foreign country and an estimate of the time 
it is expected to take to obtain production of the document or thing; 
and
    (ii) Demonstrate that the party has made reasonable efforts to 
obtain the agreement of the individual or entity having possession, 
custody, or control of the document to produce the document or thing in 
the United States but has been unsuccessful in obtaining that agreement, 
even though the party has offered to pay the expenses of producing the 
document or thing in the United States.



Sec.41.157  Taking testimony.

    (a) Form. Direct testimony must be submitted in the form of an 
affidavit except when the testimony is compelled under 35 U.S.C. 24, in 
which case it may be in the form of a deposition transcript.
    (b) Time and location. (1) Uncompelled direct testimony may be taken 
at any time; otherwise, testimony may only be taken during such time 
period as the Board may authorize.
    (2) Other testimony. (i) Except as the Board otherwise orders, 
authorized testimony may be taken at any reasonable time and location 
within the United States before any disinterested official authorized to 
administer oaths at that location.
    (ii) Testimony outside the United States may only be taken as the 
Board specifically directs.
    (c) Notice of deposition. (1) Prior to the taking of testimony, all 
parties to the proceeding must agree on the time and place for taking 
testimony. If the parties cannot agree, the party seeking the testimony 
must initiate a conference with the Board to set a time and place.
    (2) Cross-examination should ordinarily take place after any 
supplemental evidence relating to the direct testimony has been filed 
and more than a week before the filing date for any paper in which the 
cross-examination testimony is expected to be used. A party requesting 
cross-examination testimony of more than one witness may choose the 
order in which the witnesses are to be cross-examined.
    (3) In the case of direct testimony, at least three business days 
prior to the conference in paragraph (c)(1) of this section, the party 
seeking the direct testimony must serve:
    (i) A list and copy of each document under the party's control and 
on which the party intends to rely, and
    (ii) A list of, and proffer of reasonable access to, any thing other 
than a document under the party's control and on which the party intends 
to rely.
    (4) Notice of the deposition must be filed at least two business 
days before a deposition. The notice limits the scope of the testimony 
and must list:
    (i) The time and place of the deposition,
    (ii) The name and address of the witness,

[[Page 489]]

    (iii) A list of the exhibits to be relied upon during the 
deposition, and
    (iv) A general description of the scope and nature of the testimony 
to be elicited.
    (5) Motion to quash. Objection to a defect in the notice is waived 
unless a miscellaneous motion to quash is promptly filed.
    (d) Deposition in a foreign language. If an interpreter will be used 
during the deposition, the party calling the witness must initiate a 
conference with the Board at least five business days before the 
deposition.
    (e) Manner of taking testimony. (1) Each witness before giving a 
deposition shall be duly sworn according to law by the officer before 
whom the deposition is to be taken. The officer must be authorized to 
take testimony under 35 U.S.C. 23.
    (2) The testimony shall be taken in answer to interrogatories with 
any questions and answers recorded in their regular order by the 
officer, or by some other disinterested person in the presence of the 
officer, unless the presence of the officer is waived on the record by 
agreement of all parties.
    (3) Any exhibits relied upon must be numbered according to the 
numbering scheme assigned for the contested case and must, if not 
previously served, be served at the deposition.
    (4) All objections made at the time of the deposition to the 
qualifications of the officer taking the deposition, the manner of 
taking it, the evidence presented, the conduct of any party, and any 
other objection to the proceeding shall be noted on the record by the 
officer. Evidence objected to shall be taken subject to a ruling on the 
objection.
    (5) When the testimony has been transcribed, the witness shall read 
and sign (in the form of an affidavit) a transcript of the deposition 
unless:
    (i) The parties otherwise agree in writing, (ii) The parties waive 
reading and signature by the witness on the record at the deposition, or
    (iii) The witness refuses to read or sign the transcript of the 
deposition.
    (6) The officer shall prepare a certified transcript by attaching to 
the transcript of the deposition a certificate in the form of an 
affidavit signed and sealed by the officer. Unless the parties waive any 
of the following requirements, in which case the certificate shall so 
state, the certificate must state:
    (i) The witness was duly sworn by the officer before commencement of 
testimony by the witness;
    (ii) The transcript is a true record of the testimony given by the 
witness;
    (iii) The name of the person who recorded the testimony and, if the 
officer did not record it, whether the testimony was recorded in the 
presence of the officer;
    (iv) The presence or absence of any opponent;
    (v) The place where the deposition was taken and the day and hour 
when the deposition began and ended;
    (vi) The officer has no disqualifying interest, personal or 
financial, in a party; and
    (vii) If a witness refuses to read or sign the transcript, the 
circumstances under which the witness refused.
    (7) The officer must promptly provide a copy of the transcript to 
all parties. The proponent of the testimony must file the original as an 
exhibit.
    (8) Any objection to the content, form, or manner of taking the 
deposition, including the qualifications of the officer, is waived 
unless made on the record during the deposition and preserved in a 
timely filed miscellaneous motion to exclude.
    (f) Costs. Except as the Board may order or the parties may agree in 
writing, the proponent of the testimony shall bear all costs associated 
with the testimony, including the reasonable costs associated with 
making the witness available for the cross-examination.



Sec.41.158  Expert testimony; tests and data.

    (a) Expert testimony that does not disclose the underlying facts or 
data on which the opinion is based is entitled to little or no weight. 
Testimony on United States patent law will not be admitted.
    (b) If a party relies on a technical test or data from such a test, 
the party must provide an affidavit explaining:
    (1) Why the test or data is being used,

[[Page 490]]

    (2) How the test was performed and the data was generated,
    (3) How the data is used to determine a value,
    (4) How the test is regarded in the relevant art, and
    (5) Any other information necessary for the Board to evaluate the 
test and data.



                     Subpart E_Patent Interferences



Sec.41.200  Procedure; pendency.

    (a) A patent interference is a contested case subject to the 
procedures set forth in subpart D of this part.
    (b) Any reference to 35 U.S.C. 102 or 135 in this subpart refers to 
the statute in effect on March 15, 2013, unless otherwise expressly 
indicated. Any reference to 35 U.S.C. 141 or 146 in this subpart refers 
to the statute applicable to the involved application or patent.
    (c) Patent interferences shall be administered such that pendency 
before the Board is normally no more than two years.

[69 FR 50003, Aug. 12, 2004, as amended at 75 FR 19559, Apr. 15, 2010; 
80 FR 17971, Apr. 2, 2015]



Sec.41.201  Definitions.

    In addition to the definitions in Sec. Sec.41.2 and 41.100, the 
following definitions apply to proceedings under this subpart:
    Accord benefit means Board recognition that a patent application 
provides a proper constructive reduction to practice under 35 U.S.C. 
102(g)(1).
    Constructive reduction to practice means a described and enabled 
anticipation under 35 U.S.C. 102(g)(1), in a patent application of the 
subject matter of a count. Earliest constructive reduction to practice 
means the first constructive reduction to practice that has been 
continuously disclosed through a chain of patent applications including 
in the involved application or patent. For the chain to be continuous, 
each subsequent application must comply with the requirements of 35 
U.S.C. 119-121, 365, or 386.
    Count means the Board's description of the interfering subject 
matter that sets the scope of admissible proofs on priority. Where there 
is more than one count, each count must describe a patentably distinct 
invention.
    Involved claim means, for the purposes of 35 U.S.C. 135(a), a claim 
that has been designated as corresponding to the count.
    Senior party means the party entitled to the presumption under Sec.
41.207(a)(1) that it is the prior inventor. Any other party is a junior 
party.
    Threshold issue means an issue that, if resolved in favor of the 
movant, would deprive the opponent of standing in the interference. 
Threshold issues may include:
    (1) No interference-in-fact, and
    (2) In the case of an involved application claim first made after 
the publication of the movant's application or issuance of the movant's 
patent:
    (i) Repose under 35 U.S.C. 135(b) in view of the movant's patent or 
published application, or
    (ii) Unpatentability for lack of written description under 35 U.S.C. 
112 of an involved application claim where the applicant suggested, or 
could have suggested, an interference under Sec.41.202(a).

[69 FR 50003, Aug. 12, 2004, as amended at 77 FR 46631, Aug. 6, 2012; 80 
FR 17971, Apr. 2, 2015]



Sec.41.202  Suggesting an interference.

    (a) Applicant. An applicant, including a reissue applicant, may 
suggest an interference with another application or a patent. The 
suggestion must:
    (1) Provide sufficient information to identify the application or 
patent with which the applicant seeks an interference,
    (2) Identify all claims the applicant believes interfere, propose 
one or more counts, and show how the claims correspond to one or more 
counts,
    (3) For each count, provide a claim chart comparing at least one 
claim of each party corresponding to the count and show why the claims 
interfere within the meaning of Sec.41.203(a),
    (4) Explain in detail why the applicant will prevail on priority,
    (5) If a claim has been added or amended to provoke an interference, 
provide a claim chart showing the written description for each claim in 
the applicant's specification, and

[[Page 491]]

    (6) For each constructive reduction to practice for which the 
applicant wishes to be accorded benefit, provide a chart showing where 
the disclosure provides a constructive reduction to practice within the 
scope of the interfering subject matter.
    (b) Patentee. A patentee cannot suggest an interference under this 
section but may, to the extent permitted under Sec.1.291 of this 
title, alert the examiner of an application claiming interfering subject 
matter to the possibility of an interference.
    (c) Examiner. An examiner may require an applicant to add a claim to 
provoke an interference. Failure to satisfy the requirement within a 
period (not less than one month) the examiner sets will operate as a 
concession of priority for the subject matter of the claim. If the 
interference would be with a patent, the applicant must also comply with 
paragraphs (a)(2) through (a)(6) of this section. The claim the examiner 
proposes to have added must, apart from the question of priority under 
35 U.S.C. 102(g):
    (1) Be patentable to the applicant, and
    (2) Be drawn to patentable subject matter claimed by another 
applicant or patentee.
    (d) Requirement to show priority under 35 U.S.C. 102(g). (1) When an 
applicant has an earliest constructive reduction to practice that is 
later than the apparent earliest constructive reduction to practice for 
a patent or published application claiming interfering subject matter, 
the applicant must show why it would prevail on priority.
    (2) If an applicant fails to show priority under paragraph (d)(1) of 
this section, an administrative patent judge may nevertheless declare an 
interference to place the applicant under an order to show cause why 
judgment should not be entered against the applicant on priority. New 
evidence in support of priority will not be admitted except on a showing 
of good cause. The Board may authorize the filing of motions to redefine 
the interfering subject matter or to change the benefit accorded to the 
parties.
    (e) Sufficiency of showing. (1) A showing of priority under this 
section is not sufficient unless it would, if unrebutted, support a 
determination of priority in favor of the party making the showing.
    (2) When testimony or production necessary to show priority is not 
available without authorization under Sec.41.150(c) or Sec.
41.156(a), the showing shall include:
    (i) Any necessary interrogatory, request for admission, request for 
production, or deposition request, and
    (ii) A detailed proffer of what the response to the interrogatory or 
request would be expected to be and an explanation of the relevance of 
the response to the question of priority.

[69 FR 50003, Aug. 12, 2004, as amended at 77 FR 42174, July 17, 2012]



Sec.41.203  Declaration.

    (a) Interfering subject matter. An interference exists if the 
subject matter of a claim of one party would, if prior art, have 
anticipated or rendered obvious the subject matter of a claim of the 
opposing party and vice versa.
    (b) Notice of declaration. An administrative patent judge declares 
the patent interference on behalf of the Director. A notice declaring an 
interference identifies:
    (1) The interfering subject matter;
    (2) The involved applications, patents, and claims;
    (3) The accorded benefit for each count; and
    (4) The claims corresponding to each count.
    (c) Redeclaration. An administrative patent judge may redeclare a 
patent interference on behalf of the Director to change the declaration 
made under paragraph (b) of this section.
    (d) A party may suggest the addition of a patent or application to 
the interference or the declaration of an additional interference. The 
suggestion should make the showings required under Sec.41.202(a) of 
this part.



Sec.41.204  Notice of basis for relief.

    (a) Priority statement. (1) A party may not submit evidence of its 
priority in addition to its accorded benefit unless it files a statement 
setting forth all bases on which the party intends to establish its 
entitlement to judgment on priority.
    (2) The priority statement must:

[[Page 492]]

    (i) State the date and location of the party's earliest corroborated 
conception,
    (ii) State the date and location of the party's earliest 
corroborated actual reduction to practice,
    (iii) State the earliest corroborated date on which the party's 
diligence began, and
    (iv) Provide a copy of the earliest document upon which the party 
will rely to show conception.
    (3) If a junior party fails to file a priority statement overcoming 
a senior party's accorded benefit, judgment shall be entered against the 
junior party absent a showing of good cause.
    (b) Other substantive motions. The Board may require a party to list 
the motions it intends to file, including sufficient detail to place the 
Board and the opponent on notice of the precise relief sought.
    (c) Filing and service. The Board will set the times for filing and 
serving statements required under this section.



Sec.41.205  Settlement agreements.

    (a) Constructive notice; time for filing. Pursuant to 35 U.S.C. 
135(c), an agreement or understanding, including collateral agreements 
referred to therein, made in connection with or in contemplation of the 
termination of an interference must be filed prior to the termination of 
the interference between the parties to the agreement. After a final 
decision is entered by the Board, an interference is considered 
terminated when no appeal (35 U.S.C. 141) or other review (35 U.S.C. 
146) has been or can be taken or had. If an appeal to the U.S. Court of 
Appeals for the Federal Circuit (under 35 U.S.C. 141) or a civil action 
(under 35 U.S.C. 146) has been filed the interference is considered 
terminated when the appeal or civil action is terminated. A civil action 
is terminated when the time to appeal the judgment expires. An appeal to 
the U.S. Court of Appeals for the Federal Circuit, whether from a 
decision of the Board or a judgment in a civil action, is terminated 
when the mandate is issued by the Court.
    (b) Untimely filing. The Chief Administrative Patent Judge may 
permit the filing of an agreement under paragraph (a) of this section up 
to six months after termination upon petition and a showing of good 
cause for the failure to file prior to termination.
    (c) Request to keep separate. Any party to an agreement under 
paragraph (a) of this section may request that the agreement be kept 
separate from the interference file. The request must be filed with or 
promptly after the agreement is filed.
    (d) Access to agreement. Any person, other than a representative of 
a Government agency, may have access to an agreement kept separate under 
paragraph (c) of this section only upon petition and on a showing of 
good cause. The agreement will be available to Government agencies on 
written request.



Sec.41.206  Common interests in the invention.

    An administrative patent judge may decline to declare, or if already 
declared the Board may issue judgment in, an interference between an 
application and another application or patent that are commonly owned.



Sec.41.207  Presumptions.

    (a) Priority--(1) Order of invention. Parties are presumed to have 
invented interfering subject matter in the order of the dates of their 
accorded benefit for each count. If two parties are accorded the benefit 
of the same earliest date of constructive reduction to practice, then 
neither party is entitled to a presumption of priority with respect to 
the other such party.
    (2) Evidentiary standard. Priority may be proved by a preponderance 
of the evidence except a party must prove priority by clear and 
convincing evidence if the date of its earliest constructive reduction 
to practice is after the issue date of an involved patent or the 
publication date under 35 U.S.C. 122(b) of an involved application or 
patent.
    (b) Claim correspondence. (1) For the purposes of determining 
priority and derivation, all claims of a party corresponding to the 
count are presumed to stand or fall together. To challenge this 
presumption, a party must file a timely substantive motion to have a 
corresponding claim designated as not

[[Page 493]]

corresponding to the count. No presumption based on claim correspondence 
regarding the grouping of claims exists for other grounds of 
unpatentability.
    (2) A claim corresponds to a count if the subject matter of the 
count, treated as prior art to the claim, would have anticipated or 
rendered obvious the subject matter of the claim.
    (c) Cross-applicability of prior art. When a motion for judgment of 
unpatentability against an opponent's claim on the basis of prior art is 
granted, each of the movant's claims corresponding to the same count as 
the opponent's claim will be presumed to be unpatentable in view of the 
same prior art unless the movant in its motion rebuts this presumption.



Sec.41.208  Content of substantive and responsive motions.

    The general requirements for motions in contested cases are stated 
at Sec.41.121(c).
    (a) In an interference, substantive motions must:
    (1) Raise a threshold issue,
    (2) Seek to change the scope of the definition of the interfering 
subject matter or the correspondence of claims to the count,
    (3) Seek to change the benefit accorded for the count, or
    (4) Seek judgment on derivation or on priority.
    (b) To be sufficient, a motion must provide a showing, supported 
with appropriate evidence, such that, if unrebutted, it would justify 
the relief sought. The burden of proof is on the movant.
    (c) Showing patentability. (1) A party moving to add or amend a 
claim must show the claim is patentable.
    (2) A party moving to add or amend a count must show the count is 
patentable over prior art.



PART 42_TRIAL PRACTICE BEFORE THE PATENT TRIAL AND APPEAL BOARD
--Table of Contents



                 Subpart A_Trial Practice and Procedure

                                 General

Sec.
42.1 Policy.
42.2 Definitions.
42.3 Jurisdiction.
42.4 Notice of trial.
42.5 Conduct of the proceeding.
42.6 Filing of documents, including exhibits; service.
42.7 Management of the record.
42.8 Mandatory notices.
42.9 Action by patent owner.
42.10 Counsel.
42.11 Duty of candor; signing papers; representations to the Board; 
          sanctions.
42.12 Sanctions.
42.13 Citation of authority.
42.14 Public availability.

                                  Fees

42.15 Fees.

                      Petition and Motion Practice

42.20 Generally.
42.21 Notice of basis for relief.
42.22 Content of petitions and motions.
42.23 Oppositions, replies, and sur-replies.
42.24 Type-volume or page limits for petitions, motions, oppositions, 
          replies, and sur-replies.
42.25 Default filing times.

                        Testimony and Production

42.51 Discovery.
42.52 Compelling testimony and production.
42.53 Taking testimony.
42.54 Protective order.
42.55 Confidential information in a petition.
42.56 Expungement of confidential information.
42.57 Privilege for patent practitioners.
42.61 Admissibility.
42.62 Applicability of the Federal rules of evidence.
42.63 Form of evidence.
42.64 Objection; motion to exclude.
42.65 Expert testimony; tests and data.

                 Oral Argument, Decision, and Settlement

42.70 Oral argument.
42.71 Decision on petitions or motions.
42.72 Termination of trial.
42.73 Judgment.
42.74 Settlement.

                               Certificate

42.80 Certificate.

                      Subpart B_Inter Partes Review

                                 General

42.100 Procedure; pendency.
42.101 Who may petition for inter partes review.
42.102 Time for filing.
42.103 Inter partes review fee.
42.104 Content of petition.
42.105 Service of petition.

[[Page 494]]

42.106 Filing date.
42.107 Preliminary response to petition.

                     Instituting Inter Partes Review

42.108 Institution of inter partes review.

                After Institution of Inter Partes Review

42.120 Patent owner response.
42.121 Amendment of the patent.
42.122 Multiple proceedings and Joinder.
42.123 Filing of supplemental information.

                       Subpart C_Post-Grant Review

                                General.

42.200 Procedure; pendency.
42.201 Who may petition for a post-grant review.
42.202 Time for filing.
42.203 Post-grant review fee.
42.204 Content of petition.
42.205 Service of petition.
42.206 Filing date.
42.207 Preliminary response to petition.

                      Instituting Post-Grant Review

42.208 Institution of post-grant review.

                 After Institution of Post-Grant Review

42.220 Patent owner response.
42.221 Amendment of the patent.
42.222 Multiple proceedings and Joinder.
42.223 Filing of supplemental information.
42.224 Discovery.

   Subpart D_Transitional Program for Covered Business Method Patents

42.300 Procedure; pendency.
42.301 Definitions.
42.302 Who may petition for a covered business method patent review.
42.303 Time for filing.
42.304 Content of petition.

                          Subpart E_Derivation

42.400 Procedure; pendency.
42.401 Definitions.
42.402 Who may file a petition for a derivation proceeding.
42.403 Time for filing.
42.404 Derivation fee.
42.405 Content of petition.
42.406 Service of petition.
42.407 Filing date.

                    Instituting Derivation Proceeding

42.408 Institution of derivation proceeding.

               After Institution of Derivation Proceeding

42.409 Settlement agreements.
42.410 Arbitration.
42.411 Common interests in the invention.
42.412 Public availability of Board records.

    Authority: 35 U.S.C. 2(b)(2), 6, 21, 23, 41, 135, 311, 312, 316, 
321-326; Pub. L. 112-29, 125 Stat. 284; and Pub. L. 112-274, 126 Stat. 
2456.

    Source: 77 FR 48669, Aug. 14, 2012, unless otherwise noted.



                 Subpart A_Trial Practice and Procedure

                                 General



Sec.42.1  Policy.

    (a) Scope. Part 42 governs proceedings before the Patent Trial and 
Appeal Board. Sections 1.4, 1.7, 1.14, 1.16, 1.22, 1.23, 1.25, 1.26, 
1.32, 1.34, and 1.36 of this chapter also apply to proceedings before 
the Board, as do other sections of part 1 of this chapter that are 
incorporated by reference into this part.
    (b) Construction. This part shall be construed to secure the just, 
speedy, and inexpensive resolution of every proceeding.
    (c) Decorum. Every party must act with courtesy and decorum in all 
proceedings before the Board, including in interactions with other 
parties.
    (d) Evidentiary standard. The default evidentiary standard is a 
preponderance of the evidence.



Sec.42.2  Definitions.

    The following definitions apply to this part:
    Affidavit means affidavit or declaration under Sec.1.68 of this 
chapter. A transcript of an ex parte deposition or a declaration under 
28 U.S.C. 1746 may be used as an affidavit.
    Board means the Patent Trial and Appeal Board. Board means a panel 
of the Board, or a member or employee acting with the authority of the 
Board, including:
    (1) For petition decisions and interlocutory decisions, a Board 
member or employee acting with the authority of the Board.
    (2) For final written decisions under 35 U.S.C. 135(d), 318(a), and 
328(a), a panel of the Board.
    Business day means a day other than a Saturday, Sunday, or Federal 
holiday within the District of Columbia.
    Confidential information means trade secret or other confidential 
research,

[[Page 495]]

development, or commercial information.
    Final means final for the purpose of judicial review to the extent 
available. A decision is final only if it disposes of all necessary 
issues with regard to the party seeking judicial review, and does not 
indicate that further action is required.
    Hearing means consideration of the trial.
    Involved means an application, patent, or claim that is the subject 
of the proceeding.
    Judgment means a final written decision by the Board, or a 
termination of a proceeding.
    Motion means a request for relief other than by petition.
    Office means the United States Patent and Trademark Office.
    Panel means at least three members of the Board.
    Party means at least the petitioner and the patent owner and, in a 
derivation proceeding, any applicant or assignee of the involved 
application.
    Petition is a request that a trial be instituted.
    Petitioner means the party filing a petition requesting that a trial 
be instituted.
    Preliminary Proceeding begins with the filing of a petition for 
instituting a trial and ends with a written decision as to whether a 
trial will be instituted.
    Proceeding means a trial or preliminary proceeding.
    Rehearing means reconsideration.
    Trial means a contested case instituted by the Board based upon a 
petition. A trial begins with a written decision notifying the 
petitioner and patent owner of the institution of the trial. The term 
trial specifically includes a derivation proceeding under 35 U.S.C. 135; 
an inter partes review under Chapter 31 of title 35, United States Code; 
a post-grant review under Chapter 32 of title 35, United States Code; 
and a transitional business-method review under section 18 of the Leahy-
Smith America Invents Act. Patent interferences are administered under 
part 41 and not under part 42 of this title, and therefore are not 
trials.



Sec.42.3  Jurisdiction.

    (a) The Board may exercise exclusive jurisdiction within the Office 
over every involved application and patent during the proceeding, as the 
Board may order.
    (b) A petition to institute a trial must be filed with the Board 
consistent with any time period required by statute.



Sec.42.4  Notice of trial.

    (a) Institution of trial. The Board institutes the trial on behalf 
of the Director.
    (b) Notice of a trial will be sent to every party to the proceeding. 
The entry of the notice institutes the trial.
    (c) The Board may authorize additional modes of notice, including:
    (1) Sending notice to another address associated with the party, or
    (2) Publishing the notice in the Official Gazette of the United 
States Patent and Trademark Office or the Federal Register.



Sec.42.5  Conduct of the proceeding.

    (a) The Board may determine a proper course of conduct in a 
proceeding for any situation not specifically covered by this part and 
may enter non-final orders to administer the proceeding.
    (b) The Board may waive or suspend a requirement of parts 1, 41, and 
42 and may place conditions on the waiver or suspension.
    (c) Times. (1) Setting times. The Board may set times by order. 
Times set by rule are default and may be modified by order. Any 
modification of times will take any applicable statutory pendency goal 
into account.
    (2) Extension of time. A request for an extension of time must be 
supported by a showing of good cause.
    (3) Late action. A late action will be excused on a showing of good 
cause or upon a Board decision that consideration on the merits would be 
in the interests of justice.
    (d) Ex parte communications. Communication regarding a specific 
proceeding with a Board member defined in 35 U.S.C. 6(a) is not 
permitted unless both parties have an opportunity to be involved in the 
communication.

[[Page 496]]



Sec.42.6  Filing of documents, including exhibits; service.

    (a) General format requirements. (1) Page size must be 8\1/2\ inch x 
11 inch except in the case of exhibits that require a larger size in 
order to preserve details of the original.
    (2) In documents, including affidavits, created for the proceeding:
    (i) Markings must be in black or must otherwise provide an 
equivalent dark, high-contrast image;
    (ii) 14-point, Times New Roman proportional font, with normal 
spacing, must be used;
    (iii) Double spacing must be used except in claim charts, headings, 
tables of contents, tables of authorities, indices, signature blocks, 
and certificates of service. Block quotations may be 1.5 spaced, but 
must be indented from both the left and the right margins; and
    (iv) Margins must be at least 2.5 centimeters (1 inch) on all sides.
    (3) Incorporation by reference; combined documents. Arguments must 
not be incorporated by reference from one document into another 
document. Combined motions, oppositions, replies, or other combined 
documents are not permitted.
    (4) Signature; identification. Documents must be signed in 
accordance with Sec. Sec.1.33 and 11.18(a) of this title, and should 
be identified by the trial number (where known).
    (b) Modes of filing. (1) Electronic filing. Unless otherwise 
authorized, submissions are to be made to the Board electronically via 
the Internet according to the parameters established by the Board and 
published on the Web site of the Office.
    (2)(i) Filing by means other than electronic filing. A document 
filed by means other than electronic filing must:
    (A) Be accompanied by a motion requesting acceptance of the 
submission; and
    (B) Identify a date of transmission where a party seeks a filing 
date other than the date of receipt at the Board.
    (ii) Mailed correspondence shall be sent to: Mail Stop PATENT BOARD, 
Patent Trial and Appeal Board, United States Patent and Trademark 
Office, PO Box 1450, Alexandria, Virginia 22313-1450.
    (c) Exhibits. Each exhibit must be filed with the first document in 
which it is cited except as the Board may otherwise order.
    (d) Previously filed paper. A document already in the record of the 
proceeding must not be filed again, not even as an exhibit or an 
appendix, without express Board authorization.
    (e) Service. (1) Electronic or other mode. Service may be made 
electronically upon agreement of the parties. Otherwise, service may be 
by Priority Mail Express[supreg] or by means at least as fast and 
reliable as Priority Mail Express[supreg].
    (2) Simultaneous with filing. Each document filed with the Board, if 
not previously served, must be served simultaneously on each opposing 
party.
    (3) Counsel of record. If a party is represented by counsel of 
record in the proceeding, service must be on counsel.
    (4) Certificate of service. (i) Each document, other than an 
exhibit, must include a certificate of service at the end of that 
document. Any exhibit filed with the document may be included in the 
certification for the document.
    (ii) For an exhibit filed separately, a transmittal letter 
incorporating the certificate of service must be filed. If more than one 
exhibit is filed at one time, a single letter should be used for all of 
the exhibits filed together. The letter must state the name and exhibit 
number for every exhibit filed with the letter.
    (iii) The certificate of service must state:
    (A) The date and manner of service; and
    (B) The name and address of every person served.

[77 FR 48669, Aug. 14, 2012, as amended at 79 FR 63043, Oct. 22, 2014; 
80 FR 28565, May 19, 2015]



Sec.42.7  Management of the record.

    (a) The Board may expunge any paper directed to a proceeding or 
filed while an application or patent is under the jurisdiction of the 
Board that is not authorized under this part or in a Board order or that 
is filed contrary to a Board order.

[[Page 497]]

    (b) The Board may vacate or hold in abeyance any non-Board action 
directed to a proceeding while an application or patent is under the 
jurisdiction of the Board unless the action was authorized by the Board.



Sec.42.8  Mandatory notices.

    (a) Each notice listed in paragraph (b) of this section must be 
filed with the Board:
    (1) By the petitioner, as part of the petition;
    (2) By the patent owner, or applicant in the case of derivation, 
within 21 days of service of the petition; or
    (3) By either party, within 21 days of a change of the information 
listed in paragraph (b) of this section stated in an earlier paper.
    (b) Each of the following notices must be filed:
    (1) Real party-in-interest. Identify each real party-in-interest for 
the party.
    (2) Related matters. Identify any other judicial or administrative 
matter that would affect, or be affected by, a decision in the 
proceeding.
    (3) Lead and back-up counsel. If the party is represented by 
counsel, then counsel must be identified.
    (4) Service information. Identify (if applicable):
    (i) An electronic mail address;
    (ii) A postal mailing address;
    (iii) A hand-delivery address, if different than the postal mailing 
address;
    (iv) A telephone number; and
    (v) A facsimile number.



Sec.42.9  Action by patent owner.

    (a) Entire interest. An owner of the entire interest in an involved 
application or patent may act to the exclusion of the inventor (see 
Sec.3.71 of this title).
    (b) Part interest. An owner of a part interest in the subject patent 
may move to act to the exclusion of an inventor or a co-owner. The 
motion must show the inability or refusal of an inventor or co-owner to 
prosecute the proceeding or other cause why it is in the interests of 
justice to permit the owner of a part interest to act in the trial. In 
granting the motion, the Board may set conditions on the actions of the 
parties.



Sec.42.10  Counsel.

    (a) If a party is represented by counsel, the party must designate a 
lead counsel and at least one back-up counsel who can conduct business 
on behalf of the lead counsel.
    (b) A power of attorney must be filed with the designation of 
counsel, except the patent owner should not file an additional power of 
attorney if the designated counsel is already counsel of record in the 
subject patent or application.
    (c) The Board may recognize counsel pro hac vice during a proceeding 
upon a showing of good cause, subject to the condition that lead counsel 
be a registered practitioner and to any other conditions as the Board 
may impose. For example, where the lead counsel is a registered 
practitioner, a motion to appear pro hac vice by counsel who is not a 
registered practitioner may be granted upon showing that counsel is an 
experienced litigating attorney and has an established familiarity with 
the subject matter at issue in the proceeding.
    (d) A panel of the Board may disqualify counsel for cause after 
notice and opportunity for hearing. A decision to disqualify is not 
final for the purposes of judicial review until certified by the Chief 
Administrative Patent Judge.
    (e) Counsel may not withdraw from a proceeding before the Board 
unless the Board authorizes such withdrawal.

[77 FR 48669, Aug. 14, 2012, as amended at 80 FR 28565, May 19, 2015]



Sec.42.11  Duty of candor; signing papers; representations to the
Board; sanctions.

    (a) Duty of candor. Parties and individuals involved in the 
proceeding have a duty of candor and good faith to the Office during the 
course of a proceeding.
    (b) Signature. Every petition, response, written motion, and other 
paper filed in a proceeding must comply with the signature requirements 
set forth in Sec.11.18(a) of this chapter. The Board may expunge any 
unsigned submission unless the omission is promptly corrected after 
being called to the counsel's or party's attention.

[[Page 498]]

    (c) Representations to the Board. By presenting to the Board a 
petition, response, written motion, or other paper--whether by signing, 
filing, submitting, or later advocating it--an attorney, registered 
practitioner, or unrepresented party attests to compliance with the 
certification requirements under Sec.11.18(b)(2) of this chapter.
    (d) Sanctions--(1) In general. If, after notice and a reasonable 
opportunity to respond, the Board determines that paragraph (c) of this 
section has been violated, the Board may impose an appropriate sanction 
on any attorney, registered practitioner, or party that violated the 
rule or is responsible for the violation.
    (2) Motion for sanctions. A motion for sanctions must be made 
separately from any other motion and must describe the specific conduct 
that allegedly violates paragraph (c) of this section. The motion must 
be authorized by the Board under Sec.42.20 prior to filing the motion. 
At least 21 days prior to seeking authorization to file a motion for 
sanctions, the moving party must serve the other party with the proposed 
motion. A motion for sanctions must not be filed or be presented to the 
Board if the challenged paper, claim, defense, contention, or denial is 
withdrawn or appropriately corrected within 21 days after service of 
such motion or within another time the Board sets. If warranted, the 
Board may award to the prevailing party the reasonable expenses, 
including attorney's fees, incurred for the motion.
    (3) On the Board's initiative. On its own, the Board may order an 
attorney, registered practitioner, or party to show cause why conduct 
specifically described in the order has not violated paragraph (c) of 
this section and why a specific sanction authorized by the Board should 
not be imposed.
    (4) Nature of a sanction. A sanction imposed under this rule must be 
limited to what suffices to deter repetition of the conduct or 
comparable conduct by others similarly situated and should be consistent 
with Sec.42.12.
    (5) Requirements for an order. An order imposing a sanction must 
describe the sanctioned conduct and explain the basis for the sanction.

[81 FR 18765, Apr. 1, 2016]



Sec.42.12  Sanctions.

    (a) The Board may impose a sanction against a party for misconduct, 
including:
    (1) Failure to comply with an applicable rule or order in the 
proceeding;
    (2) Advancing a misleading or frivolous argument or request for 
relief;
    (3) Misrepresentation of a fact;
    (4) Engaging in dilatory tactics;
    (5) Abuse of discovery;
    (6) Abuse of process; or
    (7) Any other improper use of the proceeding, including actions that 
harass or cause unnecessary delay or an unnecessary increase in the cost 
of the proceeding.
    (b) Sanctions include entry of one or more of the following:
    (1) An order holding facts to have been established in the 
proceeding;
    (2) An order expunging or precluding a party from filing a paper;
    (3) An order precluding a party from presenting or contesting a 
particular issue;
    (4) An order precluding a party from requesting, obtaining, or 
opposing discovery;
    (5) An order excluding evidence;
    (6) An order providing for compensatory expenses, including attorney 
fees;
    (7) An order requiring terminal disclaimer of patent term; or
    (8) Judgment in the trial or dismissal of the petition.



Sec.42.13  Citation of authority.

    (a) For any United States Supreme Court decision, citation to the 
United States Reports is preferred.
    (b) For any decision other than a United States Supreme Court 
decision, citation to the West Reporter System is preferred.
    (c) Citations to authority must include pinpoint citations whenever 
a specific holding or portion of an authority is invoked.
    (d) Non-binding authority should be used sparingly. If the authority 
is not an authority of the Office and is not reproduced in the United 
States Reports or the West Reporter System, a copy of the authority 
should be provided.

[[Page 499]]



Sec.42.14  Public availability.

    The record of a proceeding, including documents and things, shall be 
made available to the public, except as otherwise ordered. A party 
intending a document or thing to be sealed shall file a motion to seal 
concurrent with the filing of the document or thing to be sealed. The 
document or thing shall be provisionally sealed on receipt of the motion 
and remain so pending the outcome of the decision on the motion.

                                  Fees



Sec.42.15  Fees.

    (a) On filing a petition for inter partes review of a patent, 
payment of the following fees are due:
    (1) Inter Partes Review request fee: $19,000.00
    (2) Inter Partes Review Post-Institution fee: $22,500.00
    (3) In addition to the Inter Partes Review request fee, for 
requesting a review of each claim in excess of 20: $375.00
    (4) In addition to the Inter Partes Post-Institution request fee, 
for requesting a review of each claim in excess of 20: $750.00
    (b) On filing a petition for post-grant review or covered business 
method patent review of a patent, payment of the following fees are due:
    (1) Post-Grant or Covered Business Method Patent Review request fee: 
$20,000.00
    (2) Post-Grant or Covered Business Method Patent Review Post-
Institution fee: $27,500.00
    (3) In addition to the Post-Grant or Covered Business Method Patent 
Review request fee, for requesting a review of each claim in excess of 
20: $475.00
    (4) In addition to the Post-Grant or Covered Business Method Patent 
Review Post-Institution fee, for requesting a review of each claim in 
excess of 20: $1,050.00
    (c) On the filing of a petition for a derivation proceeding, payment 
of the following fee is due:
    (1) Derivation petition fee: $420.00.
    (2) [Reserved]
    (d) Any request requiring payment of a fee under this part, 
including a written request to make a settlement agreement available: 
$420.00.
    (e) Fee for non-registered practitioners to appear pro hac vice 
before the Patent Trial and Appeal Board: $250.00.

[85 FR 46993, Aug. 3, 2020]

                      Petition and Motion Practice



Sec.42.20  Generally.

    (a) Relief. Relief, other than a petition requesting the institution 
of a trial, must be requested in the form of a motion.
    (b) Prior authorization. A motion will not be entered without Board 
authorization. Authorization may be provided in an order of general 
applicability or during the proceeding.
    (c) Burden of proof. The moving party has the burden of proof to 
establish that it is entitled to the requested relief.
    (d) Briefing. The Board may order briefing on any issue involved in 
the trial.



Sec.42.21  Notice of basis for relief.

    (a) Notice of request for relief. The Board may require a party to 
file a notice stating the relief it requests and the basis for its 
entitlement to relief. A notice must include sufficient detail to place 
the Board and each opponent on notice of the precise relief requested. A 
notice is not evidence except as an admission by a party-opponent.
    (b) Filing and service. The Board may set the times and conditions 
for filing and serving notices required under this section. The Board 
may provide for the notice filed with the Board to be maintained in 
confidence for a limited time.
    (c) Effect. If a notice under paragraph (a) of this section is 
required:
    (1) A failure to state a sufficient basis for relief may result in a 
denial of the relief requested;
    (2) A party will be limited to filing motions consistent with the 
notice; and
    (3) Ambiguities in the notice will be construed against the party.
    (d) Correction. A party may move to correct its notice. The motion 
should be filed promptly after the party becomes aware of the basis for 
the correction. A correction filed after the time

[[Page 500]]

set for filing notices will only be entered if entry would serve the 
interests of justice.



Sec.42.22  Content of petitions and motions.

    (a) Each petition or motion must be filed as a separate paper and 
must include:
    (1) A statement of the precise relief requested; and
    (2) A full statement of the reasons for the relief requested, 
including a detailed explanation of the significance of the evidence 
including material facts, and the governing law, rules, and precedent.
    (b) Relief requested. Where a rule in part 1 of this title 
ordinarily governs the relief sought, the petition or motion must make 
any showings required under that rule in addition to any showings 
required in this part.
    (c) Statement of material facts. Each petition or motion may include 
a statement of material fact. Each material fact preferably shall be set 
forth as a separately numbered sentence with specific citations to the 
portions of the record that support the fact.
    (d) The Board may order additional showings or explanations as a 
condition for authorizing a motion (see Sec.42.20(b)).



Sec.42.23  Oppositions, replies, and sur-replies.

    (a) Oppositions, replies, and sur-replies must comply with the 
content requirements for motions and, if the paper to which the 
opposition, reply, or sur-reply is responding contains a statement of 
material fact, must include a listing of facts that are admitted, 
denied, or cannot be admitted or denied. Any material fact not 
specifically denied may be considered admitted.
    (b) All arguments for the relief requested in a motion must be made 
in the motion. A reply may only respond to arguments raised in the 
corresponding opposition, patent owner preliminary response, patent 
owner response, or decision on institution. A sur-reply may only respond 
to arguments raised in the corresponding reply and may not be 
accompanied by new evidence other than deposition transcripts of the 
cross-examination of any reply witness.

[85 FR 79128, Dec. 9, 2020]



Sec.42.24  Type-volume or page limits for petitions, motions, 
oppositions, replies, and sur-replies.

    (a) Petitions and motions. (1) The following word counts or page 
limits for petitions and motions apply and include any statement of 
material facts to be admitted or denied in support of the petition or 
motion. The word count or page limit does not include a table of 
contents, a table of authorities, mandatory notices under Sec.42.8, a 
certificate of service or word count, or appendix of exhibits or claim 
listing.
    (i) Petition requesting inter partes review: 14,000 words.
    (ii) Petition requesting post-grant review: 18,700 words.
    (iii) Petition requesting covered business method patent review: 
18,700 words.
    (iv) Petition requesting derivation proceeding: 14,000 words.
    (v) Motions (excluding motions to amend): 15 pages.
    (vi) Motions to Amend: 25 pages.
    (2) Petitions to institute a trial must comply with the stated word 
counts but may be accompanied by a motion to waive the word counts. The 
petitioner must show in the motion how a waiver of the word counts is in 
the interests of justice and must append a copy of proposed petition 
exceeding the word count to the motion. If the motion is not granted, 
the proposed petition exceeding the word count may be expunged or 
returned. Any other motion to waive word counts or page limits must be 
granted in advance of filing a motion, opposition, or reply for which 
the waiver is necessary.
    (b) Patent owner responses and oppositions. The word counts or page 
limits set forth in this paragraph (b) do not include a listing of facts 
which are admitted, denied, or cannot be admitted or denied.
    (1) The word counts for a patent owner preliminary response to 
petition are the same as the word counts for the petition.
    (2) The word counts for a patent owner response to petition are the

[[Page 501]]

same as the word counts for the petition.
    (3) The page limits for oppositions are the same as those for 
corresponding motions.
    (c) Replies and sur-replies. The following word counts or page 
limits for replies and sur-replies apply and include any statement of 
facts in support of the reply. The word counts or page limits do not 
include a table of contents; a table of authorities; a listing of facts 
that are admitted, denied, or cannot be admitted or denied; a 
certificate of service or word count; or an appendix of exhibits.
    (1) Replies to patent owner responses to petitions: 5,600 words.
    (2) Replies to oppositions (excluding replies to oppositions to 
motions to amend): 5 pages.
    (3) Replies to oppositions to motions to amend: 12 pages.
    (4) Sur-replies to replies to patent owner responses to petitions: 
5,600 words.
    (d) Certification. Any paper whose length is specified by type-
volume limits must include a certification stating the number of words 
in the paper. A party may rely on the word count of the word-processing 
system used to prepare the paper.

[81 FR 18765, Apr. 1, 2016, as amended at 81 FR 24703, Apr. 27, 2016; 85 
FR 79128, Dec. 9, 2020]



Sec.42.25  Default filing times.

    (a) A motion may only be filed according to a schedule set by the 
Board. The default times for acting are:
    (1) An opposition is due one month after service of the motion; and
    (2) A reply is due one month after service of the opposition.
    (b) A party should seek relief promptly after the need for relief is 
identified. Delay in seeking relief may justify a denial of relief 
sought.

                        Testimony and Production



Sec.42.51  Discovery.

    (a) Mandatory initial disclosures.
    (1) With agreement. Parties may agree to mandatory discovery 
requiring the initial disclosures set forth in the Office Patent Trial 
Practice Guide.
    (i) The parties must submit any agreement reached on initial 
disclosures by no later than the filing of the patent owner preliminary 
response or the expiration of the time period for filing such a 
response. The initial disclosures of the parties shall be filed as 
exhibits.
    (ii) Upon the institution of a trial, parties may automatically take 
discovery of the information identified in the initial disclosures.
    (2) Without agreement. Where the parties fail to agree to the 
mandatory discovery set forth in paragraph (a)(1), a party may seek such 
discovery by motion.
    (b) Limited discovery. A party is not entitled to discovery except 
as provided in paragraph (a) of this section, or as otherwise authorized 
in this subpart.
    (1) Routine discovery. Except as the Board may otherwise order:
    (i) Unless previously served or otherwise by agreement of the 
parties, any exhibit cited in a paper or in testimony must be served 
with the citing paper or testimony.
    (ii) Cross examination of affidavit testimony prepared for the 
proceeding is authorized within such time period as the Board may set.
    (iii) Unless previously served, a party must serve relevant 
information that is inconsistent with a position advanced by the party 
during the proceeding concurrent with the filing of the documents or 
things that contains the inconsistency. This requirement does not make 
discoverable anything otherwise protected by legally recognized 
privileges such as attorney-client or attorney work product. This 
requirement extends to inventors, corporate officers, and persons 
involved in the preparation or filing of the documents or things.
    (2) Additional discovery. (i) The parties may agree to additional 
discovery between themselves. Where the parties fail to agree, a party 
may move for additional discovery. The moving party must show that such 
additional discovery is in the interests of justice, except in post-
grant reviews where additional discovery is limited to evidence directly 
related to factual assertions advanced by either party in the proceeding 
(see Sec.42.224). The Board may

[[Page 502]]

specify conditions for such additional discovery.
    (ii) When appropriate, a party may obtain production of documents 
and things during cross examination of an opponent's witness or during 
authorized compelled testimony under Sec.42.52.
    (c) Production of documents. Except as otherwise ordered by the 
Board, a party producing documents and things shall either provide 
copies to the opposing party or make the documents and things available 
for inspection and copying at a reasonable time and location in the 
United States.

[77 FR 48669, Aug. 14, 2012, as amended at 80 FR 28565, May 19, 2015]



Sec.42.52  Compelling testimony and production.

    (a) Authorization required. A party seeking to compel testimony or 
production of documents or things must file a motion for authorization. 
The motion must describe the general relevance of the testimony, 
document, or thing, and must:
    (1) In the case of testimony, identify the witness by name or title; 
and
    (2) In the case of a document or thing, the general nature of the 
document or thing.
    (b) Outside the United States. For testimony or production sought 
outside the United States, the motion must also:
    (1) In the case of testimony. (i) Identify the foreign country and 
explain why the party believes the witness can be compelled to testify 
in the foreign country, including a description of the procedures that 
will be used to compel the testimony in the foreign country and an 
estimate of the time it is expected to take to obtain the testimony; and
    (ii) Demonstrate that the party has made reasonable efforts to 
secure the agreement of the witness to testify in the United States but 
has been unsuccessful in obtaining the agreement, even though the party 
has offered to pay the travel expenses of the witness to testify in the 
United States.
    (2) In the case of production of a document or thing. (i) Identify 
the foreign country and explain why the party believes production of the 
document or thing can be compelled in the foreign country, including a 
description of the procedures that will be used to compel production of 
the document or thing in the foreign country and an estimate of the time 
it is expected to take to obtain production of the document or thing; 
and
    (ii) Demonstrate that the party has made reasonable efforts to 
obtain the agreement of the individual or entity having possession, 
custody, or control of the document or thing to produce the document or 
thing in the United States but has been unsuccessful in obtaining that 
agreement, even though the party has offered to pay the expenses of 
producing the document or thing in the United States.



Sec.42.53  Taking testimony.

    (a) Form. Uncompelled direct testimony must be submitted in the form 
of an affidavit. All other testimony, including testimony compelled 
under 35 U.S.C. 24, must be in the form of a deposition transcript. 
Parties may agree to video-recorded testimony, but may not submit such 
testimony without prior authorization of the Board. In addition, the 
Board may authorize or require live or video-recorded testimony.
    (b) Time and location. (1) Uncompelled direct testimony may be taken 
at any time to support a petition, motion, opposition, or reply; 
otherwise, testimony may only be taken during a testimony period set by 
the Board.
    (2) Except as the Board otherwise orders, during the testimony 
period, deposition testimony may be taken at any reasonable time and 
location within the United States before any disinterested official 
authorized to administer oaths at that location.
    (3) Uncompelled deposition testimony outside the United States may 
only be taken upon agreement of the parties or as the Board specifically 
directs.
    (c) Duration. (1) Unless stipulated by the parties or ordered by the 
Board, direct examination, cross-examination, and redirect examination 
for compelled deposition testimony shall be subject to the following 
time limits: Seven hours for direct examination, four hours for cross-
examination, and two hours for redirect examination.

[[Page 503]]

    (2) Unless stipulated by the parties or ordered by the Board, cross-
examination, redirect examination, and re-cross examination for 
uncompelled direct testimony shall be subject to the follow time limits: 
Seven hours for cross-examination, four hours for redirect examination, 
and two hours for re-cross examination.
    (d) Notice of deposition. (1) Prior to the taking of deposition 
testimony, all parties to the proceeding must agree on the time and 
place for taking testimony. If the parties cannot agree, the party 
seeking the testimony must initiate a conference with the Board to set a 
time and place.
    (2) Cross-examination should ordinarily take place after any 
supplemental evidence relating to the direct testimony has been filed 
and more than a week before the filing date for any paper in which the 
cross-examination testimony is expected to be used. A party requesting 
cross-examination testimony of more than one witness may choose the 
order in which the witnesses are to be cross-examined.
    (3) In the case of direct deposition testimony, at least three 
business days prior to the conference in paragraph (d)(1) of this 
section, or if there is no conference, at least ten days prior to the 
deposition, the party seeking the direct testimony must serve:
    (i) A list and copy of each document under the party's control and 
on which the party intends to rely; and
    (ii) A list of, and proffer of reasonable access to, anything other 
than a document under the party's control and on which the party intends 
to rely.
    (4) The party seeking the deposition must file a notice of the 
deposition at least ten business days before a deposition.
    (5) Scope and content--(i) For direct deposition testimony, the 
notice limits the scope of the testimony and must list:
    (A) The time and place of the deposition;
    (B) The name and address of the witness;
    (C) A list of the exhibits to be relied upon during the deposition; 
and
    (D) A general description of the scope and nature of the testimony 
to be elicited.
    (ii) For cross-examination testimony, the scope of the examination 
is limited to the scope of the direct testimony.
    (iii) The notice must list the time and place of the deposition.
    (iv) Where an additional party seeks to take direct testimony of a 
third party witness at the time and place noticed in paragraph (d)(5) of 
this section, the additional party must provide a counter notice that 
lists the exhibits to be relied upon in the deposition and a general 
description of the scope and nature of the testimony to be elicited.
    (6) Motion to quash--Objection to a defect in the notice is waived 
unless the objecting party promptly seeks authorization to file a motion 
to quash.
    (e) Deposition in a foreign language. If an interpreter will be used 
during the deposition, the party calling the witness must initiate a 
conference with the Board at least five business days before the 
deposition.
    (f) Manner of taking deposition testimony. (1) Before giving 
deposition testimony, each witness shall be duly sworn according to law 
by the officer before whom the deposition is to be taken. The officer 
must be authorized to take testimony under 35 U.S.C. 23.
    (2) The testimony shall be taken with any questions and answers 
recorded in their regular order by the officer, or by some other 
disinterested person in the presence of the officer, unless the presence 
of the officer is waived on the record by agreement of all parties.
    (3) Any exhibits used during the deposition must be numbered as 
required by Sec.42.63(c), and must, if not previously served, be 
served at the deposition. Exhibits objected to shall be accepted pending 
a decision on the objection.
    (4) All objections made at the time of the deposition to the 
qualifications of the officer taking the deposition, the manner of 
taking it, the evidence presented, the conduct of any party, and any 
other objection to the deposition shall be noted on the record by the 
officer.
    (5) When the testimony has been transcribed, the witness shall read 
and sign (in the form of an affidavit) a transcript of the deposition 
unless:
    (i) The parties otherwise agree in writing;

[[Page 504]]

    (ii) The parties waive reading and signature by the witness on the 
record at the deposition; or
    (iii) The witness refuses to read or sign the transcript of the 
deposition.
    (6) The officer shall prepare a certified transcript by attaching a 
certificate in the form of an affidavit signed and sealed by the officer 
to the transcript of the deposition. Unless the parties waive any of the 
following requirements, in which case the certificate shall so state, 
the certificate must state:
    (i) The witness was duly sworn by the officer before commencement of 
testimony by the witness;
    (ii) The transcript is a true record of the testimony given by the 
witness;
    (iii) The name of the person who recorded the testimony, and if the 
officer did not record it, whether the testimony was recorded in the 
presence of the officer;
    (iv) The presence or absence of any opponent;
    (v) The place where the deposition was taken and the day and hour 
when the deposition began and ended;
    (vi) The officer has no disqualifying interest, personal or 
financial, in a party; and
    (vii) If a witness refuses to read or sign the transcript, the 
circumstances under which the witness refused.
    (7) Except where the parties agree otherwise, the proponent of the 
testimony must arrange for providing a copy of the transcript to all 
other parties. The testimony must be filed as an exhibit.
    (8) Any objection to the content, form, or manner of taking the 
deposition, including the qualifications of the officer, is waived 
unless made on the record during the deposition and preserved in a 
timely filed motion to exclude.
    (g) Costs. Except as the Board may order or the parties may agree in 
writing, the proponent of the direct testimony shall bear all costs 
associated with the testimony, including the reasonable costs associated 
with making the witness available for the cross-examination.

[77 FR 48669, Aug. 14, 2012, as amended at 80 FR 28565, May 19, 2015]



Sec.42.54  Protective order.

    (a) A party may file a motion to seal where the motion to seal 
contains a proposed protective order, such as the default protective 
order set forth in the Office Patent Trial Practice Guide. The motion 
must include a certification that the moving party has in good faith 
conferred or attempted to confer with other affected parties in an 
effort to resolve the dispute. The Board may, for good cause, issue an 
order to protect a party or person from disclosing confidential 
information, including, but not limited to, one or more of the 
following:
    (1) Forbidding the disclosure or discovery;
    (2) Specifying terms, including time and place, for the disclosure 
or discovery;
    (3) Prescribing a discovery method other than the one selected by 
the party seeking discovery;
    (4) Forbidding inquiry into certain matters, or limiting the scope 
of disclosure or discovery to certain matters;
    (5) Designating the persons who may be present while the discovery 
is conducted;
    (6) Requiring that a deposition be sealed and opened only by order 
of the Board;
    (7) Requiring that a trade secret or other confidential research, 
development, or commercial information not be revealed or be revealed 
only in a specified way; and
    (8) Requiring that the parties simultaneously file specified 
documents or information in sealed envelopes, to be opened as the Board 
directs.
    (b) [Reserved]



Sec.42.55  Confidential information in a petition.

    A petitioner filing confidential information with a petition may, 
concurrent with the filing of the petition, file a motion to seal with a 
proposed protective order as to the confidential information. The 
institution of the requested trial will constitute a grant of the motion 
to seal unless otherwise ordered by the Board.
    (a) Default protective order. Where a motion to seal requests entry 
of the default protective order set forth in the

[[Page 505]]

Office Patent Trial Practice Guide, the petitioner must file, but need 
not serve, the confidential information under seal. The patent owner may 
only access the filed sealed information prior to the institution of the 
trial by agreeing to the terms of the default protective order or 
obtaining relief from the Board.
    (b) Protective orders other than default protective order. Where a 
motion to seal requests entry of a protective order other than the 
default protective order, the petitioner must file, but need not serve, 
the confidential information under seal. The patent owner may only 
access the sealed confidential information prior to the institution of 
the trial by:
    (1) agreeing to the terms of the protective order requested by the 
petitioner;
    (2) agreeing to the terms of a protective order that the parties 
file jointly; or
    (3) obtaining entry of a protective order (e.g., the default 
protective order).



Sec.42.56  Expungement of confidential information.

    After denial of a petition to institute a trial or after final 
judgment in a trial, a party may file a motion to expunge confidential 
information from the record.



Sec.42.57  Privilege for patent practitioners.

    (a) Privileged communications. A communication between a client and 
a USPTO patent practitioner or a foreign jurisdiction patent 
practitioner that is reasonably necessary and incident to the scope of 
the practitioner's authority shall receive the same protections of 
privilege under Federal law as if that communication were between a 
client and an attorney authorized to practice in the United States, 
including all limitations and exceptions.
    (b) Definitions. The term ``USPTO patent practitioner'' means a 
person who has fulfilled the requirements to practice patent matters 
before the United States Patent and Trademark Office under Sec.11.7 of 
this chapter. ``Foreign jurisdiction patent practitioner'' means a 
person who is authorized to provide legal advice on patent matters in a 
foreign jurisdiction, provided that the jurisdiction establishes 
professional qualifications and the practitioner satisfies them. For 
foreign jurisdiction practitioners, this rule applies regardless of 
whether that jurisdiction provides privilege or an equivalent under its 
laws.
    (c) Scope of coverage. USPTO patent practitioners and foreign 
jurisdiction patent practitioners shall receive the same treatment as 
attorneys on all issues affecting privilege or waiver, such as 
communications with employees or assistants of the practitioner and 
communications between multiple practitioners.

[82 FR 51575, Nov. 7, 2017]



Sec.42.61  Admissibility.

    (a) Evidence that is not taken, sought, or filed in accordance with 
this subpart is not admissible.
    (b) Records of the Office. Certification is not necessary as a 
condition to admissibility when the evidence to be submitted is a record 
of the Office to which all parties have access.
    (c) Specification and drawings. A specification or drawing of a 
United States patent application or patent is admissible as evidence 
only to prove what the specification or drawing describes. If there is 
data in the specification or a drawing upon which a party intends to 
rely to prove the truth of the data, an affidavit by an individual 
having first-hand knowledge of how the data was generated must be filed.



Sec.42.62  Applicability of the Federal rules of evidence.

    (a) Generally. Except as otherwise provided in this subpart, the 
Federal Rules of Evidence shall apply to a proceeding.
    (b) Exclusions. Those portions of the Federal Rules of Evidence 
relating to criminal proceedings, juries, and other matters not relevant 
to proceedings under this subpart shall not apply.
    (c) Modifications in terminology. Unless otherwise clear from 
context, the following terms of the Federal Rules of Evidence shall be 
construed as indicated:

[[Page 506]]

    Appellate court means United States Court of Appeals for the Federal 
Circuit.
    Civil action, civil proceeding, and action mean a proceeding before 
the Board under part 42.
    Courts of the United States, U.S. Magistrate, court, trial court, 
trier of fact, and judge mean Board.
    Hearing means, as defined in Federal Rule of Evidence 804(a)(5), the 
time for taking testimony.
    Judicial notice means official notice.
    Trial or hearing in Federal Rule of Evidence 807 means the time for 
taking testimony.
    (d) In determining foreign law, the Board may consider any relevant 
material or source, including testimony, whether or not submitted by a 
party or admissible under the Federal Rules of Evidence.



Sec.42.63  Form of evidence.

    (a) Exhibits required. Evidence consists of affidavits, transcripts 
of depositions, documents, and things. All evidence must be filed in the 
form of an exhibit.
    (b) Translation required. When a party relies on a document or is 
required to produce a document in a language other than English, a 
translation of the document into English and an affidavit attesting to 
the accuracy of the translation must be filed with the document.
    (c) Exhibit numbering. Each party's exhibits must be uniquely 
numbered sequentially in a range the Board specifies. For the 
petitioner, the range is 1001-1999, and for the patent owner, the range 
is 2001-2999.
    (d) Exhibit format. An exhibit must conform with the requirements 
for papers in Sec.42.6 and the requirements of this paragraph.
    (1) Each exhibit must have an exhibit label.
    (i) An exhibit filed with the petition must include the petitioner's 
name followed by a unique exhibit number.
    (ii) For exhibits not filed with the petition, the exhibit label 
must include the party's name followed by a unique exhibit number, the 
names of the parties, and the trial number.
    (2) When the exhibit is a paper:
    (i) Each page must be uniquely numbered in sequence; and
    (ii) The exhibit label must be affixed to the lower right corner of 
the first page of the exhibit without obscuring information on the first 
page or, if obscuring is unavoidable, affixed to a duplicate first page.
    (e) Exhibit list. Each party must maintain an exhibit list with the 
exhibit number and a brief description of each exhibit. If the exhibit 
is not filed, the exhibit list should note that fact. A current exhibit 
list must be served whenever evidence is served and the current exhibit 
list must be filed when filing exhibits.



Sec.42.64  Objection; motion to exclude.

    (a) Deposition evidence. An objection to the admissibility of 
deposition evidence must be made during the deposition. Evidence to cure 
the objection must be provided during the deposition, unless the parties 
to the deposition stipulate otherwise on the deposition record.
    (b) Other evidence. For evidence other than deposition evidence:
    (1) Objection. Any objection to evidence submitted during a 
preliminary proceeding must be filed within ten business days of the 
institution of the trial. Once a trial has been instituted, any 
objection must be filed within five business days of service of evidence 
to which the objection is directed. The objection must identify the 
grounds for the objection with sufficient particularity to allow 
correction in the form of supplemental evidence.
    (2) Supplemental evidence. The party relying on evidence to which an 
objection is timely served may respond to the objection by serving 
supplemental evidence within ten business days of service of the 
objection.
    (c) Motion to exclude. A motion to exclude evidence must be filed to 
preserve any objection. The motion must identify the objections in the 
record in order and must explain the objections. The motion may be filed 
without prior authorization from the Board.

[77 FR 48669, Aug. 14, 2012, as amended at 80 FR 28565, May 19, 2015]

[[Page 507]]



Sec.42.65  Expert testimony; tests and data.

    (a) Expert testimony that does not disclose the underlying facts or 
data on which the opinion is based is entitled to little or no weight. 
Testimony on United States patent law or patent examination practice 
will not be admitted.
    (b) If a party relies on a technical test or data from such a test, 
the party must provide an affidavit explaining:
    (1) Why the test or data is being used;
    (2) How the test was performed and the data was generated;
    (3) How the data is used to determine a value;
    (4) How the test is regarded in the relevant art; and
    (5) Any other information necessary for the Board to evaluate the 
test and data.

                 Oral Argument, Decision, and Settlement



Sec.42.70  Oral argument.

    (a) Request for oral argument. A party may request oral argument on 
an issue raised in a paper at a time set by the Board. The request must 
be filed as a separate paper and must specify the issues to be argued.
    (b) Demonstrative exhibits must be served at least seven business 
days before the oral argument and filed no later than the time of the 
oral argument.

[77 FR 48669, Aug. 14, 2012, as amended at 81 FR 18765, Apr. 1, 2016]



Sec.42.71  Decision on petitions or motions.

    (a) Order of consideration. The Board may take up petitions or 
motions for decisions in any order, may grant, deny, or dismiss any 
petition or motion, and may enter any appropriate order.
    (b) Interlocutory decisions. A decision on a motion without a 
judgment is not final for the purposes of judicial review. If a decision 
is not a panel decision, the party may request that a panel rehear the 
decision. When rehearing a non-panel decision, a panel will review the 
decision for an abuse of discretion. A panel decision on an issue will 
govern the trial.
    (c) Petition decisions. A decision by the Board on whether to 
institute a trial is final and nonappealable. A party may request 
rehearing on a decision by the Board on whether to institute a trial 
pursuant to paragraph (d) of this section. When rehearing a decision on 
petition, a panel will review the decision for an abuse of discretion.
    (d) Rehearing. A party dissatisfied with a decision may file a 
single request for rehearing without prior authorization from the Board. 
The burden of showing a decision should be modified lies with the party 
challenging the decision. The request must specifically identify all 
matters the party believes the Board misapprehended or overlooked, and 
the place where each matter was previously addressed in a motion, an 
opposition, a reply, or a sur-reply. A request for rehearing does not 
toll times for taking action. Any request must be filed:
    (1) Within 14 days of the entry of a non-final decision or a 
decision to institute a trial as to at least one ground of 
unpatentability asserted in the petition; or
    (2) Within 30 days of the entry of a final decision or a decision 
not to institute a trial.

[77 FR 48669, Aug. 14, 2012, as amended at 80 FR 28565, May 19, 2015; 85 
FR 79129, Dec. 9, 2020]



Sec.42.72  Termination of trial.

    The Board may terminate a trial without rendering a final written 
decision, where appropriate, including where the trial is consolidated 
with another proceeding or pursuant to a joint request under 35 U.S.C. 
317(a) or 327(a).



Sec.42.73  Judgment.

    (a) A judgment, except in the case of a termination, disposes of all 
issues that were, or by motion reasonably could have been, raised and 
decided.
    (b) Request for adverse judgment. A party may request judgment 
against itself at any time during a proceeding. Actions construed to be 
a request for adverse judgment include:
    (1) Disclaimer of the involved application or patent;
    (2) Cancellation or disclaimer of a claim such that the party has no 
remaining claim in the trial;

[[Page 508]]

    (3) Concession of unpatentability or derivation of the contested 
subject matter; and
    (4) Abandonment of the contest.
    (c) Recommendation. The judgment may include a recommendation for 
further action by an examiner or by the Director.
    (d) Estoppel. (1) Petitioner other than in derivation proceeding. A 
petitioner, or the real party in interest or privy of the petitioner, is 
estopped in the Office from requesting or maintaining a proceeding with 
respect to a claim for which it has obtained a final written decision on 
patentability in an inter partes review, post-grant review, or a covered 
business method patent review, on any ground that the petitioner raised 
or reasonably could have raised during the trial, except that estoppel 
shall not apply to a petitioner, or to the real party in interest or 
privy of the petitioner who has settled under 35 U.S.C. 317 or 327.
    (2) In a derivation, the losing party who could have properly moved 
for relief on an issue, but did not so move, may not take action in the 
Office after the judgment that is inconsistent with that party's failure 
to move, except that a losing party shall not be estopped with respect 
to any contested subject matter for which that party was awarded a 
favorable judgment.
    (3) Patent applicant or owner. A patent applicant or owner is 
precluded from taking action inconsistent with the adverse judgment, 
including obtaining in any patent:
    (i) A claim that is not patentably distinct from a finally refused 
or canceled claim; or
    (ii) An amendment of a specification or of a drawing that was denied 
during the trial proceeding, but this provision does not apply to an 
application or patent that has a different written description.



Sec.42.74  Settlement.

    (a) Board role. The parties may agree to settle any issue in a 
proceeding, but the Board is not a party to the settlement and may 
independently determine any question of jurisdiction, patentability, or 
Office practice.
    (b) Agreements in writing. Any agreement or understanding between 
the parties made in connection with, or in contemplation of, the 
termination of a proceeding shall be in writing and a true copy shall be 
filed with the Board before the termination of the trial.
    (c) Request to keep separate. A party to a settlement may request 
that the settlement be treated as business confidential information and 
be kept separate from the files of an involved patent or application. 
The request must be filed with the settlement. If a timely request is 
filed, the settlement shall only be available:
    (1) To a Government agency on written request to the Board; or
    (2) To any other person upon written request to the Board to make 
the settlement agreement available, along with the fee specified in 
Sec.42.15(d) and on a showing of good cause.

                               Certificate



Sec.42.80  Certificate.

    After the Board issues a final written decision in an inter partes 
review, post-grant review, or covered business method patent review and 
the time for appeal has expired or any appeal has terminated, the Office 
will issue and publish a certificate canceling any claim of the patent 
finally determined to be unpatentable, confirming any claim of the 
patent determined to be patentable, and incorporating in the patent any 
new or amended claim determined to be patentable by operation of the 
certificate.



                      Subpart B_Inter Partes Review

    Source: 77 FR 48727, Aug. 14, 2012, unless otherwise noted.

                                 General



Sec.42.100  Procedure; pendency.

    (a) An inter partes review is a trial subject to the procedures set 
forth in subpart A of this part.
    (b) In an inter partes review proceeding, a claim of a patent, or a 
claim proposed in a motion to amend under Sec.42.121, shall be 
construed using the same claim construction standard that would be used 
to construe the claim in

[[Page 509]]

a civil action under 35 U.S.C. 282(b), including construing the claim in 
accordance with the ordinary and customary meaning of such claim as 
understood by one of ordinary skill in the art and the prosecution 
history pertaining to the patent. Any prior claim construction 
determination concerning a term of the claim in a civil action, or a 
proceeding before the International Trade Commission, that is timely 
made of record in the inter partes review proceeding will be considered.
    (c) An inter partes review proceeding shall be administered such 
that pendency before the Board after institution is normally no more 
than one year. The time can be extended by up to six months for good 
cause by the Chief Administrative Patent Judge, or adjusted by the Board 
in the case of joinder.

[77 FR 48727, Aug. 14, 2012, as amended at 81 FR 18766, Apr. 1, 2016; 83 
FR 51358, Oct. 11, 2018]



Sec.42.101  Who may petition for inter partes review.

    A person who is not the owner of a patent may file with the Office a 
petition to institute an inter partes review of the patent unless:
    (a) Before the date on which the petition for review is filed, the 
petitioner or real party-in-interest filed a civil action challenging 
the validity of a claim of the patent;
    (b) The petition requesting the proceeding is filed more than one 
year after the date on which the petitioner, the petitioner's real 
party-in-interest, or a privy of the petitioner is served with a 
complaint alleging infringement of the patent; or
    (c) The petitioner, the petitioner's real party-in-interest, or a 
privy of the petitioner is estopped from challenging the claims on the 
grounds identified in the petition.



Sec.42.102  Time for filing.

    (a) A petition for inter partes review of a patent must be filed 
after the later of the following dates, where applicable:
    (1) If the patent is a patent described in section 3(n)(1) of the 
Leahy-Smith America Invents Act, the date that is nine months after the 
date of the grant of the patent;
    (2) If the patent is a patent that is not described in section 
3(n)(1) of the Leahy-Smith American Invents Act, the date of the grant 
of the patent; or
    (3) If a post-grant review is instituted as set forth in subpart C 
of this part, the date of the termination of such post-grant review.
    (b) [Reserved]

[77 FR 48727, Aug. 14, 2012, as amended at 78 FR 17874, Mar. 25, 2013; 
84 FR 51982, Oct. 1, 2019]



Sec.42.103  Inter partes review fee.

    (a) An inter partes review fee set forth in Sec.42.15(a) must 
accompany the petition. (b) No filing date will be accorded to the 
petition until full payment is received.



Sec.42.104  Content of petition.

    In addition to the requirements of Sec. Sec.42.6, 42.8, 42.22, and 
42.24, the petition must set forth:
    (a) Grounds for standing. The petitioner must certify that the 
patent for which review is sought is available for inter partes review 
and that the petitioner is not barred or estopped from requesting an 
inter partes review challenging the patent claims on the grounds 
identified in the petition.
    (b) Identification of challenge. Provide a statement of the precise 
relief requested for each claim challenged. The statement must identify 
the following:
    (1) The claim;
    (2) The specific statutory grounds under 35 U.S.C. 102 or 103 on 
which the challenge to the claim is based and the patents or printed 
publications relied upon for each ground;
    (3) How the challenged claim is to be construed. Where the claim to 
be construed contains a means-plus-function or step-plus-function 
limitation as permitted under 35 U.S.C. 112(f), the construction of the 
claim must identify the specific portions of the specification that 
describe the structure, material, or acts corresponding to each claimed 
function;
    (4) How the construed claim is unpatentable under the statutory 
grounds identified in paragraph (b)(2) of this section. The petition 
must specify where each element of the claim is found in the prior art 
patents or printed publications relied upon; and

[[Page 510]]

    (5) The exhibit number of the supporting evidence relied upon to 
support the challenge and the relevance of the evidence to the challenge 
raised, including identifying specific portions of the evidence that 
support the challenge. The Board may exclude or give no weight to the 
evidence where a party has failed to state its relevance or to identify 
specific portions of the evidence that support the challenge.
    (c) A motion may be filed that seeks to correct a clerical or 
typographical mistake in the petition. The grant of such a motion does 
not change the filing date of the petition.



Sec.42.105  Service of petition.

    In addition to the requirements of Sec.42.6, the petitioner must 
serve the petition and exhibits relied upon in the petition as follows:
    (a) The petition and supporting evidence must be served on the 
patent owner at the correspondence address of record for the subject 
patent. The petitioner may additionally serve the petition and 
supporting evidence on the patent owner at any other address known to 
the petitioner as likely to effect service.
    (b) Upon agreement of the parties, service may be made 
electronically. Service may be by Priority Mail Express[supreg] or by 
means at least as fast and reliable as Priority Mail Express[supreg]. 
Personal service is not required.

[77 FR 48669, Aug. 14, 2012, as amended at 79 FR 63043, Oct. 22, 2014]



Sec.42.106  Filing date.

    (a) Complete petition. A petition to institute inter partes review 
will not be accorded a filing date until the petition satisfies all of 
the following requirements:
    (1) Complies with Sec.42.104;
    (2) Effects service of the petition on the correspondence address of 
record as provided in Sec.42.105(a); and
    (3) Is accompanied by the fee to institute required in Sec.
42.15(a).
    (b) Incomplete petition. Where a party files an incomplete petition, 
no filing date will be accorded, and the Office will dismiss the 
petition if the deficiency in the petition is not corrected within one 
month from the notice of an incomplete petition.



Sec.42.107  Preliminary response to petition.

    (a) The patent owner may file a preliminary response to the 
petition. The response is limited to setting forth the reasons why no 
inter partes review should be instituted under 35 U.S.C. 314 and can 
include supporting evidence. The preliminary response is subject to the 
word count under Sec.42.24.
    (b) Due date. The preliminary response must be filed no later than 
three months after the date of a notice indicating that the request to 
institute an inter partes review has been granted a filing date. A 
patent owner may expedite the proceeding by filing an election to waive 
the patent owner preliminary response.
    (c) [Reserved]
    (d) No amendment. The preliminary response shall not include any 
amendment.
    (e) Disclaim Patent Claims. The patent owner may file a statutory 
disclaimer under 35 U.S.C. 253(a) in compliance with Sec.1.321(a) of 
this chapter, disclaiming one or more claims in the patent. No inter 
partes review will be instituted based on disclaimed claims.

[77 FR 48727, Aug. 14, 2012, as amended at 81 FR 18766, Apr. 1, 2016]

                     Instituting Inter Partes Review



Sec.42.108  Institution of inter partes review.

    (a) When instituting inter partes review, the Board will authorize 
the review to proceed on all of the challenged claims and on all grounds 
of unpatentability asserted for each claim.
    (b) At any time prior to a decision on institution of inter partes 
review, the Board may deny all grounds for unpatentability for all of 
the challenged claims. Denial of all grounds is a Board decision not to 
institute inter partes review.
    (c) Inter partes review shall not be instituted unless the Board 
decides that the information presented in the petition demonstrates that 
there is a reasonable likelihood that at least one of the claims 
challenged in the petition is unpatentable. The Board's decision will

[[Page 511]]

take into account a patent owner preliminary response where such a 
response is filed, including any testimonial evidence. A petitioner may 
seek leave to file a reply to the preliminary response in accordance 
with Sec. Sec.42.23 and 42.24(c). Any such request must make a showing 
of good cause.

[85 FR 79129, Dec. 9, 2020]

                After Institution of Inter Partes Review



Sec.42.120  Patent owner response.

    (a) Scope. A patent owner may file a single response to the petition 
and/or decision on institution. A patent owner response is filed as an 
opposition and is subject to the page limits provided in Sec.42.24.
    (b) Due date for response. If no time for filing a patent owner 
response to a petition is provided in a Board order, the default date 
for filing a patent owner response is three months from the date the 
inter partes review was instituted.

[77 FR 48727, Aug. 14, 2012, as amended at 85 FR 79129, Dec. 9, 2020]



Sec.42.121  Amendment of the patent.

    (a) Motion to amend. A patent owner may file one motion to amend a 
patent, but only after conferring with the Board.
    (1) Due date. Unless a due date is provided in a Board order, a 
motion to amend must be filed no later than the filing of a patent owner 
response.
    (2) Scope. A motion to amend may be denied where:
    (i) The amendment does not respond to a ground of unpatentability 
involved in the trial; or
    (ii) The amendment seeks to enlarge the scope of the claims of the 
patent or introduce new subject matter.
    (3) A reasonable number of substitute claims. A motion to amend may 
cancel a challenged claim or propose a reasonable number of substitute 
claims. The presumption is that only one substitute claim would be 
needed to replace each challenged claim, and it may be rebutted by a 
demonstration of need.
    (b) Content. A motion to amend claims must include a claim listing, 
which claim listing may be contained in an appendix to the motion, show 
the changes clearly, and set forth:
    (1) The support in the original disclosure of the patent for each 
claim that is added or amended; and
    (2) The support in an earlier-filed disclosure for each claim for 
which benefit of the filing date of the earlier filed disclosure is 
sought.
    (c) Additional motion to amend. In addition to the requirements set 
forth in paragraphs (a) and (b) of this section, any additional motion 
to amend may not be filed without Board authorization. An additional 
motion to amend may be authorized when there is a good cause showing or 
a joint request of the petitioner and the patent owner to materially 
advance a settlement. In determining whether to authorize such an 
additional motion to amend, the Board will consider whether a petitioner 
has submitted supplemental information after the time period set for 
filing a motion to amend in paragraph (a)(1) of this section.
    (d) Burden of Persuasion. On a motion to amend:
    (1) A patent owner bears the burden of persuasion to show, by a 
preponderance of the evidence, that the motion to amend complies with 
the requirements of paragraphs (1) and (3) of 35 U.S.C. 316(d), as well 
as paragraphs (a)(2), (a)(3), (b)(1), and (b)(2) of this section;
    (2) A petitioner bears the burden of persuasion to show, by a 
preponderance of the evidence, that any proposed substitute claims are 
unpatentable; and
    (3) Irrespective of paragraphs (d)(1) and (2) of this section, the 
Board may, in the interests of justice, exercise its discretion to grant 
or deny a motion to amend only for reasons supported by readily 
identifiable and persuasive evidence of record. In doing so, the Board 
may make of record only readily identifiable and persuasive evidence in 
a related proceeding before the Office or evidence that a district court 
can judicially notice. Where the Board exercises its discretion under 
this paragraph, the parties will have an opportunity to respond.

[77 FR 48727, Aug. 14, 2012, as amended at 80 FR 28566, May 19, 2015; 85 
FR 82935, Dec. 21, 2020]

[[Page 512]]



Sec.42.122  Multiple proceedings and Joinder.

    (a) Multiple proceedings. Where another matter involving the patent 
is before the Office, the Board may during the pendency of the inter 
partes review enter any appropriate order regarding the additional 
matter including providing for the stay, transfer, consolidation, or 
termination of any such matter.
    (b) Request for joinder. Joinder may be requested by a patent owner 
or petitioner. Any request for joinder must be filed, as a motion under 
Sec.42.22, no later than one month after the institution date of any 
inter partes review for which joinder is requested. The time period set 
forth in Sec.42.101(b) shall not apply when the petition is 
accompanied by a request for joinder.



Sec.42.123  Filing of supplemental information.

    (a) Motion to submit supplemental information. Once a trial has been 
instituted, a party may file a motion to submit supplemental information 
in accordance with the following requirements:
    (1) A request for the authorization to file a motion to submit 
supplemental information is made within one month of the date the trial 
is instituted.
    (2) The supplemental information must be relevant to a claim for 
which the trial has been instituted.
    (b) Late submission of supplemental information. A party seeking to 
submit supplemental information more than one month after the date the 
trial is instituted, must request authorization to file a motion to 
submit the information. The motion to submit supplemental information 
must show why the supplemental information reasonably could not have 
been obtained earlier, and that consideration of the supplemental 
information would be in the interests-of-justice.
    (c) Other supplemental information. A party seeking to submit 
supplemental information not relevant to a claim for which the trial has 
been instituted must request authorization to file a motion to submit 
the information. The motion must show why the supplemental information 
reasonably could not have been obtained earlier, and that consideration 
of the supplemental information would be in the interests-of-justice.



                       Subpart C_Post-Grant Review

    Source: 77 FR 48729, Aug. 14, 2012, unless otherwise noted.

                                 General



Sec.42.200  Procedure; pendency.

    (a) A post-grant review is a trial subject to the procedures set 
forth in subpart A of this part.
    (b) In a post-grant review proceeding, a claim of a patent, or a 
claim proposed in a motion to amend under Sec.42.221, shall be 
construed using the same claim construction standard that would be used 
to construe the claim in a civil action under 35 U.S.C. 282(b), 
including construing the claim in accordance with the ordinary and 
customary meaning of such claim as understood by one of ordinary skill 
in the art and the prosecution history pertaining to the patent. Any 
prior claim construction determination concerning a term of the claim in 
a civil action, or a proceeding before the International Trade 
Commission, that is timely made of record in the post-grant review 
proceeding will be considered.
    (c) A post-grant review proceeding shall be administered such that 
pendency before the Board after institution is normally no more than one 
year. The time can be extended by up to six months for good cause by the 
Chief Administrative Patent Judge, or adjusted by the Board in the case 
of joinder.
    (d) Interferences commenced before September 16, 2012, shall proceed 
under part 41 of this chapter except as the Chief Administrative Patent 
Judge, acting on behalf of the Director, may otherwise order in the 
interests-of-justice.

[77 FR 48729, Aug. 14, 2012, as amended at 81 FR 18766, Apr. 1, 2016; 83 
FR 51358, Oct. 11, 2018]



Sec.42.201  Who may petition for a post-grant review.

    A person who is not the owner of a patent may file with the Office a 
petition to institute a post-grant review of the patent unless:

[[Page 513]]

    (a) Before the date on which the petition for review is filed, the 
petitioner or real party-in-interest filed a civil action challenging 
the validity of a claim of the patent; or
    (b) The petitioner, the petitioner's real party-in-interest, or a 
privy of the petitioner is estopped from challenging the claims on the 
grounds identified in the petition.



Sec.42.202  Time for filing.

    (a) A petition for a post-grant review of a patent must be filed no 
later than the date that is nine months after the date of the grant of a 
patent or of the issuance of a reissue patent. A petition, however, may 
not request a post-grant review for a claim in a reissue patent that is 
identical to or narrower than a claim in the original patent from which 
the reissue patent was issued unless the petition is filed not later 
than the date that is nine months after the date of the grant of the 
original patent.
    (b) [Reserved]

[77 FR 48729, Aug. 14, 2012, as amended at 84 FR 51982, Oct. 1, 2019]



Sec.42.203  Post-grant review fee.

    (a) A post-grant review fee set forth in Sec.42.15(b) must 
accompany the petition.
    (b) No filing date will be accorded to the petition until full 
payment is received.



Sec.42.204  Content of petition.

    In addition to the requirements of Sec. Sec.42.6, 42.8, 42.22, and 
42.24, the petition must set forth:
    (a) Grounds for standing. The petitioner must certify that the 
patent for which review is sought is available for post-grant review and 
that the petitioner is not barred or estopped from requesting a post-
grant review challenging the patent claims on the grounds identified in 
the petition.
    (b) Identification of challenge. Provide a statement of the precise 
relief requested for each claim challenged. The statement must identify 
the following:
    (1) The claim;
    (2) The specific statutory grounds permitted under 35 U.S.C. 
282(b)(2) or (3) on which the challenge to the claim is based;
    (3) How the challenged claim is to be construed. Where the claim to 
be construed contains a means-plus-function or step-plus-function 
limitation as permitted under 35 U.S.C. 112(f), the construction of the 
claim must identify the specific portions of the specification that 
describe the structure, material, or acts corresponding to each claimed 
function;
    (4) How the construed claim is unpatentable under the statutory 
grounds identified in paragraph (b)(2) of this section. Where the 
grounds for unpatentability are based on prior art, the petition must 
specify where each element of the claim is found in the prior art. For 
all other grounds of unpatentability, the petition must identify the 
specific part of the claim that fails to comply with the statutory 
grounds raised and state how the identified subject matter fails to 
comply with the statute; and
    (5) The exhibit number of the supporting evidence relied upon to 
support the challenge and the relevance of the evidence to the challenge 
raised, including identifying specific portions of the evidence that 
support the challenge. The Board may exclude or give no weight to the 
evidence where a party has failed to state its relevance or to identify 
specific portions of the evidence that support the challenge.
    (c) A motion may be filed that seeks to correct a clerical or 
typographical mistake in the petition. The grant of such a motion does 
not change the filing date of the petition.



Sec.42.205  Service of petition.

    In addition to the requirements of Sec.42.6, the petitioner must 
serve the petition and exhibits relied upon in the petition as follows:
    (a) The petition and supporting evidence must be served on the 
patent owner at the correspondence address of record for the subject 
patent. The petitioner may additionally serve the petition and 
supporting evidence on the patent owner at any other address known to 
the petitioner as likely to effect service.
    (b) Upon agreement of the parties, service may be made 
electronically. Service may be by Priority Mail Express[supreg] or by 
means at least as fast and

[[Page 514]]

reliable as Priority Mail Express[supreg]. Personal service is not 
required.

[77 FR 48669, Aug. 14, 2012, as amended at 79 FR 63043, Oct. 22, 2014]



Sec.42.206  Filing date.

    (a) Complete petition. A petition to institute a post-grant review 
will not be accorded a filing date until the petition satisfies all of 
the following requirements:
    (1) Complies with Sec.42.204 or Sec.42.304, as the case may be,
    (2) Effects service of the petition on the correspondence address of 
record as provided in Sec.42.205(a); and
    (3) Is accompanied by the filing fee in Sec.42.15(b).
    (b) Incomplete petition. Where a party files an incomplete petition, 
no filing date will be accorded and the Office will dismiss the request 
if the deficiency in the petition is not corrected within the earlier of 
either one month from the notice of an incomplete petition, or the 
expiration of the statutory deadline in which to file a petition for 
post-grant review.



Sec.42.207  Preliminary response to petition.

    (a) The patent owner may file a preliminary response to the 
petition. The response is limited to setting forth the reasons why no 
post-grant review should be instituted under 35 U.S.C. 324 and can 
include supporting evidence. The preliminary response is subject to the 
word count under Sec.42.24.
    (b) Due date. The preliminary response must be filed no later than 
three months after the date of a notice indicating that the request to 
institute a post-grant review has been granted a filing date. A patent 
owner may expedite the proceeding by filing an election to waive the 
patent owner preliminary response.
    (c) [Reserved]
    (d) No amendment. The preliminary response shall not include any 
amendment.
    (e) Disclaim Patent Claims. The patent owner may file a statutory 
disclaimer under 35 U.S.C. 253(a) in compliance with Sec.1.321(a), 
disclaiming one or more claims in the patent. No post-grant review will 
be instituted based on disclaimed claims.

[77 FR 48729, Aug. 14, 2012, as amended at 81 FR 18766, Apr. 1, 2016]

                      Instituting Post-Grant Review



Sec.42.208  Institution of post-grant review.

    (a) When instituting post-grant review, the Board will authorize the 
review to proceed on all of the challenged claims and on all grounds of 
unpatentability asserted for each claim.
    (b) At any time prior to institution of post-grant review, the Board 
may deny all grounds for unpatentability for all of the challenged 
claims. Denial of all grounds is a Board decision not to institute post-
grant review.
    (c) Post-grant review shall not be instituted unless the Board 
decides that the information presented in the petition demonstrates that 
it is more likely than not that at least one of the claims challenged in 
the petition is unpatentable. The Board's decision will take into 
account a patent owner preliminary response where such a response is 
filed, including any testimonial evidence. A petitioner may seek leave 
to file a reply to the preliminary response in accordance with 
Sec. Sec.42.23 and 42.24(c). Any such request must make a showing of 
good cause.
    (d) Additional grounds. Sufficient grounds under Sec.42.208(c) may 
be a showing that the petition raises a novel or unsettled legal 
question that is important to other patents or patent applications.

[77 FR 48729, Aug. 14, 2012, as amended at 81 FR 18766, Apr. 1, 2016; 85 
FR 79129, Dec. 9, 2020]

                 After Institution of Post-Grant Review



Sec.42.220  Patent owner response.

    (a) Scope. A patent owner may file a single response to the petition 
and/or decision on institution. A patent owner response is filed as an 
opposition and is subject to the page limits provided in Sec.42.24.
    (b) Due date for response. If no date for filing a patent owner 
response to a petition is provided in a Board order,

[[Page 515]]

the default date for filing a patent owner response is three months from 
the date the post-grant review is instituted.

[77 FR 48729, Aug. 14, 2012, as amended at 85 FR 79129, Dec. 9, 2020]



Sec.42.221  Amendment of the patent.

    (a) Motion to amend. A patent owner may file one motion to amend a 
patent, but only after conferring with the Board.
    (1) Due date. Unless a due date is provided in a Board order, a 
motion to amend must be filed no later than the filing of a patent owner 
response.
    (2) Scope. A motion to amend may be denied where:
    (i) The amendment does not respond to a ground of unpatentability 
involved in the trial; or
    (ii) The amendment seeks to enlarge the scope of the claims of the 
patent or introduce new subject matter.
    (3) A reasonable number of substitute claims. A motion to amend may 
cancel a challenged claim or propose a reasonable number of substitute 
claims. The presumption is that only one substitute claim would be 
needed to replace each challenged claim, and it may be rebutted by a 
demonstration of need.
    (b) Content. A motion to amend claims must include a claim listing, 
which claim listing may be contained in an appendix to the motion, show 
the changes clearly, and set forth:
    (1) The support in the original disclosure of the patent for each 
claim that is added or amended; and
    (2) The support in an earlier-filed disclosure for each claim for 
which benefit of the filing date of the earlier filed disclosure is 
sought.
    (c) Additional motion to amend. In addition to the requirements set 
forth in paragraphs (a) and (b) of this section, any additional motion 
to amend may not be filed without Board authorization. An additional 
motion to amend may be authorized when there is a good cause showing or 
a joint request of the petitioner and the patent owner to materially 
advance a settlement. In determining whether to authorize such an 
additional motion to amend, the Board will consider whether a petitioner 
has submitted supplemental information after the time period set for 
filing a motion to amend in paragraph (a)(1) of this section.
    (d) Burden of Persuasion. On a motion to amend:
    (1) A patent owner bears the burden of persuasion to show, by a 
preponderance of the evidence, that the motion to amend complies with 
the requirements of paragraphs (1) and (3) of 35 U.S.C. 326(d), as well 
as paragraphs (a)(2), (a)(3), (b)(1), and (b)(2) of this section;
    (2) A petitioner bears the burden of persuasion to show, by a 
preponderance of the evidence, that any proposed substitute claims are 
unpatentable; and
    (3) Irrespective of paragraphs (d)(1) and (2) of this section, the 
Board may, in the interests of justice, exercise its discretion to grant 
or deny a motion to amend only for reasons supported by readily 
identifiable and persuasive evidence of record. In doing so, the Board 
may make of record only readily identifiable and persuasive evidence in 
a related proceeding before the Office or evidence that a district court 
can judicially notice. Where the Board exercises its discretion under 
this paragraph, the parties will have an opportunity to respond.

[77 FR 48729, Aug. 14, 2012, as amended at 80 FR 28566, May 19, 2015; 85 
FR 82935, Dec. 21, 2020]



Sec.42.222  Multiple proceedings and Joinder.

    (a) Multiple proceedings. Where another matter involving the patent 
is before the Office, the Board may during the pendency of the post-
grant review enter any appropriate order regarding the additional matter 
including providing for the stay, transfer, consolidation, or 
termination of any such matter.
    (b) Request for joinder. Joinder may be requested by a patent owner 
or petitioner. Any request for joinder must be filed, as a motion under 
Sec.42.22, no later than one month after the institution date of any 
post-grant review for which joinder is requested.

[[Page 516]]



Sec.42.223  Filing of supplemental information.

    (a) Motion to submit supplemental information. Once a trial has been 
instituted, a party may file a motion to submit supplemental information 
in accordance with the following requirements:
    (1) A request for the authorization to file a motion to submit 
supplemental information is made within one month of the date the trial 
is instituted.
    (2) The supplemental information must be relevant to a claim for 
which the trial has been instituted.
    (b) Late submission of supplemental information. A party seeking to 
submit supplemental information more than one month after the date the 
trial is instituted, must request authorization to file a motion to 
submit the information. The motion to submit supplemental information 
must show why the supplemental information reasonably could not have 
been obtained earlier, and that consideration of the supplemental 
information would be in the interests-of-justice.
    (c) Other supplemental information. A party seeking to submit 
supplemental information not relevant to a claim for which the trial has 
been instituted must request authorization to file a motion to submit 
the information. The motion must show why the supplemental information 
reasonably could not have been obtained earlier, and that consideration 
of the supplemental information would be in the interests-of-justice.



Sec.42.224  Discovery.

    Notwithstanding the discovery provisions of subpart A:
    (a) Requests for additional discovery may be granted upon a showing 
of good cause as to why the discovery is needed; and
    (b) Discovery is limited to evidence directly related to factual 
assertions advanced by either party in the proceeding.



   Subpart D_Transitional Program for Covered Business Method Patents

    Source: 77 FR 48731, Aug. 14, 2012, unless otherwise noted.



Sec.42.300  Procedure; pendency.

    (a) A covered business method patent review is a trial subject to 
the procedures set forth in subpart A of this part and is also subject 
to the post-grant review procedures set forth in subpart C except for 
Sec. Sec.42.200, 42.201, 42.202, and 42.204.
    (b) In a covered business method patent review proceeding, a claim 
of a patent, or a claim proposed in a motion to amend under Sec.
42.221, shall be construed using the same claim construction standard 
that would be used to construe the claim in a civil action under 35 
U.S.C. 282(b), including construing the claim in accordance with the 
ordinary and customary meaning of such claim as understood by one of 
ordinary skill in the art and the prosecution history pertaining to the 
patent. Any prior claim construction determination concerning a term of 
the claim in a civil action, or a proceeding before the International 
Trade Commission, that is timely made of record in the covered business 
method patent review proceeding will be considered.
    (c) A covered business method patent review proceeding shall be 
administered such that pendency before the Board after institution is 
normally no more than one year. The time can be extended by up to six 
months for good cause by the Chief Administrative Patent Judge, or 
adjusted by the Board in the case of joinder.
    (d) The rules in this subpart are applicable until September 15, 
2020, except that the rules shall continue to apply to any petition for 
a covered business method patent review filed before the date of repeal.

[77 FR 48731, Aug. 14, 2012, as amended at 80 FR 28566, May 19, 2015; 81 
FR 18766, Apr. 1, 2016; 83 FR 51359, Oct. 11, 2018]



Sec.42.301  Definitions.

    In addition to the definitions in Sec.42.2, the following 
definitions apply to proceedings under this subpart D:

[[Page 517]]

    (a) Covered business method patent means a patent that claims a 
method or corresponding apparatus for performing data processing or 
other operations used in the practice, administration, or management of 
a financial product or service, except that the term does not include 
patents for technological inventions.
    (b) Technological invention. In determining whether a patent is for 
a technological invention solely for purposes of the Transitional 
Program for Covered Business Methods (section 42.301(a)), the following 
will be considered on a case-by-case basis: whether the claimed subject 
matter as a whole recites a technological feature that is novel and 
unobvious over the prior art; and solves a technical problem using a 
technical solution.

[77 FR 48753, Aug. 14, 2012]



Sec.42.302  Who may petition for a covered business method patent
review.

    (a) A petitioner may not file with the Office a petition to 
institute a covered business method patent review of the patent unless 
the petitioner, the petitioner's real party-in-interest, or a privy of 
the petitioner has been sued for infringement of the patent or has been 
charged with infringement under that patent. Charged with infringement 
means a real and substantial controversy regarding infringement of a 
covered business method patent exists such that the petitioner would 
have standing to bring a declaratory judgment action in Federal court.
    (b) A petitioner may not file a petition to institute a covered 
business method patent review of the patent where the petitioner, the 
petitioner's real party-in-interest, or a privy of the petitioner is 
estopped from challenging the claims on the grounds identified in the 
petition.
    (c) A petitioner may not file a petition to institute a covered 
business method patent review of the patent where, before the date on 
which the petition is filed, the petitioner or real party-in-interest 
filed a civil action challenging the validity of a claim of the patent.

[77 FR 48731, Aug. 14, 2012, as amended at 80 FR 28566, May 19, 2015]



Sec.42.303  Time for filing.

    A petition requesting a covered business method patent review may be 
filed any time except during the period in which a petition for a post-
grant review of the patent would satisfy the requirements of 35 U.S.C. 
321(c).



Sec.42.304  Content of petition.

    In addition to any other notices required by subparts A and C of 
this part, a petition must request judgment against one or more claims 
of a patent identified by patent number. In addition to the requirements 
of Sec. Sec.42.6, 42.8, 42.22, and 42.24 the petition must set forth:
    (a) Grounds for standing. The petitioner must demonstrate that the 
patent for which review is sought is a covered business method patent, 
and that the petitioner meets the eligibility requirements of Sec.
42.302.
    (b) Identification of challenge. Provide a statement of the precise 
relief requested for each claim challenged. The statement must identify 
the following:
    (1) The claim;
    (2) The specific statutory grounds permitted under paragraph (2) or 
(3) of 35 U.S.C. 282(b), except as modified by section 18(a)(1)(C) of 
the Leahy-Smith America Invents Act (Pub. L. 112-29, 125 Stat. 284 
(2011)), on which the challenge to the claim is based;
    (3) How the challenged claim is to be construed. Where the claim to 
be construed contains a means-plus-function or step-plus-function 
limitation as permitted under 35 U.S.C. 112(f), the construction of the 
claim must identify the specific portions of the specification that 
describe the structure, material, or acts corresponding to each claimed 
function;
    (4) How the construed claim is unpatentable under the statutory 
grounds identified in paragraph (b)(2) of this section. Where the 
grounds for unpatentability are based on prior art, the petition must 
specify where each element of the claim is found in the prior art. For 
all other grounds of unpatentability, the petition must identify the 
specific part of the claim that fails to comply with the statutory 
grounds raised and state how the identified subject matter fails to 
comply with the statute; and

[[Page 518]]

    (5) The exhibit number of supporting evidence relied upon to support 
the challenge and the relevance of the evidence to the challenge raised, 
including identifying specific portions of the evidence that support the 
challenge. The Board may exclude or give no weight to the evidence where 
a party has failed to state its relevance or to identify specific 
portions of the evidence that support the challenge.
    (c) A motion may be filed that seeks to correct a clerical or 
typographical mistake in the petition. The grant of such a motion does 
not change the filing date of the petition.



                          Subpart E_Derivation

    Source: 77 FR 56090, Sep. 11, 2012, unless otherwise noted.



Sec.42.400  Procedure; pendency.

    (a) A derivation proceeding is a trial subject to the procedures set 
forth in subpart A of this part.
    (b) The Board may for good cause authorize or direct the parties to 
address patentability issues that arise in the course of the derivation 
proceeding.



Sec.42.401  Definitions.

    In addition to the definitions in Sec.42.2, the following 
definitions apply to proceedings under this subpart:
    Agreement or understanding under 35 U.S.C. 135(e) means settlement 
for the purposes of Sec.42.74.
    Applicant includes a reissue applicant.
    Application includes both an application for an original patent and 
an application for a reissued patent.
    First publication means either a patent or an application 
publication under 35 U.S.C. 122(b), including a publication of an 
international application designating the United States as provided by 
35 U.S.C. 374.
    Petitioner means a patent applicant who petitions for a 
determination that another party named in an earlier-filed patent 
application allegedly derived a claimed invention from an inventor named 
in the petitioner's application and filed the earlier application 
without authorization.
    Respondent means a party other than the petitioner.
    Same or substantially the same means patentably indistinct.



Sec.42.402  Who may file a petition for a derivation proceeding.

    An applicant for patent may file a petition to institute a 
derivation proceeding in the Office.



Sec.42.403  Time for filing.

    A petition for a derivation proceeding must be filed within the one-
year period beginning on the date of the first publication of a claim to 
an invention that is the same or substantially the same as the earlier 
application's claim to the allegedly derived invention.



Sec.42.404  Derivation fee.

    (a) A derivation fee set forth in Sec.42.15(c) must accompany the 
petition.
    (b) No filing date will be accorded to the petition until payment is 
complete.



Sec.42.405  Content of petition.

    (a) Grounds for standing. The petition must:
    (1) Demonstrate compliance with Sec. Sec.42.402 and 42.403; and
    (2) Show that the petitioner has at least one claim that is:
    (i) The same or substantially the same as the respondent's claimed 
invention; and
    (ii) The same or substantially the same as the invention disclosed 
to the respondent.
    (b) In addition to the requirements of Sec. Sec.42.8 and 42.22, 
the petition must:
    (1) Provide sufficient information to identify the application or 
patent for which the petitioner seeks a derivation proceeding;
    (2) Demonstrate that a claimed invention was derived from an 
inventor named in the petitioner's application, and that the inventor 
from whom the invention was derived did not authorize the filing of the 
earliest application claiming such invention; and
    (3) For each of the respondent's claims to the derived invention,
    (i) Show why the claimed invention is the same or substantially the 
same as the invention disclosed to the respondent, and

[[Page 519]]

    (ii) Identify how the claim is to be construed. Where the claim to 
be construed contains a means-plus-function or step-plus-function 
limitation as permitted under 35 U.S.C. 112(f), the construction of the 
claim must identify the specific portions of the specification that 
describe the structure, material, or acts corresponding to each claimed 
function.
    (c) Sufficiency of showing. A derivation showing is not sufficient 
unless it is supported by substantial evidence, including at least one 
affidavit addressing communication of the derived invention and lack of 
authorization that, if unrebutted, would support a determination of 
derivation. The showing of communication must be corroborated.



Sec.42.406  Service of petition.

    In addition to the requirements of Sec.42.6, the petitioner must 
serve the petition and exhibits relied upon in the petition as follows:
    (a) The petition and supporting evidence must be served on the 
respondent at the correspondence address of record for the earlier 
application or subject patent. The petitioner may additionally serve the 
petition and supporting evidence on the respondent at any other address 
known to the petitioner as likely to effect service.
    (b) Upon agreement of the parties, service may be made 
electronically. Service may be by Priority Mail Express[supreg] or by 
means at least as fast and reliable as Priority Mail Express[supreg]. 
Personal service is not required.

[77 FR 48669, Aug. 14, 2012, as amended at 79 FR 63043, Oct. 22, 2014]



Sec.42.407  Filing date.

    (a) Complete petition. A petition to institute a derivation 
proceeding will not be accorded a filing date until the petition 
satisfies all of the following requirements:
    (1) Complies with Sec. Sec.42.404 and 42.405, and
    (2) Service of the petition on the correspondence address of record 
as provided in Sec.42.406.
    (b) Incomplete petition. Where the petitioner files an incomplete 
petition, no filing date will be accorded, and the Office will dismiss 
the petition if the deficiency in the petition is not corrected within 
the earlier of either one month from notice of the incomplete petition, 
or the expiration of the statutory deadline in which to file a petition 
for derivation.

                    Instituting Derivation Proceeding



Sec.42.408  Institution of derivation proceeding.

    (a) An administrative patent judge institutes, and may as necessary 
reinstitute, the derivation proceeding on behalf of the Director.
    (b) Additional derivation proceeding. The petitioner may suggest the 
addition of a patent or application to the derivation proceeding. The 
suggestion should make the showings required under Sec.42.405 and 
explain why the suggestion could not have been made in the original 
petition.

               After Institution of Derivation Proceeding



Sec.42.409  Settlement agreements.

    An agreement or understanding under 35 U.S.C. 135(e) is a settlement 
for the purposes of Sec.42.74.



Sec.42.410  Arbitration.

    (a) Parties may resort to binding arbitration to determine any 
issue. The Office is not a party to the arbitration. The Board is not 
bound by, and may independently determine, any question of 
patentability.
    (b) The Board will not set a time for, or otherwise modify the 
proceeding for, an arbitration unless:
    (1) It is to be conducted according to Title 9 of the United States 
Code;
    (2) The parties notify the Board in writing of their intention to 
arbitrate;
    (3) The agreement to arbitrate:
    (i) Is in writing;
    (ii) Specifies the issues to be arbitrated;
    (iii) Names the arbitrator, or provides a date not more than 30 days 
after the execution of the agreement for the selection of the 
arbitrator;
    (iv) Provides that the arbitrator's award shall be binding on the 
parties and that judgment thereon can be entered by the Board;

[[Page 520]]

    (v) Provides that a copy of the agreement is filed within 20 days 
after its execution; and
    (vi) Provides that the arbitration is completed within the time the 
Board sets.
    (c) The parties are solely responsible for the selection of the 
arbitrator and the conduct of the arbitration.
    (d) The Board may determine issues the arbitration does not resolve.
    (e) The Board will not consider the arbitration award unless it:
    (1) Is binding on the parties;
    (2) Is in writing;
    (3) States in a clear and definite manner each issue arbitrated and 
the disposition of each issue; and
    (4) Is filed within 20 days of the date of the award.
    (f) Once the award is filed, the parties to the award may not take 
actions inconsistent with the award. If the award is dispositive of the 
contested subject matter for a party, the Board may enter judgment as to 
that party.



Sec.42.411  Common interests in the invention.

    The Board may decline to institute, or if already instituted the 
Board may issue judgment in, a derivation proceeding between an 
application and a patent or another application that are commonly owned.



Sec.42.412  Public availability of Board records.

    (a) Publication. (1) Generally. Any Board decision is available for 
public inspection without a party's permission if rendered in a file 
open to the public pursuant to Sec.1.11 of this chapter or in an 
application that has been published in accordance with Sec. Sec.1.211 
to 1.221 of this chapter. The Office may independently publish any Board 
decision that is available for public inspection.
    (2) Determination of special circumstances. Any Board decision not 
publishable under paragraph (a)(1) of this section may be published or 
made available for public inspection if the Director believes that 
special circumstances warrant publication and a party does not petition 
within two months after being notified of the intention to make the 
decision public, objecting in writing on the ground that the decision 
discloses the objecting party's trade secret or other confidential 
information and stating with specificity that such information is not 
otherwise publicly available.
    (b) Record of proceeding. (1) The record of a Board proceeding is 
available to the public, unless a patent application not otherwise 
available to the public is involved.
    (2) Notwithstanding paragraph (b)(1) of this section, after a final 
Board decision in or judgment in a Board proceeding, the record of the 
Board proceeding will be made available to the public if any involved 
file is or becomes open to the public under Sec.1.11 of this chapter 
or an involved application is or becomes published under Sec. Sec.
1.211 to 1.221 of this chapter.



PART 90_JUDICIAL REVIEW OF PATENT TRIAL AND APPEAL BOARD DECISIONS--
Table of Contents



Sec.
90.1 Scope.
90.2 Notice; service.
90.3 Time for appeal or civil action.

    Authority: 35 U.S.C. 2(b)(2).

    Source: 77 FR 48677, Aug. 14, 2012, unless otherwise noted.



Sec.90.1  Scope.

    The provisions herein govern judicial review for Patent Trial and 
Appeal Board decisions under chapter 13 of title 35, United States Code. 
Judicial review of decisions arising out of inter partes reexamination 
proceedings that are requested under 35 U.S.C. 311, and where available, 
judicial review of decisions arising out of interferences declared 
pursuant to 35 U.S.C. 135 continue to be governed by the pertinent 
regulations in effect on July 1, 2012.



Sec.90.2  Notice; service.

    (a) For an appeal under 35 U.S.C. 141. (1) In all appeals, the 
notice of appeal required by 35 U.S.C. 142 must be filed with the 
Director of the United States Patent and Trademark Office as provided in 
Sec.104.2 of this title. A copy of the notice of appeal must also be 
filed with the Patent Trial and Appeal

[[Page 521]]

Board in the appropriate manner provided in Sec.41.10(a), 41.10(b), or 
42.6(b).
    (2) In all appeals, the party initiating the appeal must comply with 
the requirements of the Federal Rules of Appellate Procedure and Rules 
for the United States Court of Appeals for the Federal Circuit, 
including:
    (i) Serving the requisite number of copies on the Court; and
    (ii) Paying the requisite fee for the appeal.
    (3) Additional requirements. (i) In appeals arising out of an ex 
parte reexamination proceeding ordered pursuant to Sec.1.525, notice 
of the appeal must be served as provided in Sec.1.550(f) of this 
title.
    (ii) In appeals arising out of an inter partes review, a post-grant 
review, a covered business method patent review, or a derivation 
proceeding, notice of the appeal must provide sufficient information to 
allow the Director to determine whether to exercise the right to 
intervene in the appeal pursuant to 35 U.S.C. 143, and it must be served 
as provided in Sec.42.6(e) of this title.
    (b) For a notice of election under 35 U.S.C. 141(d) to proceed under 
35 U.S.C. 146. (1) Pursuant to 35 U.S.C. 141(d), if an adverse party 
elects to have all further review proceedings conducted under 35 U.S.C. 
146 instead of under 35 U.S.C. 141, that party must file a notice of 
election with the United States Patent and Trademark Office as provided 
in Sec.104.2.
    (2) A copy of the notice of election must also be filed with the 
Patent Trial and Appeal Board in the manner provided in Sec.42.6(b).
    (3) A copy of the notice of election must also be served where 
necessary pursuant to Sec.42.6(e).
    (c) For a civil action under 35 U.S.C. 146. The party initiating an 
action under 35 U.S.C. 146 must file a copy of the complaint no later 
than five business days after filing the complaint in district court 
with the Patent Trial and Appeal Board in the manner provided in Sec.
42.6(b), and the Office of the Solicitor pursuant to Sec.104.2. 
Failure to comply with this requirement can result in further action 
within the United States Patent and Trademark Office consistent with the 
final Board decision.



Sec.90.3  Time for appeal or civil action.

    (a) Filing deadline. (1) For an appeal under 35 U.S.C. 141. The 
notice of appeal filed pursuant to 35 U.S.C. 142 must be filed with the 
Director of the United States Patent and Trademark Office no later than 
sixty-three (63) days after the date of the final Board decision. Any 
notice of cross-appeal is controlled by Rule 4(a)(3) of the Federal 
Rules of Appellate Procedure, and any other requirement imposed by the 
Rules of the United States Court of Appeals for the Federal Circuit.
    (2) For a notice of election under 35 U.S.C. 141(d). The time for 
filing a notice of election under 35 U.S.C. 141(d) is governed by 35 
U.S.C. 141(d).
    (3) For a civil action under 35 U.S.C. 145 or 146. (i) A civil 
action must be commenced no later than sixty-three (63) days after the 
date of the final Board decision.
    (ii) The time for commencing a civil action pursuant to a notice of 
election under 35 U.S.C. 141(d) is governed by 35 U.S.C. 141(d).
    (b) Time computation. (1) Rehearing. A timely request for rehearing 
will reset the time for appeal or civil action to no later than sixty-
three (63) days after action on the request. Any subsequent request for 
rehearing from the same party in the same proceeding will not reset the 
time for seeking judicial review, unless the additional request is 
permitted by order of the Board.
    (2) Holidays. If the last day for filing an appeal or civil action 
falls on a Federal holiday in the District of Columbia, the time is 
extended pursuant to 35 U.S.C. 21(b).
    (c) Extension of time. (1) The Director, or his designee, may extend 
the time for filing an appeal, or commencing a civil action, upon 
written request if:
    (i) Requested before the expiration of the period for filing an 
appeal or commencing a civil action, and upon a showing of good cause; 
or
    (ii) Requested after the expiration of the period for filing an 
appeal of commencing a civil action, and upon a showing that the failure 
to act was the result of excusable neglect.
    (2) The request must be filed as provided in Sec.104.2 of this 
title.

[[Page 523]]

  INDEX III_RULES RELATING TO PRACTICE BEFORE THE PATENT AND TRADEMARK 
                                 OFFICE

  Editorial Note: This listing is provided for informational purposes 
only. It is compiled and kept current by the Department of Commerce. 
This index is updated as of July 1, 2021.

                                                                 Section

                                 A

Address change.....................................................11.11
Advertising.......................................11.701, 11.702, 11.703
Agreements restricting practice...................................11.506
Aliens...........................................11.6, 11.7, 11.9, 11.14
Applicant for patent, representation of......................1.31, 11.10
Applicant for trademark, representation of..........................2.11
Attorney, status change from agent..................................11.7
Attorneys, recognition of to practice in trademark matters.........11.14
Attorneys, registration of to practice in patent matters.....11.6, 11.7, 
                                                                    11.9

                                 B

Breach of trust...................................................11.804
Business transactions or relations with client....................11.108

                                 C

Candidate for judicial office.....................................11.802
Certificate of mailing........................................1.8, 11.18
Circumventing a disciplinary rule.................................11.804
Rules of Professional Conduct..............................11.101-11.901
Committee on Discipline........................11.2, 11.22, 11.23, 11.32
Communicating with person having adverse interest........11.401, 11.402, 
                                                                  11.403
Communications concerning practitioner's service.........11.701, 11.702, 
                                                          11.703, 11.704
Compensation for legal services...........................11.105, 11.108
Competence................................................11.101, 11.103
Complaint instituting disciplinary proceedings..............11.32, 11.34
Concealment of material information...............................11.804
Conduct in proceeding before Office...............................11.303
Conduct prejudicial to the administration of justice..............11.804
Conflict of interest......................11.107, 11.108, 11.110, 11.111
Conviction of criminal offense........................11.7, 11.19, 11.25

                                 D

Deceit............................................................11.804
Decisions of the USPTO Director.............................11.56, 11.57
Definitions:
Agent...............................................................11.6
Attorney............................................................11.1
Director of Enrollment and Discipline...............................11.1
Grievance...........................................................11.1
Fraud...............................................................11.1
Law firm............................................................11.1
Lawyer..............................................................11.1

[[Page 524]]

Office..............................................................11.1
Partner.............................................................11.1
Person..............................................................11.1
Practitioner........................................................11.1
Proceeding before the Office........................................11.1
Register............................................................11.1
Registration........................................................11.1
Respondent.........................................................11.34
Roster..............................................................11.1
State...............................................................11.1
Tribunal...........................................................11.11
Writing.............................................................11.1
United States.......................................................11.1
Designation as registered attorney or agent.......................11.704
Direct contact with prospective clients...........................11.703
Director of Enrollment and Discipline...............................11.2
Review of decisions of the Director.................................11.2
Disability inactive status...........................11.19, 11.20, 11.29
Disbarment from practice on ethical grounds..................11.7, 11.19
Discharge of attorney or agent by client..........................11.116
Disciplinary Proceedings and Investigations:
Administrative Procedures Act........................11.32, 11.39, 11.44
Amendment of complaint.............................................11.45
Amendment of pleadings.............................................11.45
Answer to complaint................................................11.36
Appeal of initial decision of Hearing officer......................11.55
Burden of proof....................................................11.49
Certificate of mailing........................................1.8, 11.41
Complaint..........................................................11.34
Contested case.....................................................11.38
Deliberations of Committee on Discipline...........................11.23
Discovery (see also Discovery in Disciplinary Proceedings).........11.52
Exception to ruling................................................11.50
Filing papers after complaint filed................................11.41
Hearing officer....................................................11.39
Hearings before hearing officer....................................11.44
Initial decision of hearing officer.........................11.39, 11.54
Instituting a disciplinary proceeding..............................11.32
Investigations of violations of disciplinary rules...........11.2, 11.22
Notice of suspension or exclusion of practitioner..................11.59
Objections to evidence.............................................11.50
Post hearing memorandum............................................11.53
Pre-hearing statement..............................................11.52
Reinstatement of suspended or excluded practitioner................11.60
Reprimand of registered attorney or agent...................11.20, 11.59
Resignation of practitioner........................................11.11
Review of decision denying reinstatement of practitioner............11.2
Review of interlocutory orders by Administrative Law Judge.........11.39
Review of USPTO Director's final decision..........................11.57
Savings clause....................................................11.901
Service of complaint...............................................11.35
Settlement of complaint............................................11.26
Stay pending review of interlocutory order.........................11.39
Discourteous conduct..............................................11.804
Discovery in Disciplinary Proceedings:
Copying of documents...............................................11.52
Depositions..........................................11.39, 11.50, 11.51
Evidence....................................................11.50, 11.52

[[Page 525]]

Impeachment........................................................11.52
Inspection of documents............................................11.52
Interrogatories....................................................11.52
Motions filed with hearing officer..........................11.43, 11.52
Privileged information.............................................11.52
Undue delay in proceedings.........................................11.52
Division of legal fees............................................11.105
Duress, use of............................................11.703, 11.804

                                 E

Employee testimony. (See Testimony by Office employee)
Employment:
Declining or terminating representation...........................11.116
Failure to carry out contract.....................................11.103
Refusing employment...............11.107, 11.108, 11.109, 11.110, 11.307
Withdrawal from employment.......11.107, 11.108, 11.109, 11.110, 11.116, 
                                                                  11.307
Exception to ruling................................................11.50
Excessive legal fees..............................................11.105
Exclusion of practitioner............................11.20, 11.27, 11.58

                                 F

Faculty Clinic Supervisor...................................11.16, 11.17
Failure to disclose material fact with regard to registration.....11.801
Failure to notify client..................................11.104, 11.804
False accusations.........................................11.401, 11.804
False statements concerning officials.............11.401, 11.802, 11.804
Fees:
In general..........................................................1.21
Extension of time to schedule registration examination........11.7, 11.9
Petition to review decision of Director of Enrollment and 
Discipline..........................................................11.2
Registration........................................................11.8
Registration examination............................................11.7
Reinstatement......................................................11.11
Fees for legal services...........................................11.105
Firm name, use of.................................................11.705
Fitness to practice before the Office.....................11.803, 11.804
Foreigners.......................................11.6, 11.7, 11.9, 11.14
Former Patent and Trademark Office employees.........11.7, 11.10, 11.111
Fraud or inequitable conduct.....11.102, 11.106, 11.116, 11.303, 11.401, 
                                                                  11.804
Funds of client, preserving identity of...................11.105, 11.115

                                 G

Gift, improperly bestowing........................................11.108
Government employees, registration of to practice in patent 
matters....................................................11.10, 11.111

                                 I

Illegal conduct involving moral turpitude...................11.7, 11.804
Illegal fees for services.........................................11.105
Improper alteration of patent application.........................11.804
Improper execution of oath or declaration.........................11.804
Improper influence........................................11.305, 11.804
Improper signature.................................................11.18
Incompetence..............................................11.101, 11.103

[[Page 526]]

Independent professional judgment, exercise of...11.107, 11.108, 11.109, 
                                                  11.110, 11.307, 11.504
Individual unqualified in respect to character, education, etc.....11.7, 
                                                            11.7, 11.801
Influence by others than client..........11.107, 11.108, 11.109, 11.110, 
                                                          11.307, 11.504
Information precluding registration, failure to disclose....11.7, 11.801
Initial decision of Administrative Law Judge................11.39, 11.54
Integrity and competence of the legal profession, maintaining of 
                                                                  11.801
Interest in litigation or proceeding before Office, acquiring of 
                                                                  11.108
Investigations of violations of disciplinary rules..................11.2

                                 J

Judicial office, candidate for....................................11.802
Jurisdiction, disciplinary.........................................11.19

                                 L

Law school students................................................11.16
Law School Clinic Certification Program.....................11.16, 11.17
Legal Fees:
Division of.......................................................11.105
Failure to pay....................................................11.116
Sharing of........................................................11.105
Letterheads, use of...............................................11.705
Limited recognition to practice in patent matters...................11.9

                                 M

Malpractice, limiting client's liability..........................11.108
Materially false statements in application for registration.......11.801
Misappropriation of funds.................................11.804, 11.115
Misconduct........................................................11.804
Misrepresentations..................................11.7, 11.701, 11.804
Multiple employment.......................11.107, 11.108, 11.109, 11.110

                                 N

Neglecting legal matters..........................11.101, 11.103, 11.104
Non-practitioner, formation of partnership with...........11.117, 11.504
Notice of suspension or exclusion..................................11.59

                                 O

Oath requirement....................................................11.8
Officials, contact with...........................................11.305

                                 P

Petitions:a
Fees in general.....................................................1.21
Reinstatement.........................................11.9, 11.11, 11.60
Reinstatement of limited recognition...............................11.11
Review decision of USPTO Director..................................11.57
Review decision of Director of Enrollment and Discipline............11.2
Suspension of rules.................................................11.3
Practitioner responsibilities.............................11.501, 11.502
Preserving secrets and confidences of client..............11.106, 11.118
Pro-se applicant..............................................1.31, 2.11
Property of client................................................11.115
Proprietary interest in subject matter............................11.108

[[Page 527]]

Publication...................................11.11, 11.35, 11.59, 11.60

                                 R

Recognition to Practice Before the Patent and Trademark Office:
Agents..............................................., 11.6, 11.7, 11.14
Aliens...........................................11.6, 11.7, 11.9, 11.14
Attorneys..............................................11.6, 11.7, 11.14
Change of address, requirement to notify Director..................11.11
Person not suspended or excluded....................................11.2
Suspended or excluded practitioner.................................11.60
Examination for registration in patent matters................11.7, 11.9
Examination fee.....................................................11.7
Foreigners.......................................11.6, 11.7, 11.9, 11.14
Former Patent and Trademark Office employees.........11.7, 11.10, 11.111
Government employees.......................................11.10, 11.111
Limited recognition in patent matters...............................11.9
Non-lawyers, recognition in trademark matters......................11.14
Patent matters.........................................11.6, 11.9, 11.10
Recognition for representation.........................1.34, 2.17, 11.14
Recognition to practice..........................11.6, 11.7, 11.9, 11.14
Refusal to recognize practitioner..................................11.15
Register of attorneys and agents in patent matters..................11.5
Registration fee....................................................11.8
Registration number................................................11.11
Removal of attorneys and agents from the register..................11.11
Representation by registered attorney or agent in patent matters 
                                                                    1.31
Requirements for registration.......................................11.7
Review of Director's decision refusing registration.................11.2
Trademark matters..................................................11.14
Unauthorized representation by an agent.........., 11.10, 11.505, 11.704
Records, property and funds of client, maintaining of.............11.115
Registration statement, biennial submission........................11.11
Reinstatement after removal from the register................11.2, 11.11
Reinstatement of suspended or excluded non-practitioner............11.60
Reporting professional misconduct.................................11.803
Representation, declining or terminating..........................11.116
Representing client within bounds of the law.....11.102, 11.301, 11.302, 
                                          11.303, 11.304, 11.401, 11.404
Reprimand of registered attorney or agent..........................11.20
Resignation........................................................11.11
Revocation of registration to practice patent matters..............11.11

                                 S

Safekeeping of property...........................................11.115
Secrets and confidence, preservation of clients...................11.106
Service of papers..................................................11.42
Service of process:
Acceptance of service of process...........................11.42, 104.12
Definition
Scope and purpose.................................................104.11
Settlement of claims of clients...................................11.108
Settlement of disciplinary claims..................................11.26
Sharing legal fees........................................11.105, 11.504
Signature and certificate of practitioner..........................11.18
Solicitation......................................................11.703
Statement concerning officials, making false..............11.401, 11.804
Suspension of practitioner.............11.11, 11.20, 11.24, 11.25, 11.58

[[Page 528]]

Suspension of rules.................................................11.3
Time, computing.....................................................11.4

                                 T

Testimony of Office employees:
Definition.........................................................104.1
General rule......................................................104.21
Office policy.....................................................104.22
Proceedings involving the United States...........................104.23
Production of documents...........................................104.22
Scope.............................................................104.11
Subpoena of Office employees.......................................104.2
Threats, use of...................................................11.804
Trial Publicity...................................................11.306

                                 U

Unauthorized practice......................11.14, 11.505, 11.701, 11.704

                                 V

Violating duty of candor and good faith...........11.106, 11.303, 11.804
Violation of disciplinary rule, misconduct........................11.804

                                 W

Witnesses.................................................11.304, 11.307

                                 Z

Zealously representing the client.................11.102, 11.103, 11.404

[[Page 529]]



                       SUBCHAPTER B_ADMINISTRATION



                        PARTS 100	101 [RESERVED]



PART 102_DISCLOSURE OF GOVERNMENT INFORMATION--Table of Contents



                  Subpart A_Freedom of Information Act

Sec.
102.1 General.
102.2 Public reference facilities.
102.3 Records under FOIA.
102.4 Requirements for making requests.
102.5 Responsibility for responding to requests.
102.6 Time limits and expedited processing.
102.7 Responses to requests.
102.9 Business Information.
102.10 Appeals from initial determinations or untimely delays.
102.11 Fees.

                          Subpart B_Privacy Act

102.21 Purpose and scope.
102.22 Definitions.
102.23 Procedures for making inquiries.
102.24 Procedures for making requests for records.
102.25 Disclosure of requested records to individuals.
102.26 Special procedures: Medical records.
102.27 Procedures for making requests for correction or amendment.
102.28 Review of requests for correction or amendment.
102.29 Appeal of initial adverse determination on correction or 
          amendment.
102.30 Disclosure of record to person other than the individual to whom 
          it pertains.
102.31 Fees.
102.32 Penalties.
102.33 General exemptions.
102.34 Specific exemptions.

Appendix to Part 102--Systems of Records Noticed by Other Federal 
          Agencies and Applicable to USPTO Records, and Applicability of 
          This Part Thereto

    Authority: 5 U.S.C. 552; 5 U.S.C. 552a; 5 U.S.C. 553; 31 U.S.C. 
3717; 35 U.S.C. 2(b)(2), 21, 41, 42, 122; 44 U.S.C. 3101.

    Source: 65 FR 52917, Aug. 31, 2000, unless otherwise noted.



                  Subpart A_Freedom of Information Act



Sec.102.1  General.

    (a) The information in this part is furnished for the guidance of 
the public and in compliance with the requirements of the Freedom of 
Information Act (FOIA), as amended (5 U.S.C. 552). This part sets forth 
the procedures the United States Patent and Trademark Office (USPTO) 
follows to make publicly available the materials and indices specified 
in 5 U.S.C. 552(a)(2) and records requested under 5 U.S.C. 552(a)(3). 
Information routinely provided to the public as part of a regular USPTO 
activity (for example, press releases issued by the Office of Public 
Affairs) may be provided to the public without following this part. 
USPTO's policy is to make discretionary disclosures of records or 
information exempt from disclosure under FOIA whenever disclosure would 
not foreseeably harm an interest protected by a FOIA exemption, but this 
policy does not create any right enforceable in court.
    (b) As used in this subpart, FOIA Officer means the USPTO employee 
designated to administer FOIA for USPTO. To ensure prompt processing of 
a request, correspondence should be addressed to the FOIA Officer, 
United States Patent and Trademark Office, P.O. Box 1450, Alexandria, 
Virginia 22313-1450, or delivered by hand to 10B20, Madison Building 
East, 600 Dulany Street, Alexandria, Virginia.

[65 FR 52917, Aug. 31, 2000, as amended at 68 FR 14338, Mar. 25, 2003; 
70 FR 10489, Mar. 4, 2005]



Sec.102.2  Public reference facilities.

    (a) USPTO maintains a public reference facility that contains the 
records FOIA requires to be made regularly available for public 
inspection and copying; furnishes information and otherwise assists the 
public concerning USPTO operations under FOIA; and receives and 
processes requests for records under FOIA. The FOIA Officer is 
responsible for determining which of USPTO's records are required to be 
made available for public inspection and copying, and for making those 
records available in USPTO's reference and records inspection facility. 
The FOIA Officer shall maintain and make available for public inspection 
and copying a current subject-matter index

[[Page 530]]

of USPTO's public inspection facility records. Each index shall be 
updated regularly, at least quarterly, with respect to newly included 
records. In accordance with 5 U.S.C. 552(a)(2), USPTO has determined 
that it is unnecessary and impracticable to publish quarterly, or more 
frequently, and distribute copies of the index and supplements thereto. 
The public reference facility is located in the Public Search Room, 
Madison Building East, First Floor, 600 Dulany Street, Alexandria, 
Virginia.
    (b) The FOIA Officer shall also make public inspection facility 
records created by USPTO on or after November 1, 1996, available 
electronically through USPTO's World Wide Web site (http://
www.uspto.gov). Information available at the site shall include:
    (1) The FOIA Officer's index of the public inspection facility 
records, which indicates which records are available electronically; and
    (2) The general index referred to in paragraph (c)(3) of this 
section.
    (c) USPTO maintains and makes available for public inspection and 
copying:
    (1) A current index providing identifying information for the public 
as to any matter that is issued, adopted, or promulgated after July 4, 
1967, and that is retained as a record and is required to be made 
available or published. Copies of the index are available upon request 
after payment of the direct cost of duplication;
    (2) Copies of records that have been released and that the FOIA 
Officer determines, because of their subject matter, have become or are 
likely to become the subject of subsequent requests for substantially 
the same records;
    (3) A general index of the records described in paragraph (c)(2) of 
this section;
    (4) Final opinions and orders, including concurring and dissenting 
opinions made in the adjudication of cases;
    (5) Those statements of policy and interpretations that have been 
adopted by USPTO and are not published in the Federal Register; and
    (6) Administrative staff manuals and instructions to staff that 
affect a member of the public.

[65 FR 52917, Aug. 31, 2000, as amended at 75 FR 36295, June 25, 2010]



Sec.102.3  Records under FOIA.

    (a) Records under FOIA include all Government records, regardless of 
format, medium or physical characteristics, and include electronic 
records and information, audiotapes, videotapes, and photographs.
    (b) There is no obligation to create, compile, or obtain from 
outside USPTO a record to satisfy a FOIA request. With regard to 
electronic data, the issue of whether records are created or merely 
extracted from an existing database is not always apparent. When 
responding to FOIA requests for electronic data where creation of a 
record or programming becomes an issue, USPTO shall undertake reasonable 
efforts to search for the information in electronic format.
    (c) USPTO officials may, upon request, create and provide new 
information pursuant to user fee statutes, such as the first paragraph 
of 15 U.S.C. 1525, or in accordance with authority otherwise provided by 
law. This is outside the scope of FOIA.
    (d) The FOIA Officer shall preserve all correspondence pertaining to 
the requests received under this subpart, as well as copies of all 
requested records, until disposition or destruction is authorized by 
Title 44 of the United States Code or a National Archives and Records 
Administration's General Records Schedule. The FOIA Officer shall not 
dispose of records while they are the subject of a pending request, 
appeal, or lawsuit under FOIA.



Sec.102.4  Requirements for making requests.

    (a) A request for USPTO records that are not customarily made 
available to the public as part of USPTO's regular informational 
services must be in writing, and shall be processed under FOIA, 
regardless of whether FOIA is mentioned in the request. Requests should 
be sent to the USPTO FOIA Officer, United States Patent and Trademark 
Office, P.O. Box 1450, Alexandria, Virginia 22313-1450 (records FOIA 
requires

[[Page 531]]

to be made regularly available for public inspection and copying are 
addressed in Sec.102.2(c)). For the quickest handling, the request 
letter and envelope should be marked ``Freedom of Information Act 
Request.'' For requests for records about oneself, Sec.102.24 contains 
additional requirements. For requests for records about another 
individual, either a written authorization signed by that individual 
permitting disclosure of those records to the requester or proof that 
individual is deceased (for example, a copy of a death certificate or an 
obituary) facilitates processing the request.
    (b) The records requested must be described in enough detail to 
enable USPTO personnel to locate them with a reasonable amount of 
effort. Whenever possible, a request should include specific information 
about each record sought, such as the date, title or name, author, 
recipient, and subject matter of the record, and the name and location 
of the office where the record is located. Also, if records about a 
court case are sought, the title of the case, the court in which the 
case was filed, and the nature of the case should be included. If known, 
any file designations or descriptions for the requested records should 
be included. In general, the more specifically the request describes the 
records sought, the greater the likelihood that USPTO will locate those 
records. If the FOIA Officer determines that a request does not 
reasonably describe records, the FOIA Officer will inform the requester 
what additional information is needed or why the request is otherwise 
insufficient. The FOIA Officer also may give the requester an 
opportunity to discuss the request so that it may be modified to meet 
the requirements of this section.

[65 FR 52917, Aug. 31, 2000, as amended at 68 FR 14338, Mar. 25, 2003]



Sec.102.5  Responsibility for responding to requests.

    (a) In general. Except as stated in paragraph (b) of this section, 
the USPTO will process FOIA requests directed to USPTO. In determining 
records responsive to a request, the FOIA Officer shall include only 
those records within USPTO's possession and control as of the date the 
FOIA Officer receives the request.
    (b) Consultations and referrals. If the FOIA Officer receives a 
request for a record in USPTO's possession in which another Federal 
agency subject to FOIA has the primary interest, the FOIA Officer shall 
refer the record to that agency for direct response to the requester. 
The FOIA Officer shall consult with another Federal agency before 
responding to a requester if the FOIA Officer receives a request for a 
record in which another Federal agency subject to FOIA has a significant 
interest, but not the primary interest; or another Federal agency not 
subject to FOIA has the primary interest or a significant interest. 
Ordinarily, the agency that originated a record will be presumed to have 
the primary interest in it.
    (c) Notice of referral. Whenever a FOIA Officer refers a document to 
another Federal agency for direct response to the requester, the FOIA 
Officer will ordinarily notify the requester in writing of the referral 
and inform the requester of the name of the agency to which the document 
was referred.
    (d) Timing of responses to consultations and referrals. All 
consultations and referrals shall be handled according to the date the 
FOIA request was received by the first Federal agency.
    (e) Agreements regarding consultations and referrals. The FOIA 
Officer may make agreements with other Federal agencies to eliminate the 
need for consultations or referrals for particular types of records.



Sec.102.6  Time limits and expedited processing.

    (a) In general. The FOIA Officer ordinarily shall respond to 
requests according to their order of receipt.
    (b) Initial response and appeal. Subject to paragraph (c)(1) of this 
section, an initial response shall be made within 20 working days (i.e., 
excluding Saturdays, Sundays, and legal public holidays) of the receipt 
of a request for a record under this part by the proper FOIA Officer 
identified in accordance with Sec.102.5(a), and an appeal shall be 
decided within 20 working days of its receipt by the Office of the 
General Counsel.

[[Page 532]]

    (c) Unusual circumstances. (1) In unusual circumstances as specified 
in paragraph (c)(2) of this section, the FOIA Officer may extend the 
time limits in paragraph (b) of this section by notifying the requester 
in writing as soon as practicable of the unusual circumstances and of 
the date by which processing of the request is expected to be completed. 
Extensions of time for the initial determination and extensions on 
appeal may not exceed a total of ten working days, unless the requester 
agrees to a longer extension, or the FOIA Officer provides the requester 
with an opportunity either to limit the scope of the request so that it 
may be processed within the applicable time limit, or to arrange an 
alternative time frame for processing the request or a modified request.
    (2) As used in this section, unusual circumstances means, but only 
to the extent reasonably necessary to properly process the particular 
request:
    (i) The need to search for and collect the requested records from 
field facilities or other establishments separate from the office 
processing the request;
    (ii) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records that are the subject 
of a single request; or
    (iii) The need for consultation, which shall be conducted with all 
practicable speed, with another Federal agency having a substantial 
interest in the determination of the request.
    (3) Unusual circumstances do not include a delay that results from a 
predictable workload of requests, unless USPTO demonstrates reasonable 
progress in reducing its backlog of pending requests. Refusal to 
reasonably modify the scope of a request or arrange an alternate time 
frame may affect a requester's ability to obtain judicial review.
    (4) If the FOIA Officer reasonably believes that multiple requests 
submitted by a requester, or by a group of requesters acting in concert, 
constitute a single request that would otherwise involve unusual 
circumstances, and the requests involve clearly related matters, the 
FOIA Officer may aggregate them. Multiple requests involving unrelated 
matters will not be aggregated.
    (d) Multitrack processing. (1) The FOIA Officer may use two or more 
processing tracks by distinguishing between simple and more complex 
requests based on the number of pages involved, or some other measure of 
the amount of work and/or time needed to process the request, and 
whether the request qualifies for expedited processing as described in 
paragraph (e) of this section.
    (2) The FOIA Officer may provide requesters in a slower track with 
an opportunity to limit the scope of their requests in order to qualify 
for faster processing. The FOIA Officer may contact the requester by 
telephone or by letter, whichever is most efficient in each case.
    (e) Expedited processing. (1) Requests and appeals shall be taken 
out of order and given expedited treatment whenever it is determined 
they involve:
    (i) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;
    (ii) The loss of substantial due process rights;
    (iii) A matter of widespread and exceptional media interest in which 
there exist questions about the Government's integrity that affect 
public confidence; or
    (iv) An urgency to inform the public about an actual or alleged 
Federal Government activity, if made by a person primarily engaged in 
disseminating information.
    (2) A request for expedited processing may be made at the time of 
the initial request for records or at any later time. For a prompt 
determination, a request for expedited processing should be sent to the 
FOIA Officer.
    (3) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct to the best of that person's 
knowledge and belief, explaining in detail the basis for requesting 
expedited processing. For example, a requester within the category 
described in paragraph (e)(1)(iv) of this section, if not a full-time 
member of the news media, must establish that he or she is a person 
whose main professional activity or occupation is information 
dissemination, though it need not be his or her sole occupation.

[[Page 533]]

A requester within the category described in paragraph (e)(1)(iv) of 
this section must also establish a particular urgency to inform the 
public about the Government activity involved in the request, beyond the 
public's right to know about Government activity generally. The 
formality of certification may be waived as a matter of administrative 
discretion.
    (4) Within ten calendar days of receipt of a request for expedited 
processing, the FOIA Officer will decide whether to grant it and shall 
notify the requester of the decision. If a request for expedited 
treatment is granted, the request shall be given priority and processed 
as soon as practicable. If a request for expedited processing is denied, 
any appeal of that decision shall be acted on expeditiously.



Sec.102.7  Responses to requests.

    (a) Grants of requests. If the FOIA Officer makes a determination to 
grant a request in whole or in part, the FOIA Officer will notify the 
requester in writing. The FOIA Officer will inform the requester in the 
notice of any fee charged under Sec.102.11 and disclose records to the 
requester promptly upon payment of any applicable fee. Records disclosed 
in part shall be marked or annotated to show each applicable FOIA 
exemption and the amount of information deleted, unless doing so would 
harm an interest protected by an applicable exemption. The location of 
the information deleted shall also be indicated on the record, if 
feasible.
    (b) Adverse determinations of requests. If the FOIA Officer makes an 
adverse determination regarding a request, the FOIA Officer will notify 
the requester of that determination in writing. An adverse determination 
is a denial of a request in any respect, namely: A determination to 
withhold any requested record in whole or in part; a determination that 
a requested record does not exist or cannot be located; a determination 
that a record is not readily reproducible in the form or format sought 
by the requester; a determination that what has been requested is not a 
record subject to FOIA (except that a determination under Sec.
102.11(j) that records are to be made available under a fee statute 
other than FOIA is not an adverse determination); a determination 
against the requester on any disputed fee matter, including a denial of 
a request for a fee waiver; or a denial of a request for expedited 
treatment. Each denial letter shall be signed by the FOIA Officer and 
shall include:
    (1) The name and title or position of the denying official;
    (2) A brief statement of the reason(s) for the denial, including 
applicable FOIA exemption(s);
    (3) An estimate of the volume of records or information withheld, in 
number of pages or some other reasonable form of estimation. This 
estimate need not be provided if the volume is otherwise indicated 
through deletions on records disclosed in part, or if providing an 
estimate would harm an interest protected by an applicable FOIA 
exemption; and
    (4) A statement that the denial may be appealed, and a list of the 
requirements for filing an appeal under Sec.102.10(b).



Sec.102.9  Business Information.

    (a) In general. Business information obtained by USPTO from a 
submitter will be disclosed under FOIA only under this section.
    (b) Definitions. For the purposes of this section:
    (1) Business information means commercial or financial information, 
obtained by USPTO from a submitter, which may be protected from 
disclosure under FOIA exemption 4 (5 U.S.C. 552(b)(4)).
    (2) Submitter means any person or entity outside the Federal 
Government from whom USPTO obtains business information, directly or 
indirectly. The term includes corporations; state, local and tribal 
governments; and foreign governments.
    (c) Designation of business information. A submitter of business 
information should designate by appropriate markings, either at the time 
of submission or at a reasonable time thereafter, any portions of its 
submission that it considers to be protected from disclosure under FOIA 
exemption 4. These designations will expire ten years after the date of 
the submission unless the

[[Page 534]]

submitter requests, and provides justification for, a longer designation 
period.
    (d) Notice to submitters. The FOIA Officer shall provide a submitter 
with prompt written notice of a FOIA request or administrative appeal 
that seeks its business information whenever required under paragraph 
(e) of this section, except as provided in paragraph (h) of this 
section, in order to give the submitter an opportunity under paragraph 
(f) of this section to object to disclosure of any specified portion of 
that information. Such written notice shall be sent via certified mail, 
return receipt requested, or similar means. The notice shall either 
describe the business information requested or include copies of the 
requested records containing the information. When notification of a 
large number of submitters is required, notification may be made by 
posting or publishing the notice in a place reasonably likely to 
accomplish notification.
    (e) When notice is required. Notice shall be given to the submitter 
whenever:
    (1) The information has been designated in good faith by the 
submitter as protected from disclosure under FOIA exemption 4; or
    (2) The FOIA Officer has reason to believe that the information may 
be protected from disclosure under FOIA exemption 4.
    (f) Opportunity to object to disclosure. The FOIA Officer shall 
allow a submitter seven working days (i.e., excluding Saturdays, 
Sundays, and legal public holidays) from the date of receipt of the 
written notice described in paragraph (d) of this section to provide the 
FOIA Officer with a detailed statement of any objection to disclosure. 
The statement must specify all grounds for withholding any portion of 
the information under any exemption of FOIA and, in the case of 
exemption 4, it must show why the information is a trade secret or 
commercial or financial information that is privileged or confidential. 
If a submitter fails to respond to the notice within the time specified, 
the submitter will be considered to have no objection to disclosure of 
the information. Information a submitter provides under this paragraph 
may itself be subject to disclosure under FOIA.
    (g) Notice of intent to disclose. The FOIA Officer shall consider a 
submitter's objections and specific grounds under FOIA for nondisclosure 
in deciding whether to disclose business information. If the FOIA 
Officer decides to disclose business information over the objection of a 
submitter, the FOIA Officer shall give the submitter written notice via 
certified mail, return receipt requested, or similar means, which shall 
include:
    (1) A statement of reason(s) why the submitter's objections to 
disclosure were not sustained;
    (2) A description of the business information to be disclosed; and
    (3) A statement that the FOIA Officer intends to disclose the 
information seven working days from the date the submitter receives the 
notice.
    (h) Exceptions to notice requirements. The notice requirements of 
paragraphs (d) and (g) of this section shall not apply if:
    (1) The FOIA Officer determines that the information should not be 
disclosed;
    (2) The information has been lawfully published or has been 
officially made available to the public;
    (3) Disclosure of the information is required by statute (other than 
FOIA) or by a regulation issued in accordance with Executive Order 
12600; or
    (4) The designation made by the submitter under paragraph (c) of 
this section appears obviously frivolous, in which case the FOIA Officer 
shall provide the submitter written notice of any final decision to 
disclose the information seven working days from the date the submitter 
receives the notice.
    (i) Notice of FOIA lawsuit. Whenever a requester files a lawsuit 
seeking to compel the disclosure of business information, the FOIA 
Officer shall promptly notify the submitter.
    (j) Corresponding notice to requesters. Whenever a FOIA Officer 
provides a submitter with notice and an opportunity to object to 
disclosure under paragraph (d) of this section, the FOIA Officer shall 
also notify the requester(s). Whenever a submitter files

[[Page 535]]

a lawsuit seeking to prevent the disclosure of business information, the 
FOIA Officer shall notify the requester(s).



Sec.102.10  Appeals from initial determinations or untimely delays.

    (a) If a request for records is initially denied in whole or in 
part, or has not been timely determined, or if a requester receives an 
adverse initial determination regarding any other matter under this 
subpart (as described in Sec.102.7(b)), the requester may file a 
written appeal, which must be received by the Office of General Counsel 
within thirty calendar days of the date of the written denial or, if 
there has been no determination, may be submitted anytime after the due 
date, including the last extension under Sec.102.6(c), of the 
determination.
    (b) Appeals shall be decided by a Deputy General Counsel. Appeals 
should be addressed to the General Counsel, United States Patent and 
Trademark Office, PO Box 1450, Alexandria, Virginia 22313-1450. Both the 
letter and the appeal envelope should be clearly marked ``Freedom of 
Information Appeal''. The appeal must include a copy of the original 
request and the initial denial, if any, and may include a statement of 
the reasons why the records requested should be made available and why 
the initial denial, if any, was in error. No opportunity for personal 
appearance, oral argument or hearing on appeal is provided.
    (c) If an appeal is granted, the person making the appeal shall be 
immediately notified and copies of the releasable documents shall be 
made available promptly thereafter upon receipt of appropriate fees 
determined in accordance with Sec.102.11.
    (d) If no determination of an appeal has been sent to the requester 
within the twenty-working-day period specified in Sec.102.6(b) or the 
last extension thereof, the requester is deemed to have exhausted his 
administrative remedies with respect to the request, giving rise to a 
right of judicial review under 5 U.S.C. 552(a)(6)(C). If the person 
making a request initiates a civil action against USPTO based on the 
provision in this paragraph, the administrative appeal process may 
continue.
    (e) A determination on appeal shall be in writing and, when it 
denies records in whole or in part, the letter to the requester shall 
include:
    (1) A brief explanation of the basis for the denial, including a 
list of applicable FOIA exemptions and a description of how the 
exemptions apply;
    (2) A statement that the decision is final;
    (3) Notification that judicial review of the denial is available in 
the United States district court for the district in which the requester 
resides or has its principal place of business, the United States 
District Court for the Eastern District of Virginia, or the District of 
Columbia; and
    (4) The name and title or position of the official responsible for 
denying the appeal.

[65 FR 52917, Aug. 31, 2000, as amended at 68 FR 14338, Mar. 25, 2003]



Sec.102.11  Fees.

    (a) In general. USPTO shall charge for processing requests under 
FOIA in accordance with paragraph (c) of this section, except when fees 
are limited under paragraph (d) of this section or when a waiver or 
reduction of fees is granted under paragraph (k) of this section. USPTO 
shall collect all applicable fees before sending copies of requested 
records to a requester. Requesters must pay fees by check or money order 
made payable to the Treasury of the United States.
    (b) Definitions. For purposes of this section:
    (1) Commercial use request means a request from or on behalf of a 
person who seeks information for a use or purpose that furthers his or 
her commercial, trade, or profit interests, which can include furthering 
those interests through litigation. The FOIA Officer shall determine, 
whenever reasonably possible, the use to which a requester will put the 
requested records. When it appears that the requester will put the 
records to a commercial use, either because of the nature of the request 
itself or because the FOIA Officer has reasonable cause to doubt a 
requester's stated use, the FOIA Officer shall provide the requester a 
reasonable opportunity to submit further clarification.

[[Page 536]]

    (2) Direct costs means those expenses USPTO incurs in searching for 
and duplicating (and, in the case of commercial use requests, reviewing) 
records to respond to a FOIA request. Direct costs include, for example, 
the labor costs of the employee performing the work (the basic rate of 
pay for the employee, plus 16 percent of that rate to cover benefits). 
Not included in direct costs are overhead expenses such as the costs of 
space and heating or lighting of the facility in which the records are 
kept.
    (3) Duplication means the making of a copy of a record, or of the 
information contained in it, necessary to respond to a FOIA request. 
Copies may take the form of paper, microform, audiovisual materials, or 
electronic records (for example, magnetic tape or disk), among others. 
The FOIA Officer shall honor a requester's specified preference of form 
or format of disclosure if the record is readily reproducible with 
reasonable efforts in the requested form or format.
    (4) Educational institution means a preschool, a public or private 
elementary or secondary school, an institution of undergraduate higher 
education, an institution of graduate higher education, an institution 
of professional education, or an institution of vocational education, 
that operates a program of scholarly research. To be in this category, a 
requester must show that the request is authorized by and is made under 
the auspices of a qualifying institution, and that the records are 
sought to further scholarly research rather than for a commercial use.
    (5) Noncommercial scientific institution means an institution that 
is not operated on a ``commercial'' basis, as that term is defined in 
paragraph (b)(1) of this section, and that is operated solely for the 
purpose of conducting scientific research, the results of which are not 
intended to promote any particular product or industry. To be in this 
category, a requester must show that the request is authorized by and is 
made under the auspices of a qualifying institution and that the records 
are sought to further scientific research rather than for a commercial 
use.
    (6) Representative of the news media, or news media requester means 
any person actively gathering news for an entity that is organized and 
operated to publish or broadcast news to the public. The term ``news'' 
means information that is about current events or that would be of 
current interest to the public. Examples of news media entities include 
television or radio stations broadcasting to the public at large and 
publishers of periodicals (but only if they can qualify as disseminators 
of ``news'') that make their products available for purchase or 
subscription by the general public. For ``freelance'' journalists to be 
regarded as working for a news organization, they must demonstrate a 
solid basis for expecting publication through that organization. A 
publication contract would be the clearest proof, but the FOIA Officer 
shall also look to the past publication record of a requester in making 
this determination. To be in this category, a requester must not be 
seeking the requested records for a commercial use. However, a request 
for records supporting the news-dissemination function of the requester 
shall not be considered to be for a commercial use.
    (7) Review means the examination of a record located in response to 
a request in order to determine whether any portion of it is exempt from 
disclosure. It also includes processing any record for disclosure--for 
example, doing all that is necessary to redact it and prepare it for 
disclosure. Review costs are recoverable even if a record ultimately is 
not disclosed. Review time does not include time spent resolving general 
legal or policy issues regarding the application of exemptions.
    (8) Search means the process of looking for and retrieving records 
or information responsive to a request. It includes page-by-page or 
line-by-line identification of information within records and also 
includes reasonable efforts to locate and retrieve information from 
records maintained in electronic form or format. The FOIA Officer shall 
ensure that searches are done in the most efficient and least expensive 
manner reasonably possible.
    (c) Fees. In responding to FOIA requests, the FOIA Officer shall 
charge the fees summarized in chart form in paragraphs (c)(1) and (c)(2) 
of this section and explained in paragraphs (c)(3) through (c)(5) of 
this section, unless a

[[Page 537]]

waiver or reduction of fees has been granted under paragraph (k) of this 
section.
    (1) The four categories and chargeable fees are:

------------------------------------------------------------------------
                Category                         Chargeable fees
------------------------------------------------------------------------
(i) Commercial Use Requesters..........  Search, Review, and
                                          Duplication.
(ii) Educational and Non-commercial      Duplication (excluding the cost
 Scientific Institution Requesters.       of the first 100 pages).
(iii) Representatives of the News Media  Duplication (excluding the cost
                                          of the first 100 pages).
(iv) All Other Requesters..............  Search and Duplication
                                          (excluding the cost of the
                                          first 2 hours of search and
                                          100 pages).
------------------------------------------------------------------------

    (2) Uniform fee schedule.

------------------------------------------------------------------------
                Service                                Rate
------------------------------------------------------------------------
(i) Manual search......................  Actual salary rate of employee
                                          involved, plus 16 percent of
                                          salary rate.
(ii) Computerized search...............  Actual direct cost, including
                                          operator time.
(iii) Duplication of records:
(A) Paper copy reproduction............  $.15 per page
(B) Other reproduction (e.g., computer   Actual direct cost, including
 disk or printout, microfilm,             operator time.
 microfiche, or microform).
(iv) Review of records (includes         Actual salary rate of employee
 preparation for release, i.e.            conducting review, plus 16
 excising).                               percent of salary rate.
------------------------------------------------------------------------

    (3) Search. (i) Search fees shall be charged for all requests--other 
than requests made by educational institutions, noncommercial scientific 
institutions, or representatives of the news media--subject to the 
limitations of paragraph (d) of this section. The FOIA Officer will 
charge for time spent searching even if no responsive records are 
located or if located records are entirely exempt from disclosure. 
Search fees shall be the direct costs of conducting the search by the 
involved employees.
    (ii) For computer searches of records, requesters will be charged 
the direct costs of conducting the search, although certain requesters 
(as provided in paragraph (d)(1) of this section) will be charged no 
search fee and certain other requesters (as provided in paragraph (d)(3) 
of this section) are entitled to the cost equivalent of two hours of 
manual search time without charge. These direct costs include the costs, 
attributable to the search, of operating a central processing unit and 
operator/programmer salary.
    (4) Duplication. Duplication fees will be charged to all requesters, 
subject to the limitations of paragraph (d) of this section. For a paper 
photocopy of a record (no more than one copy of which need be supplied), 
the fee shall be $.15 cents per page. For copies produced by computer, 
such as tapes or printouts, the FOIA Officer shall charge the direct 
costs, including operator time, of producing the copy. For other forms 
of duplication, the FOIA Officer will charge the direct costs of that 
duplication.
    (5) Review. Review fees shall be charged to requesters who make a 
commercial use request. Review fees shall be charged only for the 
initial record review--the review done when the FOIA Officer determines 
whether an exemption applies to a particular record at the initial 
request level. No charge will be made for review at the administrative 
appeal level for an exemption already applied. However, records withheld 
under an exemption that is subsequently determined not to apply may be 
reviewed again to determine whether any other exemption not previously 
considered applies, and the costs of that review are chargeable. Review 
fees shall be the direct costs of conducting the review by the involved 
employees.
    (d) Limitations on charging fees. (1) No search fee will be charged 
for requests by educational institutions, noncommercial scientific 
institutions, or representatives of the news media.

[[Page 538]]

    (2) No search fee or review fee will be charged for a quarter-hour 
period unless more than half of that period is required for search or 
review.
    (3) Except for requesters seeking records for a commercial use, the 
FOIA Officer will provide without charge:
    (i) The first 100 pages of duplication (or the cost equivalent); and
    (ii) The first two hours of search (or the cost equivalent).
    (4) Whenever a total fee calculated under paragraph (c) of this 
section is $20.00 or less for any request, no fee will be charged.
    (5) The provisions of paragraphs (d) (3) and (4) of this section 
work together. This means that for requesters other than those seeking 
records for a commercial use, no fee will be charged unless the cost of 
the search in excess of two hours plus the cost of duplication in excess 
of 100 pages totals more than $20.00.
    (e) Notice of anticipated fees over $20.00. When the FOIA Officer 
determines or estimates that the fees to be charged under this section 
will be more than $20.00, the FOIA Officer shall notify the requester of 
the actual or estimated fees, unless the requester has indicated a 
willingness to pay fees as high as those anticipated. If only a portion 
of the fee can be estimated readily, the FOIA Officer shall advise the 
requester that the estimated fee may be only a portion of the total fee. 
If the FOIA Officer has notified a requester that actual or estimated 
fees are more than $20.00, the FOIA Officer shall not consider the 
request received or process it further until the requester agrees to pay 
the anticipated total fee. Any such agreement should be in writing. A 
notice under this paragraph shall offer the requester an opportunity to 
discuss the matter with USPTO personnel in order to reformulate the 
request to meet the requester's needs at a lower cost.
    (f) Charges for other services. Apart from the other provisions of 
this section, the FOIA Officer shall ordinarily charge the direct cost 
of special services. Such special services could include certifying that 
records are true copies or sending records by other than ordinary mail.
    (g) Charging interest. The FOIA Officer shall charge interest on any 
unpaid bill starting on the 31st calendar day following the date of 
billing the requester. Interest charges shall be assessed at the rate 
provided in 31 U.S.C. 3717 and accrue from the date of the billing until 
payment is received by the FOIA Officer. The FOIA Officer shall follow 
the provisions of the Debt Collection Improvement Act of 1996 (Pub. L. 
104-134), as amended, and its administrative procedures, including the 
use of consumer reporting agencies, collection agencies, and offset.
    (h) Aggregating requests. If a FOIA Officer reasonably believes that 
a requester or a group of requesters acting together is attempting to 
divide a request into a series of requests for the purpose of avoiding 
fees, the FOIA Officer may aggregate those requests and charge 
accordingly. The FOIA Officer may presume that multiple requests of this 
type made within a 30-calendar-day period have been made in order to 
avoid fees. If requests are separated by a longer period, the FOIA 
Officer shall aggregate them only if a solid basis exists for 
determining that aggregation is warranted under all the circumstances 
involved. Multiple requests involving unrelated matters shall not be 
aggregated.
    (i) Advance payments. (1) For requests other than those described in 
paragraphs (i)(2) and (3) of this section, the FOIA Officer shall not 
require the requester to make an advance payment: a payment made before 
work is begun or continued on a request. Payment owed for work already 
completed (i.e., a payment before copies are sent to a requester) is not 
an advance payment.
    (2) If the FOIA Officer determines or estimates that a total fee to 
be charged under this section will be more than $250.00, the requester 
must pay the entire anticipated fee before beginning to process the 
request, unless the FOIA Officer receives a satisfactory assurance of 
full payment from a requester who has a history of prompt payment.
    (3) If a requester has previously failed to pay a properly charged 
FOIA fee to USPTO or another responsible Federal agency within 30 
calendar days of the date of billing, the FOIA Officer shall require the 
requester to pay the full

[[Page 539]]

amount due, plus any applicable interest, and to make an advance payment 
of the full amount of any anticipated fee, before the FOIA Officer 
begins to process a new request or continues to process a pending 
request from that requester.
    (4) In cases in which the FOIA Officer requires payment under 
paragraphs (i)(2) or (3) of this section, the request shall not be 
considered received and further work will not be done on it until the 
required payment is received.
    (5) Upon the completion of processing of a request, when a specific 
fee is determined to be payable and appropriate notice has been given to 
the requester, the FOIA Officer shall make records available to the 
requester only upon receipt of full payment of the fee.
    (j) Other statutes specifically providing for fees. The fee schedule 
of this section does not apply to fees charged under any statute (except 
for FOIA) that specifically requires USPTO or another responsible 
Federal agency to set and collect fees for particular types of records. 
If records responsive to requests are maintained for distribution by 
agencies operating such statutorily based fee schedule programs, the 
FOIA Officer shall inform requesters of how to obtain records from those 
sources.
    (k) Requirements for waiver or reduction of fees. (1) Records 
responsive to a request will be furnished without charge or at a charge 
reduced below that established under paragraph (c) of this section if 
the FOIA Officer determines, based on all available information, that 
the requester has demonstrated that:
    (i) Disclosure of the requested information is in the public 
interest because it is likely to contribute significantly to public 
understanding of the operations or activities of the Government; and
    (ii) Disclosure of the information is not primarily in the 
commercial interest of the requester.
    (2) To determine whether the first fee waiver requirement is met, 
the FOIA Officer shall consider the following factors:
    (i) The subject of the request: whether the subject of the requested 
records concerns the operations or activities of the Government. The 
subject of the requested records must concern identifiable operations or 
activities of the Federal Government, with a connection that is direct 
and clear, not remote or attenuated.
    (ii) The informative value of the information to be disclosed: 
whether the disclosure is ``likely to contribute'' to an understanding 
of Government operations or activities. The disclosable portions of the 
requested records must be meaningfully informative about Government 
operations or activities in order to be ``likely to contribute'' to an 
increased public understanding of those operations or activities. The 
disclosure of information that already is in the public domain, in 
either a duplicative or a substantially identical form, would not be 
likely to contribute to such understanding.
    (iii) The contribution to an understanding of the subject by the 
public likely to result from disclosure: whether disclosure of the 
requested information will contribute to the understanding of a 
reasonably broad audience of persons interested in the subject, as 
opposed to the individual understanding of the requester. A requester's 
expertise in the subject area and ability and intention to effectively 
convey information to the public shall be considered. It shall be 
presumed that a representative of the news media satisfies this 
consideration. It shall be presumed that a requester who merely provides 
information to media sources does not satisfy this consideration.
    (iv) The significance of the contribution to public understanding: 
whether the disclosure is likely to contribute ``significantly'' to 
public understanding of Government operations or activities. The 
public's understanding of the subject in question prior to the 
disclosure must be significantly enhanced by the disclosure.
    (3) To determine whether the second fee waiver requirement is met, 
the FOIA Officer shall consider the following factors:
    (i) The existence and magnitude of a commercial interest: whether 
the requester has a commercial interest that would be furthered by the 
requested disclosure. The FOIA Officer shall consider any commercial 
interest of the

[[Page 540]]

requester (with reference to the definition of ``commercial use 
request'' in paragraph (b)(1) of this section), or of any person on 
whose behalf the requester may be acting, that would be furthered by the 
requested disclosure. Requesters shall be given an opportunity to 
provide explanatory information regarding this consideration.
    (ii) The primary interest in disclosure: whether any identified 
commercial interest of the requester is sufficiently large, in 
comparison with the public interest in disclosure, that disclosure is 
``primarily in the commercial interest of the requester.'' A fee waiver 
or reduction is justified if the public interest standard (paragraph 
(k)(1)(i) of this section) is satisfied and the public interest is 
greater than any identified commercial interest in disclosure. The FOIA 
Officer ordinarily shall presume that if a news media requester has 
satisfied the public interest standard, the public interest is the 
primary interest served by disclosure to that requester. Disclosure to 
data brokers or others who merely compile and market Government 
information for direct economic return shall not be presumed to 
primarily serve the public interest.
    (4) If only some of the records to be released satisfy the 
requirements for a fee waiver, a waiver shall be granted for those 
records.
    (5) Requests for the waiver or reduction of fees should address the 
factors listed in paragraphs (k)(2) and (3) of this section, insofar as 
they apply to each request.



                          Subpart B_Privacy Act



Sec.102.21  Purpose and scope.

    (a) The purpose of this subpart is to establish policies and 
procedures for implementing the Privacy Act of 1974, as amended (5 
U.S.C. 552a) (the Act). The main objectives are to facilitate full 
exercise of rights conferred on individuals under the Act and to ensure 
the protection of privacy as to individuals on whom USPTO maintains 
records in systems of records under the Act. USPTO accepts the 
responsibility to act promptly and in accordance with the Act upon 
receipt of any inquiry, request or appeal from a citizen of the United 
States or an alien lawfully admitted for permanent residence into the 
United States, regardless of the age of the individual. Further, USPTO 
accepts the obligations to maintain only such information on individuals 
as is relevant and necessary to the performance of its lawful functions, 
to maintain that information with such accuracy, relevancy, timeliness, 
and completeness as is reasonably necessary to assure fairness in 
determinations made by USPTO about the individual, to obtain information 
from the individual to the extent practicable, and to take every 
reasonable step to protect that information from unwarranted disclosure. 
USPTO will maintain no record describing how an individual exercises 
rights guaranteed by the First Amendment unless expressly authorized by 
statute or by the individual about whom the record is maintained or 
unless pertinent to and within the scope of an authorized law 
enforcement activity. An individual's name and address will not be sold 
or rented by USPTO unless such action is specifically authorized by law; 
however, this provision shall not be construed to require the 
withholding of names and addresses otherwise permitted to be made 
public.
    (b) This subpart is administered by the Privacy Officer of USPTO.
    (c) Matters outside the scope of this subpart include the following:
    (1) Requests for records which do not pertain to the individual 
making the request, or to the individual about whom the request is made 
if the requester is the parent or guardian of the individual;
    (2) Requests involving information pertaining to an individual which 
is in a record or file but not within the scope of a system of records 
notice published in the Federal Register;
    (3) Requests to correct a record where a grievance procedure is 
available to the individual either by regulation or by provision in a 
collective bargaining agreement with USPTO, and the individual has 
initiated, or has expressed in writing the intention of initiating, such 
grievance procedure. An individual selecting the grievance procedure 
waives the use of the procedures in this subpart to correct or amend a 
record; and,

[[Page 541]]

    (4) Requests for employee-employer services and counseling which 
were routinely granted prior to enactment of the Act, including, but not 
limited to, test calculations of retirement benefits, explanations of 
health and life insurance programs, and explanations of tax withholding 
options.
    (d) Any request for records which pertains to the individual making 
the request, or to the individual about whom the request is made if the 
requester is the parent or guardian of the individual, shall be 
processed under the Act and this subpart and under the Freedom of 
Information Act and USPTO's implementing regulations at Subpart A of 
this part, regardless whether the Act or the Freedom of Information Act 
is mentioned in the request.



Sec.102.22  Definitions.

    (a) All terms used in this subpart which are defined in 5 U.S.C. 
552a shall have the same meaning herein.
    (b) As used in this subpart:
    (1) Act means the ``Privacy Act of 1974, as amended (5 U.S.C. 
552a)''.
    (2) Appeal means a request by an individual to review and reverse an 
initial denial of a request by that individual for correction or 
amendment.
    (3) USPTO means the United States Patent and Trademark Office.
    (4) Inquiry means either a request for general information regarding 
the Act and this subpart or a request by an individual (or that 
individual's parent or guardian) that USPTO determine whether it has any 
record in a system of records which pertains to that individual.
    (5) Person means any human being and also shall include but not be 
limited to, corporations, associations, partnerships, trustees, 
receivers, personal representatives, and public or private 
organizations.
    (6) Privacy Officer means a USPTO employee designated to administer 
this subpart.
    (7) Request for access means a request by an individual or an 
individual's parent or guardian to see a record which is in a particular 
system of records and which pertains to that individual.
    (8) Request for correction or amendment means the request by an 
individual or an individual's parent or guardian that USPTO change 
(either by correction, amendment, addition or deletion) a particular 
record in a system of records which pertains to that individual.



Sec.102.23  Procedures for making inquiries.

    (a) Any individual, regardless of age, who is a citizen of the 
United States or an alien lawfully admitted for permanent residence into 
the United States may submit an inquiry to USPTO. The inquiry should be 
made either in person at 10B20, Madison Building East, 600 Dulany 
Street, Alexandria, Virginia, or by mail addressed to the Privacy 
Officer, United States Patent and Trademark Office, P.O. Box 1450, 
Alexandria, Virginia 22313-1450, or to the official identified in the 
notification procedures paragraph of the systems of records notice 
published in the Federal Register. If an individual believes USPTO 
maintains a record pertaining to that individual but does not know which 
system of records might contain such a record, the USPTO Privacy Officer 
will provide assistance in person or by mail.
    (b) Inquiries submitted by mail should include the words ``PRIVACY 
ACT INQUIRY'' in capital letters at the top of the letter and on the 
face of the envelope. If the inquiry is for general information 
regarding the Act and this subpart, no particular information is 
required. USPTO reserves the right to require compliance with the 
identification procedures appearing at Sec.102.24(d) where 
circumstances warrant. If the inquiry is a request that USPTO determine 
whether it has, in a given system of records, a record which pertains to 
the individual, the following information should be submitted:
    (1) Name of individual whose record is sought;
    (2) Individual whose record is sought is either a U.S. citizen or an 
alien lawfully admitted for permanent residence;
    (3) Identifying data that will help locate the record (for example, 
maiden name, occupational license number, period or place of employment, 
etc.);
    (4) Record sought, by description and by record system name, if 
known;

[[Page 542]]

    (5) Action requested (that is, sending information on how to 
exercise rights under the Act; determining whether requested record 
exists; gaining access to requested record; or obtaining copy of 
requested record);
    (6) Copy of court guardianship order or minor's birth certificate, 
as provided in Sec.102.24(f)(3), but only if requester is guardian or 
parent of individual whose record is sought;
    (7) Requester's name (printed), signature, address, and telephone 
number (optional);
    (8) Date; and,
    (9) Certification of request by notary or other official, but only 
if
    (i) Request is for notification that requested record exists, for 
access to requested record or for copy of requested record;
    (ii) Record is not available to any person under 5 U.S.C. 552; and
    (iii) Requester does not appear before an employee of USPTO for 
verification of identity.
    (c) Any inquiry which is not addressed as specified in paragraph (a) 
of this section or which is not marked as specified in paragraph (b) of 
this section will be so addressed and marked by USPTO personnel and 
forwarded immediately to the Privacy Officer. An inquiry which is not 
properly addressed by the individual will not be deemed to have been 
``received'' for purposes of measuring the time period for response 
until actual receipt by the Privacy Officer. In each instance when an 
inquiry so forwarded is received, the Privacy Officer shall notify the 
individual that his or her inquiry was improperly addressed and the date 
the inquiry was received at the proper address.
    (d)(1) Each inquiry received shall be acted upon promptly by the 
Privacy Officer. Every effort will be made to respond within ten working 
days (i.e., excluding Saturdays, Sundays and legal public holidays) of 
the date of receipt. If a response cannot be made within ten working 
days, the Privacy Officer shall send an acknowledgment during that 
period providing information on the status of the inquiry and asking for 
such further information as may be necessary to process the inquiry. The 
first correspondence sent by the Privacy Officer to the requester shall 
contain USPTO's control number assigned to the request, as well as a 
note that the requester should use that number in all future contacts in 
order to facilitate processing. USPTO shall use that control number in 
all subsequent correspondence.
    (2) If the Privacy Officer fails to send an acknowledgment within 
ten working days, as provided above, the requester may ask the General 
Counsel to take corrective action. No failure of the Privacy Officer to 
send an acknowledgment shall confer administrative finality for purposes 
of judicial review.
    (e) An individual shall not be required to state a reason or 
otherwise justify his or her inquiry.
    (f) Special note should be taken of the fact that certain agencies 
are responsible for publishing notices of systems of records having 
Government-wide application to other agencies, including USPTO. The 
agencies known to be publishing these general notices and the types of 
records covered therein appear in an appendix to this part. The 
provisions of this section, and particularly paragraph (a) of this 
section, should be followed in making inquiries with respect to such 
records. Such records in USPTO are subject to the provisions of this 
part to the extent indicated in the appendix to this part. The 
exemptions, if any, determined by an agency publishing a general notice 
shall be invoked and applied by USPTO after consultation, as necessary, 
with that other agency.

[65 FR 52917, Aug. 31, 2000, as amended at 68 FR 14338, Mar. 25, 2003; 
70 FR 10489, Mar. 4, 2005]



Sec.102.24  Procedures for making requests for records.

    (a) Any individual, regardless of age, who is a citizen of the 
United States or an alien lawfully admitted for permanent residence into 
the United States may submit a request to the USPTO for access to 
records. The request should be made either in person at 10B20, Madison 
Building East, 600 Dulany Street, Alexandria, Virginia, or by mail 
addressed to the Privacy Officer, United States Patent and Trademark 
Office, P.O. Box 1450, Alexandria, Virginia 22313-1450.

[[Page 543]]

    (b) Requests submitted by mail should include the words ``PRIVACY 
ACT REQUEST'' in capital letters at the top of the letter and on the 
face of the envelope. Any request which is not addressed as specified in 
paragraph (a) of this section or which is not marked as specified in 
this paragraph will be so addressed and marked by USPTO personnel and 
forwarded immediately to the Privacy Officer. A request which is not 
properly addressed by the individual will not be deemed to have been 
``received'' for purposes of measuring time periods for response until 
actual receipt by the Privacy Officer. In each instance when a request 
so forwarded is received, the Privacy Officer shall notify the 
individual that his or her request was improperly addressed and the date 
when the request was received at the proper address.
    (c) If the request follows an inquiry under Sec.102.23 in 
connection with which the individual's identity was established by 
USPTO, the individual need only indicate the record to which access is 
sought, provide the USPTO control number assigned to the request, and 
sign and date the request. If the request is not preceded by an inquiry 
under Sec.102.23, the procedures of this section should be followed.
    (d) The requirements for identification of individuals seeking 
access to records are as follows:
    (1) In person. Each individual making a request in person shall be 
required to present satisfactory proof of identity. The means of proof, 
in the order of preference and priority, are:
    (i) A document bearing the individual's photograph (for example, 
driver's license, passport or military or civilian identification card);
    (ii) A document, preferably issued for participation in a federally 
sponsored program, bearing the individual's signature (for example, 
unemployment insurance book, employer's identification card, national 
credit card, and professional, craft or union membership card); and
    (iii) A document bearing neither the photograph nor the signature of 
the individual, preferably issued for participation in a federally 
sponsored program (for example, Medicaid card). In the event the 
individual can provide no suitable documentation of identity, USPTO will 
require a signed statement asserting the individual's identity and 
stipulating that the individual understands the penalty provision of 5 
U.S.C. 552a(i)(3) recited in Sec.102.32(a). In order to avoid any 
unwarranted disclosure of an individual's records, USPTO reserves the 
right to determine the adequacy of proof of identity offered by any 
individual, particularly when the request involves a sensitive record.
    (2) Not in person. If the individual making a request does not 
appear in person before the Privacy Officer or other employee authorized 
to determine identity, a certification of a notary public or equivalent 
officer empowered to administer oaths must accompany the request under 
the circumstances prescribed in Sec.102.23(b)(9). The certification in 
or attached to the letter must be substantially in accordance with the 
following text:

City of ________
County of ________ :ss
(Name of individual), who affixed (his) (her) signature below in my 
presence, came before me, a (title), in and for the aforesaid County and 
State, this ______ day of ______, 20__, and established (his) (her) 
identity to my satisfaction.
My commission expires ________.
(Signature)

    (3) Parents of minors and legal guardians. An individual acting as 
the parent of a minor or the legal guardian of the individual to whom a 
record pertains shall establish his or her personal identity in the same 
manner prescribed in either paragraph (d)(1) or (d)(2) of this section. 
In addition, such other individual shall establish his or her identity 
in the representative capacity of parent or legal guardian. In the case 
of the parent of a minor, the proof of identity shall be a certified or 
authenticated copy of the minor's birth certificate. In the case of a 
legal guardian of an individual who has been declared incompetent due to 
physical or mental incapacity or age by a court of competent 
jurisdiction, the proof of identity shall be a certified or 
authenticated copy of the court's order. For purposes of the Act, a 
parent or legal guardian may represent only a living individual, not a 
decedent. A parent or legal guardian may be accompanied

[[Page 544]]

during personal access to a record by another individual, provided the 
provisions of Sec.102.25(f) are satisfied.
    (e) When the provisions of this subpart are alleged to impede an 
individual in exercising his or her right to access, USPTO will 
consider, from an individual making a request, alternative suggestions 
regarding proof of identity and access to records.
    (f) An individual shall not be required to state a reason or 
otherwise justify his or her request for access to a record.

[65 FR 52917, Aug. 31, 2000, as amended at 68 FR 14338, Mar. 25, 2003; 
70 FR 10490, Mar. 4, 2005]



Sec.102.25  Disclosure of requested records to individuals.

    (a)(1) The Privacy Officer shall act promptly upon each request. 
Every effort will be made to respond within ten working days (i.e., 
excluding Saturdays, Sundays, and legal public holidays) of the date of 
receipt. If a response cannot be made within ten working days due to 
unusual circumstances, the Privacy Officer shall send an acknowledgment 
during that period providing information on the status of the request 
and asking for any further information that may be necessary to process 
the request. ``Unusual circumstances'' shall include circumstances in 
which
    (i) A search for and collection of requested records from inactive 
storage, field facilities or other establishments is required;
    (ii) A voluminous amount of data is involved;
    (iii) Information on other individuals must be separated or expunged 
from the particular record; or
    (iv) Consultations with other agencies having a substantial interest 
in the determination of the request are necessary.
    (2) If the Privacy Officer fails to send an acknowledgment within 
ten working days, as provided above in paragraph (a) of this section, 
the requester may ask the General Counsel to take corrective action. No 
failure of the Privacy Officer to send an acknowledgment shall confer 
administrative finality for purposes of judicial review.
    (b) Grant of access--(1) Notification. An individual shall be 
granted access to a record pertaining to him or her, except where the 
provisions of paragraph (g)(1) of this section apply. The Privacy 
Officer will notify the individual of a determination to grant access, 
and provide the following information:
    (i) The methods of access, as set forth in paragraph (b)(2) of this 
section;
    (ii) The place at which the record may be inspected;
    (iii) The earliest date on which the record may be inspected and the 
period of time that the records will remain available for inspection. In 
no event shall the earliest date be later than thirty calendar days from 
the date of notification;
    (iv) The estimated date by which a copy of the record could be 
mailed and the estimate of fees pursuant to Sec.102.31. In no event 
shall the estimated date be later than thirty calendar days from the 
date of notification;
    (v) The fact that the individual, if he or she wishes, may be 
accompanied by another individual during personal access, subject to the 
procedures set forth in paragraph (f) of this section; and,
    (vi) Any additional requirements needed to grant access to a 
specific record.
    (2) Methods of access. The following methods of access to records by 
an individual may be available depending on the circumstances of a given 
situation:
    (i) Inspection in person may be had in a location specified by the 
Privacy Officer during business hours;
    (ii) Transfer of records to a Federal facility more convenient to 
the individual may be arranged, but only if the Privacy Officer 
determines that a suitable facility is available, that the individual's 
access can be properly supervised at that facility, and that transmittal 
of the records to that facility will not unduly interfere with 
operations of USPTO or involve unreasonable costs, in terms of both 
money and manpower; and
    (iii) Copies may be mailed at the request of the individual, subject 
to payment of the fees prescribed in Sec.102.31. USPTO, on its own 
initiative, may elect to provide a copy by mail, in

[[Page 545]]

which case no fee will be charged the individual.
    (c) Access to medical records is governed by the provisions of Sec.
102.26.
    (d) USPTO will supply such other information and assistance at the 
time of access as to make the record intelligible to the individual.
    (e) USPTO reserves the right to limit access to copies and abstracts 
of original records, rather than the original records. This election 
would be appropriate, for example, when the record is in an automated 
data media such as tape or diskette, when the record contains 
information on other individuals, and when deletion of information is 
permissible under exemptions (for example, 5 U.S.C. 552a(k)(2)). In no 
event shall original records of USPTO be made available to the 
individual except under the immediate supervision of the Privacy Officer 
or the Privacy Officer's designee.
    (f) Any individual who requests access to a record pertaining to 
that individual may be accompanied by another individual of his or her 
choice. ``Accompanied'' includes discussion of the record in the 
presence of the other individual. The individual to whom the record 
pertains shall authorize the presence of the other individual in 
writing. The authorization shall include the name of the other 
individual, a specific description of the record to which access is 
sought, the USPTO control number assigned to the request, the date, and 
the signature of the individual to whom the record pertains. The other 
individual shall sign the authorization in the presence of the Privacy 
Officer. An individual shall not be required to state a reason or 
otherwise justify his or her decision to be accompanied by another 
individual during personal access to a record.
    (g) Initial denial of access--(1) Grounds. Access by an individual 
to a record which pertains to that individual will be denied only upon a 
determination by the Privacy Officer that:
    (i) The record is exempt under Sec.102.33 or Sec.102.34, or 
exempt by determination of another agency publishing notice of the 
system of records, as described in Sec.102.23(f);
    (ii) The record is information compiled in reasonable anticipation 
of a civil action or proceeding;
    (iii) The provisions of Sec.102.26 pertaining to medical records 
temporarily have been invoked; or
    (iv) The individual has unreasonably failed to comply with the 
procedural requirements of this part.
    (2) Notification. The Privacy Officer shall give notice of denial of 
access to records to the individual in writing and shall include the 
following information:
    (i) The Privacy Officer's name and title or position;
    (ii) The date of the denial;
    (iii) The reasons for the denial, including citation to the 
appropriate section of the Act and this part;
    (iv) The individual's opportunities, if any, for further 
administrative consideration, including the identity and address of the 
responsible official. If no further administrative consideration within 
USPTO is available, the notice shall state that the denial is 
administratively final; and
    (v) If stated to be administratively final within USPTO, the 
individual's right to judicial review provided under 5 U.S.C. 
552a(g)(1), as limited by 5 U.S.C. 552a(g)(5).
    (3) Administrative review. When an initial denial of a request is 
issued by the Privacy Officer, the individual's opportunities for 
further consideration shall be as follows:
    (i) As to denial under paragraph (g)(1)(i) of this section, two 
opportunities for further consideration are available in the 
alternative:
    (A) If the individual contests the application of the exemption to 
the records, review procedures in Sec.102.25(g)(3)(ii) shall apply; or
    (B) If the individual challenges the exemption itself, the procedure 
is a petition for the issuance, amendment, or repeal of a rule under 5 
U.S.C. 553(e). If the exemption was determined by USPTO, such petition 
shall be filed with the General Counsel. If the exemption was determined 
by another agency (as described in Sec.102.23(f)), USPTO will provide 
the individual with the name and address of the other agency and any 
relief sought by the individual shall be that provided by the

[[Page 546]]

regulations of the other agency. Within USPTO, no such denial is 
administratively final until such a petition has been filed by the 
individual and disposed of on the merits by the General Counsel.
    (ii) As to denial under paragraphs (g)(1)(ii) of this section, 
(g)(1)(iv) of this section or (to the limited extent provided in 
paragraph (g)(3)(i)(A) of this section) paragraph (g)(1)(i) of this 
section, the individual may file for review with the General Counsel, as 
indicated in the Privacy Officer's initial denial notification. The 
procedures appearing in Sec.102.28 shall be followed by both the 
individual and USPTO to the maximum extent practicable.
    (iii) As to denial under paragraph (g)(1)(iii) of this section, no 
further administrative consideration within USPTO is available because 
the denial is not administratively final until expiration of the time 
period indicated in Sec.102.26(a).
    (h) If a request is partially granted and partially denied, the 
Privacy Officer shall follow the appropriate procedures of this section 
as to the records within the grant and the records within the denial.



Sec.102.26  Special procedures: Medical records.

    (a) No response to any request for access to medical records by an 
individual will be issued by the Privacy Officer for a period of seven 
working days (i.e., excluding Saturdays, Sundays, and legal public 
holidays) from the date of receipt.
    (b) USPTO has published as a routine use, for all systems of records 
containing medical records, consultations with an individual's physician 
or psychologist if, in the sole judgment of USPTO, disclosure could have 
an adverse effect upon the individual. The mandatory waiting period set 
forth in paragraph (a) of this section will permit exercise of this 
routine use in appropriate cases. USPTO will pay no cost of any such 
consultation.
    (c) In every case of a request by an individual for access to 
medical records, the Privacy Officer shall:
    (1) Inform the individual of the waiting period prescribed in 
paragraph (a) of this section;
    (2) Obtain the name and address of the individual's physician and/or 
psychologist, if the individual consents to give them;
    (3) Obtain specific, written consent for USPTO to consult the 
individual's physician and/or psychologist in the event that USPTO 
believes such consultation is advisable, if the individual consents to 
give such authorization;
    (4) Obtain specific, written consent for USPTO to provide the 
medical records to the individual's physician or psychologist in the 
event that USPTO believes access to the record by the individual is best 
effected under the guidance of the individual's physician or 
psychologist, if the individual consents to give such authorization; and
    (5) Forward the individual's medical record to USPTO's medical 
expert for review and a determination on whether consultation with or 
transmittal of the medical records to the individual's physician or 
psychologist is warranted. If the consultation with or transmittal of 
such records to the individual's physician or psychologist is determined 
to be warranted, USPTO's medical expert shall so consult or transmit. 
Whether or not such a consultation or transmittal occurs, USPTO's 
medical officer shall provide instruction to the Privacy Officer 
regarding the conditions of access by the individual to his or her 
medical records.
    (d) If an individual refuses in writing to give the names and 
consents set forth in paragraphs (c)(2) through (c)(4) of this section 
and USPTO has determined that disclosure could have an adverse effect 
upon the individual, USPTO shall give the individual access to said 
records by means of a copy, provided without cost to the requester, sent 
registered mail return receipt requested.



Sec.102.27  Procedures for making requests for correction or amendment.

    (a) Any individual, regardless of age, who is a citizen of the 
United States or an alien lawfully admitted for permanent residence into 
the United States may submit a request for correction or amendment to 
USPTO. The request should be made either in person or by mail addressed 
to the Privacy Officer

[[Page 547]]

who processed the individual's request for access to the record, and to 
whom is delegated authority to make initial determinations on requests 
for correction or amendment. The office of the Privacy Officer is open 
to the public between the hours of 9 a.m. and 4 p.m., Monday through 
Friday (excluding legal public holidays).
    (b) Requests submitted by mail should include the words ``PRIVACY 
ACT REQUEST'' in capital letters at the top of the letter and on the 
face of the envelope. Any request which is not addressed as specified in 
paragraph (a) of this section or which is not marked as specified in 
this paragraph will be so addressed and marked by USPTO personnel and 
forwarded immediately to the Privacy Officer. A request which is not 
properly addressed by the individual will not be deemed to have been 
``received'' for purposes of measuring the time period for response 
until actual receipt by the Privacy Officer. In each instance when a 
request so forwarded is received, the Privacy Officer shall notify the 
individual that his or her request was improperly addressed and the date 
the request was received at the proper address.
    (c) Since the request, in all cases, will follow a request for 
access under Sec.102.25, the individual's identity will be established 
by his or her signature on the request and use of the USPTO control 
number assigned to the request.
    (d) A request for correction or amendment should include the 
following:
    (1) Specific identification of the record sought to be corrected or 
amended (for example, description, title, date, paragraph, sentence, 
line and words);
    (2) The specific wording to be deleted, if any;
    (3) The specific wording to be inserted or added, if any, and the 
exact place at which to be inserted or added; and
    (4) A statement of the basis for the requested correction or 
amendment, with all available supporting documents and materials which 
substantiate the statement. The statement should identify the criterion 
of the Act being invoked, that is, whether the information in the record 
is unnecessary, inaccurate, irrelevant, untimely or incomplete.



Sec.102.28  Review of requests for correction or amendment.

    (a)(1)(i) Not later than ten working days (i.e., excluding 
Saturdays, Sundays and legal public holidays) after receipt of a request 
to correct or amend a record, the Privacy Officer shall send an 
acknowledgment providing an estimate of time within which action will be 
taken on the request and asking for such further information as may be 
necessary to process the request. The estimate of time may take into 
account unusual circumstances as described in Sec.102.25(a). No 
acknowledgment will be sent if the request can be reviewed, processed, 
and the individual notified of the results of review (either compliance 
or denial) within the ten working days. Requests filed in person will be 
acknowledged in writing at the time submitted.
    (ii) If the Privacy Officer fails to send the acknowledgment within 
ten working days, as provided in paragraph (a)(1)(i) of this section, 
the requester may ask the General Counsel to take corrective action. No 
failure of the Privacy Officer to send an acknowledgment shall confer 
administrative finality for purposes of judicial review.
    (2) Promptly after acknowledging receipt of a request, or after 
receiving such further information as might have been requested, or 
after arriving at a decision within the ten working days, the Privacy 
Officer shall either:
    (i) Make the requested correction or amendment and advise the 
individual in writing of such action, providing either a copy of the 
corrected or amended record or a statement as to the means whereby the 
correction or amendment was effected in cases where a copy cannot be 
provided (for example, erasure of information from a record maintained 
only in magnetically recorded computer files); or
    (ii) Inform the individual in writing that his or her request is 
denied and provide the following information:
    (A) The Privacy Officer's name and title or position;
    (B) The date of the denial;

[[Page 548]]

    (C) The reasons for the denial, including citation to the 
appropriate sections of the Act and this subpart; and
    (D) The procedures for appeal of the denial as set forth in Sec.
102.29, including the address of the General Counsel.
    (3) The term promptly in this section means within thirty working 
days (i.e., excluding Saturdays, Sundays, and legal public holidays). If 
the Privacy Officer cannot make the determination within thirty working 
days, the individual will be advised in writing of the reason therefor 
and of the estimated date by which the determination will be made.
    (b) Whenever an individual's record is corrected or amended pursuant 
to a request by that individual, the Privacy Officer shall be 
responsible for notifying all persons and agencies to which the 
corrected or amended portion of the record had been disclosed prior to 
its correction or amendment, if an accounting of such disclosure 
required by the Act was made. The notification shall require a recipient 
agency maintaining the record to acknowledge receipt of the 
notification, to correct or amend the record, and to apprise any agency 
or person to which it had disclosed the record of the substance of the 
correction or amendment.
    (c) The following criteria will be considered by the Privacy Officer 
in reviewing a request for correction or amendment:
    (1) The sufficiency of the evidence submitted by the individual;
    (2) The factual accuracy of the information;
    (3) The relevance and necessity of the information in terms of 
purpose for which it was collected;
    (4) The timeliness and currency of the information in light of the 
purpose for which it was collected;
    (5) The completeness of the information in terms of the purpose for 
which it was collected;
    (6) The degree of risk that denial of the request could unfairly 
result in determinations adverse to the individual;
    (7) The character of the record sought to be corrected or amended; 
and
    (8) The propriety and feasibility of complying with the specific 
means of correction or amendment requested by the individual.
    (d) USPTO will not undertake to gather evidence for the individual, 
but does reserve the right to verify the evidence which the individual 
submits.
    (e) Correction or amendment of a record requested by an individual 
will be denied only upon a determination by the Privacy Officer that:
    (1) The individual has failed to establish, by a preponderance of 
the evidence, the propriety of the correction or amendment in light of 
the criteria set forth in paragraph (c) of this section;
    (2) The record sought to be corrected or amended is part of the 
official record in a terminated judicial, quasi-judicial, or quasi-
legislative proceeding to which the individual was a party or 
participant;
    (3) The information in the record sought to be corrected or amended, 
or the record sought to be corrected or amended, is the subject of a 
pending judicial, quasi-judicial, or quasi-legislative proceeding to 
which the individual is a party or participant;
    (4) The correction or amendment would violate a duly enacted statute 
or promulgated regulation; or
    (5) The individual has unreasonably failed to comply with the 
procedural requirements of this part.
    (f) If a request is partially granted and partially denied, the 
Privacy Officer shall follow the appropriate procedures of this section 
as to the records within the grant and the records within the denial.



Sec.102.29  Appeal of initial adverse determination on correction or 
amendment.

    (a) When a request for correction or amendment has been denied 
initially under Sec.102.28, the individual may submit a written appeal 
within thirty working days (i.e., excluding Saturdays, Sundays and legal 
public holidays) after the date of the initial denial. When an appeal is 
submitted by mail, the postmark is conclusive as to timeliness.
    (b) An appeal should be addressed to the General Counsel, United 
States Patent and Trademark Office, PO Box 1450, Alexandria, Virginia 
22313-1450. An appeal should include the words

[[Page 549]]

``PRIVACY APPEAL'' in capital letters at the top of the letter and on 
the face of the envelope. An appeal not addressed and marked as provided 
herein will be so marked by USPTO personnel when it is so identified and 
will be forwarded immediately to the General Counsel. An appeal which is 
not properly addressed by the individual will not be deemed to have been 
``received'' for purposes of measuring the time periods in this section 
until actual receipt by the General Counsel. In each instance when an 
appeal so forwarded is received, the General Counsel shall notify the 
individual that his or her appeal was improperly addressed and the date 
when the appeal was received at the proper address.
    (c) The individual's appeal shall include a statement of the reasons 
why the initial denial is believed to be in error and USPTO's control 
number assigned to the request. The appeal shall be signed by the 
individual. The record which the individual requests be corrected or 
amended and all correspondence between the Privacy Officer and the 
requester will be furnished by the Privacy Officer who issued the 
initial denial. Although the foregoing normally will comprise the entire 
record on appeal, the General Counsel may seek additional information 
necessary to assure that the final determination is fair and equitable 
and, in such instances, disclose the additional information to the 
individual to the greatest extent possible, and provide an opportunity 
for comment thereon.
    (d) No personal appearance or hearing on appeal will be allowed.
    (e) The General Counsel shall act upon the appeal and issue a final 
determination in writing not later than thirty working days (i.e., 
excluding Saturdays, Sundays and legal public holidays) from the date on 
which the appeal is received, except that the General Counsel may extend 
the thirty days upon deciding that a fair and equitable review cannot be 
made within that period, but only if the individual is advised in 
writing of the reason for the extension and the estimated date by which 
a final determination will issue. The estimated date should not be later 
than the sixtieth working day after receipt of the appeal unless unusual 
circumstances, as described in Sec.102.25(a), are met.
    (f) If the appeal is determined in favor of the individual, the 
final determination shall include the specific corrections or amendments 
to be made and a copy thereof shall be transmitted promptly both to the 
individual and to the Privacy Officer who issued the initial denial. 
Upon receipt of such final determination, the Privacy Officer promptly 
shall take the actions set forth in Sec.102.28(a)(2)(i) and (b).
    (g) If the appeal is denied, the final determination shall be 
transmitted promptly to the individual and state the reasons for the 
denial. The notice of final determination also shall inform the 
individual of the following:
    (1) The right of the individual under the Act to file a concise 
statement of reasons for disagreeing with the final determination. The 
statement ordinarily should not exceed one page and USPTO reserves the 
right to reject a statement of excessive length. Such a statement shall 
be filed with the General Counsel. It should provide the USPTO control 
number assigned to the request, indicate the date of the final 
determination and be signed by the individual. The General Counsel shall 
acknowledge receipt of such statement and inform the individual of the 
date on which it was received.
    (2) The facts that any such disagreement statement filed by the 
individual will be noted in the disputed record, that the purposes and 
uses to which the statement will be put are those applicable to the 
record in which it is noted, and that a copy of the statement will be 
provided to persons and agencies to which the record is disclosed 
subsequent to the date of receipt of such statement;
    (3) The fact that USPTO will append to any such disagreement 
statement filed by the individual, a copy of the final determination or 
summary thereof which also will be provided to persons and agencies to 
which the disagreement statement is disclosed; and,
    (4) The right of the individual to judicial review of the final 
determination under 5 U.S.C. 552a(g)(1)(A), as limited by 5 U.S.C. 
552a(g)(5).
    (h) In making the final determination, the General Counsel shall 
employ

[[Page 550]]

the criteria set forth in Sec.102.28(c) and shall deny an appeal only 
on the grounds set forth in Sec.102.28(e).
    (i) If an appeal is partially granted and partially denied, the 
General Counsel shall follow the appropriate procedures of this section 
as to the records within the grant and the records within the denial.
    (j) Although a copy of the final determination or a summary thereof 
will be treated as part of the individual's record for purposes of 
disclosure in instances where the individual has filed a disagreement 
statement, it will not be subject to correction or amendment by the 
individual.
    (k) The provisions of paragraphs (g)(1) through (g)(3) of this 
section satisfy the requirements of 5 U.S.C. 552a(e)(3).

[65 FR 52917, Aug. 31, 2000, as amended at 68 FR 14339, Mar. 25, 2003]



Sec.102.30  Disclosure of record to person other than the individual 
to whom it pertains.

    (a) USPTO may disclose a record pertaining to an individual to a 
person other than the individual to whom it pertains only in the 
following instances:
    (1) Upon written request by the individual, including authorization 
under Sec.102.25(f);
    (2) With the prior written consent of the individual;
    (3) To a parent or legal guardian under 5 U.S.C. 552a(h);
    (4) When required by the Act and not covered explicitly by the 
provisions of 5 U.S.C. 552a(b); and
    (5) When permitted under 5 U.S.C. 552a(b)(1) through (12), which 
read as follows: \1\
---------------------------------------------------------------------------

    \1\ 5 U.S.C. 552a(b)(4) has no application within USPTO.
---------------------------------------------------------------------------

    (i) To those officers and employees of the agency which maintains 
the record who have a need for the record in the performance of their 
duties;
    (ii) Required under 5 U.S.C. 552 ;
    (iii) For a routine use as defined in 5 U.S.C. 552a(a)(7) and 
described under 5 U.S.C. 552a(e)(4)(D);
    (iv) To the Bureau of the Census for purposes of planning or 
carrying out a census or survey or related activity pursuant to the 
provisions of Title 13;
    (v) To a recipient who has provided the agency with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record, and the record is to be transferred in a 
form that is not individually identifiable;
    (vi) To the National Archives and Records Administration as a record 
which has sufficient historical or other value to warrant its continued 
preservation by the United States Government, or for evaluation by the 
Archivist of the United States or the designee of the Archivist to 
determine whether the record has such value;
    (vii) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity if the activity is authorized 
by law, and if the head of the agency or instrumentality has made a 
written request to the agency which maintains the record specifying the 
particular portion desired and the law enforcement activity for which 
the record is sought;
    (viii) To a person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual if upon such disclosure 
notification is transmitted to the last known address of such 
individual;
    (ix) To either House of Congress, or, to the extent of matter within 
its jurisdiction, any committee or subcommittee thereof, any joint 
committee of Congress or subcommittee of any such joint committee;
    (x) To the Comptroller General, or any of his authorized 
representatives, in the course of the performance of the duties of the 
General Accounting Office;
    (xi) Pursuant to the order of a court of competent jurisdiction; or
    (xii) To a consumer reporting agency in accordance with section 
3711(e) of Title 31.
    (b) The situations referred to in paragraph (a)(4) of this section 
include the following:
    (1) 5 U.S.C. 552a(c)(4) requires dissemination of a corrected or 
amended record or notation of a disagreement

[[Page 551]]

statement by USPTO in certain circumstances;
    (2) 5 U.S.C. 552a(d) requires disclosure of records to the 
individual to whom they pertain, upon request; and
    (3) 5 U.S.C. 552a(g) authorizes civil action by an individual and 
requires disclosure by USPTO to the court.
    (c) The Privacy Officer shall make an accounting of each disclosure 
by him of any record contained in a system of records in accordance with 
5 U.S.C. 552a(c) (1) and (2). Except for a disclosure made under 5 
U.S.C. 552a(b)(7), the Privacy Officer shall make such accounting 
available to any individual, insofar as it pertains to that individual, 
on request submitted in accordance with Sec.102.24. The Privacy 
Officer shall make reasonable efforts to notify any individual when any 
record in a system of records is disclosed to any person under 
compulsory legal process, promptly upon being informed that such process 
has become a matter of public record.



Sec.102.31  Fees.

    The only fees to be charged to or collected from an individual under 
the provisions of this part are for duplication of records at the 
request of the individual. The Privacy Officer shall charge fees for 
duplication of records under the Act in the same way in which they 
charge duplication fees under Sec.102.11, except as provided in this 
section.
    (a) No fees shall be charged or collected for the following: Search 
for and retrieval of the records; review of the records; copying at the 
initiative of USPTO without a request from the individual; 
transportation of records and personnel; and first-class postage.
    (b) It is the policy of USPTO to provide an individual with one copy 
of each record corrected or amended pursuant to his or her request 
without charge as evidence of the correction or amendment.
    (c) As required by the United States Office of Personnel Management 
in its published regulations implementing the Act, USPTO will charge no 
fee for a single copy of a personnel record covered by that agency's 
Government-wide published notice of systems of records.



Sec.102.32  Penalties.

    (a) The Act provides, in pertinent part:

    Any person who knowingly and willfully requests or obtains any 
record concerning an individual from an agency under false pretenses 
shall be guilty of a misdemeanor and fined not more than $5,000. (5 
U.S.C. 552a(i)(3)).

    (b) A person who falsely or fraudulently attempts to obtain records 
under the Act also may be subject to prosecution under such other 
criminal statutes as 18 U.S.C. 494, 495 and 1001.



Sec.102.33  General exemptions.

    (a) Individuals may not have access to records maintained by USPTO 
but which were provided by another agency which has determined by 
regulation that such information is subject to general exemption under 5 
U.S.C. 552a(j). If such exempt records are within a request for access, 
USPTO will advise the individual of their existence and of the name and 
address of the source agency. For any further information concerning the 
record and the exemption, the individual must contact that source 
agency.
    (b) The general exemption determined to be necessary and proper with 
respect to systems of records maintained by USPTO, including the parts 
of each system to be exempted, the provisions of the Act from which they 
are exempted, and the justification for the exemption, is as follows: 
Investigative Records--Contract and Grant Frauds and Employee Criminal 
Misconduct--COMMERCE/DEPT.--12. Pursuant to 5 U.S.C. 552a(j)(2), these 
records are hereby determined to be exempt from all provisions of the 
Act, except 5 U.S.C. 552a (b), (c) (1) and (2), (e)(4) (A) through (F), 
(e) (6), (7), (9), (10), and (11), and (i). These exemptions are 
necessary to ensure the proper functions of the law enforcement 
activity, to protect confidential sources of information, to fulfill 
promises of confidentiality, to prevent interference with law 
enforcement proceedings, to avoid the disclosure of investigative 
techniques, to avoid the endangering of law enforcement personnel, to 
avoid premature disclosure of the knowledge of criminal activity and the 
evidentiary

[[Page 552]]

bases of possible enforcement actions, and to maintain the integrity of 
the law enforcement process.



Sec.102.34  Specific exemptions.

    (a)(1) Some systems of records under the Act which are maintained by 
USPTO contain, from time-to-time, material subject to the exemption 
appearing at 5 U.S.C. 552a(k)(1), relating to national defense and 
foreign policy materials. The systems of records published in the 
Federal Register by USPTO which are within this exemption are: COMMERCE/
PAT-TM-6, COMMERCE/PAT-TM-7, COMMERCE/PAT-TM-8, COMMERCE/PAT-TM-9.
    (2) USPTO hereby asserts a claim to exemption of such materials 
wherever they might appear in such systems of records, or any systems of 
records, at present or in the future. The materials would be exempt from 
5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) to 
protect materials required by Executive order to be kept secret in the 
interest of the national defense and foreign policy.
    (b) The specific exemptions determined to be necessary and proper 
with respect to systems of records maintained by USPTO, including the 
parts of each system to be exempted, the provisions of the Act from 
which they are exempted, and the justification for the exemption, are as 
follows:
    (1)(i) Exempt under 5 U.S.C. 552a(k)(2). The systems of records 
exempt (some only conditionally), the sections of the Act from which 
exempted, and the reasons therefor are as follows:
    (A) Investigative Records--Contract and Grant Frauds and Employee 
Criminal Misconduct--COMMERCE/DEPT-12, but only on condition that the 
general exemption claimed in Sec.102.33(b)(3) is held to be invalid;
    (B) Investigative Records--Persons Within the Investigative 
Jurisdiction of USPTO--COMMERCE/DEPT-13;
    (C) Litigation, Claims and Administrative Proceeding Records--
COMMERCE/DEPT-14;
    (D) Attorneys and Agents Registered to Practice Before the Office--
COMMERCE/PAT-TM-1;
    (E) Complaints, Investigations and Disciplinary Proceedings Relating 
to Registered Patent Attorneys and Agents--COMMERCE/PAT-TM-2; and
    (F) Non-Registered Persons Rendering Assistance to Patent 
Applicants--COMMERCE/PAT-TM-5.
    (ii) The foregoing are exempted from 5 U.S.C. 552a (c)(3), (d), 
(e)(1), (e)(4)(G), (H), and (I), and (f). The reasons for asserting the 
exemption are to prevent subjects of investigation from frustrating the 
investigatory process, to insure the proper functioning and integrity of 
law enforcement activities, to prevent disclosure of investigative 
techniques, to maintain the ability to obtain necessary information, to 
fulfill commitments made to sources to protect their identities and the 
confidentiality of information and to avoid endangering these sources 
and law enforcement personnel. Special note is taken of the fact that 
the proviso clause in this exemption imports due process and procedural 
protections for the individual. The existence and general character of 
the information exempted will be made known to the individual to whom it 
pertains.
    (2)(i) Exempt under 5 U.S.C. 552a(k)(5). The systems of records 
exempt (some only conditionally), the sections of the act from which 
exempted, and the reasons therefor are as follows:
    (A) Investigative Records--Contract and Grant Frauds and Employee 
Criminal Misconduct--COMMERCE/DEPT-12, but only on condition that the 
general exemption claimed in Sec.102.33(b)(3) is held to be invalid;
    (B) Investigative Records--Persons Within the Investigative 
Jurisdiction of USPTO--COMMERCE/DEPT-13; and
    (C) Litigation, Claims, and Administrative Proceeding Records--
COMMERCE/DEPT-14.
    (ii) The foregoing are exempted from 5 U.S.C. 552a (c)(3), (d), 
(e)(1), (e)(4) (G), (H), and (I), and (f). The reasons for asserting the 
exemption are to maintain the ability to obtain candid and necessary 
information, to fulfill commitments made to sources to protect the 
confidentiality of information, to avoid endangering these sources and, 
ultimately, to facilitate proper selection or continuance of the best 
applicants

[[Page 553]]

or persons for a given position or contract. Special note is made of the 
limitation on the extent to which this exemption may be asserted. The 
existence and general character of the information exempted will be made 
known to the individual to whom it pertains.
    (c) At the present time, USPTO claims no exemption under 5 U.S.C. 
552a(k) (3), (4), (6) and (7).



 Sec. Appendix to Part 102--Systems of Records Noticed by Other Federal 
 Agencies \1\ and Applicable to USPTO Records and Applicability of This 
                              Part Thereto

------------------------------------------------------------------------
          Category of records                  Other federal agency
------------------------------------------------------------------------
Federal Personnel Records..............  Office of Personnel Management.
                                          \2\
Federal Employee Compensation Act        Department of Labor. \3\
 Program.
Equal Employment Opportunity Appeal      Equal Employment Opportunity
 Complaints.                              Commission. \4\
Formal Complaints/Appeals of Adverse     Merit Systems Protection Board.
 Personnel Actions.                       \5\
------------------------------------------------------------------------
\1\ Other than systems of records noticed by the Department of Commerce.
  Where the system of records applies only to USPTO, these regulations
  apply. Where the system of records applies generally to components of
  the Department of Commerce, the regulations of that department attach
  at the point of any denial for access or for correction or amendment.
\2\ The provisions of this part do not apply to these records covered by
  notices of systems of records published by the Office of Personnel
  Management for all agencies. The regulations of OPM alone apply.
\3\ The provisions of this part apply only initially to these records
  covered by notices of systems of records published by the U.S.
  Department of Labor for all agencies. The regulations of that
  department attach at the point of any denial for access or for
  correction or amendment.
\4\ The provisions of this part do not apply to these records covered by
  notices of systems of records published by the Equal Employment
  Opportunity Commission for all agencies. The regulations of the
  Commission alone apply.
\5\ The provisions of this part do not apply to these records covered by
  notices of systems of records published by the Merit Systems
  Protection Board for all agencies. The regulations of the Board alone
  apply.



PART 104_LEGAL PROCESSES--Table of Contents



                      Subpart A_General Provisions

Sec.
104.1 Definitions.
104.2 Address for mail and service; telephone number.
104.3 Waiver of rules.
104.4 Relationship of this Part to the Federal Rules of Civil and 
          Criminal Procedure.

                      Subpart B_Service of Process

104.11 Scope and purpose.
104.12 Acceptance of Service of Process.

   Subpart C_Employee Testimony and Production of Documents in Legal 
                               Proceedings

104.21 Scope and purpose.
104.22 Demand for testimony or production of documents.
104.23 Expert or opinion testimony.
104.24 Demands or requests in legal proceedings for records protected by 
          confidentiality statutes.

                   Subpart D_Employee Indemnification

104.31 Scope.
104.32 Procedure for requesting indemnification.

                          Subpart E_Tort Claims

104.41 Procedure for filing claims.
104.42 Finality of settlement or denial of claims.

    Authority: 35 U.S.C. 2(b)(2), 10, 23, 25; 44 U.S.C. 3101, except as 
otherwise indicated.

    Source: 66 FR 47389, Sept. 12, 2001, unless otherwise noted.



                      Subpart A_General Provisions



Sec.104.1  Definitions.

    Demand means a request, order, or subpoena for testimony or 
documents for use in a legal proceeding.
    Director means the Under Secretary of Commerce for Intellectual 
Property and Director of the United States Patent and Trademark Office 
(see Sec.1.9(j)).
    Document means any record, paper, and other property held by the 
Office, including without limitation, official letters, telegrams, 
memoranda, reports, studies, calendar and diary entries, maps, graphs, 
pamphlets, notes, charts, tabulations, analyses, statistical or 
informational accumulations, any kind of summaries of meetings and 
conversations, film impressions, magnetic tapes, and sound or mechanical 
reproductions.

[[Page 554]]

    Employee means any current or former officer or employee of the 
Office.
    Legal proceeding means any pretrial, trial, and posttrial stages of 
existing or reasonably anticipated judicial or administrative actions, 
hearings, investigations, or similar proceedings before courts, 
commissions, boards or other tribunals, foreign or domestic. This phrase 
includes all phases of discovery as well as responses to formal or 
informal requests by attorneys or others involved in legal proceedings.
    Office means the United States Patent and Trademark Office, 
including any operating unit in the United States Patent and Trademark 
Office, and its predecessors, the Patent Office and the Patent and 
Trademark Office.
    Official business means the authorized business of the Office.
    General Counsel means the General Counsel of the Office.
    Testimony means a statement in any form, including personal 
appearances before a court or other legal tribunal, interviews, 
depositions, telephonic, televised, or videotaped statements or any 
responses given during discovery or similar proceedings, which response 
would involve more than the production of documents, including a 
declaration under 35 U.S.C. 25 or 28 U.S.C. 1746.
    United States means the Federal Government, its departments and 
agencies, individuals acting on behalf of the Federal Government, and 
parties to the extent they are represented by the United States.

[66 FR 47389, Sept. 12, 2001, as amended at 68 FR 14339, Mar. 25, 2003]



Sec.104.2  Address for mail and service; telephone number.

    (a) Mail under this part should be addressed to the Office of the 
General Counsel, United States Patent and Trademark Office, P.O. Box 
1450, Alexandria, Virginia 22313-1450.
    (b) Service by hand should be made during business hours to the 
Office of the General Counsel, 10B20, Madison Building East, 600 Dulany 
Street, Alexandria, Virginia.
    (c) The Office of the General Counsel may be reached by telephone at 
571-272-7000 during business hours.

[66 FR 47389, Sept. 12, 2001, as amended at 70 FR 10490, Mar. 4, 2005; 
75 FR 36295, June 25, 2010]



Sec.104.3  Waiver of rules.

    In extraordinary situations, when the interest of justice requires, 
the General Counsel may waive or suspend the rules of this part, sua 
sponte or on petition of an interested party to the Director, subject to 
such requirements as the General Counsel may impose. Any such petition 
must be accompanied by a petition fee of $130.00.

[69 FR 56546, Sept. 21, 2004]



Sec.104.4  Relationship of this Part to the Federal Rules of Civil
or Criminal Procedure.

    Nothing in this part waives or limits any requirement under the 
Federal Rules of Civil or Criminal Procedure.



                      Subpart B_Service of Process



Sec.104.11  Scope and purpose.

    (a) This subpart sets forth the procedures to be followed when a 
summons and complaint is served on the Office or on the Director or an 
employee in his or her official capacity.
    (b) This subpart is intended, and should be construed, to ensure the 
efficient administration of the Office and not to impede any legal 
proceeding.
    (c) This subpart does not apply to subpoenas, the procedures for 
which are set out in subpart C.
    (d) This subpart does not apply to service of process made on an 
employee personally on matters not related to official business of the 
Office or to the official responsibilities of the employee.



Sec.104.12  Acceptance of service of process.

    (a) Any summons and complaint to be served in person or by 
registered or certified mail or as otherwise authorized by law on the 
Office, on the Director, or on an employee in his or her official 
capacity, shall be served as indicated in Sec.104.2.

[[Page 555]]

    (b) Any employee of the Office served with a summons and complaint 
shall immediately notify, and shall deliver the summons and complaint 
to, the Office of the General Counsel.
    (c) Any employee receiving a summons and complaint shall note on the 
summons and complaint the date, hour, and place of service and whether 
service was by hand or by mail.
    (d) When a legal proceeding is brought to hold an employee 
personally liable in connection with an action taken in the conduct of 
official business, rather than liable in an official capacity, the 
employee by law is to be served personally with process. See Fed. R. 
Civ. P. 4(e). An employee sued personally for an action taken in the 
conduct of official business shall immediately notify and deliver a copy 
of the summons and complaint to the General Counsel.
    (e) An employee sued personally in connection with official business 
may be represented by the Department of Justice at its discretion (28 
CFR 50.15 and 50.16).
    (f) The Office will only accept service of process for an employee 
in the employee's official capacity.



   Subpart C_Employee Testimony and Production of Documents in Legal 
                               Proceedings



Sec.104.21  Scope and purpose.

    (a) This subpart sets forth the policies and procedures of the 
Office regarding the testimony of employees as witnesses in legal 
proceedings and the production or disclosure of information contained in 
Office documents for use in legal proceedings pursuant to a demand.
    (b) Exceptions. This subpart does not apply to any legal proceeding 
in which:
    (1) An employee is to testify regarding facts or events that are 
unrelated to official business; or
    (2) A former employee is to testify as an expert in connection with 
a particular matter in which the former employee did not participate 
personally while at the Office.



Sec.104.22  Demand for testimony or production of documents.

    (a) Whenever a demand for testimony or for the production of 
documents is made upon an employee, the employee shall immediately 
notify the Office of the General Counsel at the telephone number or 
addresses in Sec.104.2 and make arrangements to send the subpoena to 
the General Counsel promptly.
    (b) An employee may not give testimony, produce documents, or answer 
inquiries from a person not employed by the Office regarding testimony 
or documents subject to a demand or a potential demand under the 
provisions of this subpart without the approval of the General Counsel. 
The General Counsel may authorize the provision of certified copies not 
otherwise available under Part 1 of this title subject to payment of 
applicable fees under Sec.1.19.
    (c)(1) Demand for testimony or documents. A demand for the testimony 
of an employee under this subpart shall be addressed to the General 
Counsel as indicated in Sec.104.2.
    (2) Subpoenas. A subpoena for employee testimony or for a document 
shall be served in accordance with the Federal Rules of Civil or 
Criminal Procedure or applicable state procedure, and a copy of the 
subpoena shall be sent to the General Counsel as indicated in Sec.
104.2.
    (3) Affidavits. Except when the United States is a party, every 
demand shall be accompanied by an affidavit or declaration under 28 
U.S.C. 1746 or 35 U.S.C. 25(b) setting forth the title of the legal 
proceeding, the forum, the requesting party's interest in the legal 
proceeding, the reason for the demand, a showing that the desired 
testimony or document is not reasonably available from any other source, 
and, if testimony is requested, the intended use of the testimony, a 
general summary of the desired testimony, and a showing that no document 
could be provided and used in lieu of testimony.
    (d) Failure of the attorney to cooperate in good faith to enable the 
General Counsel to make an informed determination under this subpart may 
serve as a basis for a determination not to comply with the demand.
    (e) A determination under this subpart to comply or not to comply 
with a

[[Page 556]]

demand is not a waiver or an assertion of any other ground for 
noncompliance, including privilege, lack of relevance, or technical 
deficiency.
    (f) Noncompliance. If the General Counsel makes a determination not 
to comply, he or she will seek Department of Justice representation for 
the employee and will attempt to have the subpoena modified or quashed. 
If Department of Justice representation cannot be arranged, the employee 
should appear at the time and place set forth in the subpoena. In such a 
case, the employee should produce a copy of these rules and state that 
the General Counsel has advised the employee not to provide the 
requested testimony nor to produce the requested document. If a legal 
tribunal rules that the demand in the subpoena must be complied with, 
the employee shall respectfully decline to comply with the demand, 
citing United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951).



Sec.104.23  Expert or opinion testimony.

    (a)(1) If the General Counsel authorizes an employee to give 
testimony in a legal proceeding not involving the United States, the 
testimony, if otherwise proper, shall be limited to facts within the 
personal knowledge of the employee. Employees, with or without 
compensation, shall not provide expert testimony in any legal 
proceedings regarding Office information, subjects, or activities except 
on behalf of the United States or a party represented by the United 
States Department of Justice.
    (2) The General Counsel may authorize an employee to appear and give 
the expert or opinion testimony upon the requester showing, pursuant to 
Sec.104.3 of this part, that exceptional circumstances warrant such 
testimony and that the anticipated testimony will not be adverse to the 
interest of the Office or the United States.
    (b)(1) If, while testifying in any legal proceeding, an employee is 
asked for expert or opinion testimony regarding Office information, 
subjects, or activities, which testimony has not been approved in 
advance in writing in accordance with the regulations in this subpart, 
the witness shall:
    (i) Respectfully decline to answer on the grounds that such expert 
or opinion testimony is forbidden by this subpart;
    (ii) Request an opportunity to consult with the General Counsel 
before giving such testimony; and
    (iii) Explain that upon such consultation, approval for such 
testimony may be provided.
    (2) If the tribunal conducting the proceeding then orders the 
employee to provide expert or opinion testimony regarding Office 
information, subjects, or activities without the opportunity to consult 
with the General Counsel, the employee shall respectfully refuse to 
provide such testimony, citing United States ex rel. Touhy v. Ragen, 340 
U.S. 462 (1951).
    (c) If an employee is unaware of the regulations in this subpart and 
provides expert or opinion testimony regarding Office information, 
subjects, or activities in a legal proceeding without the aforementioned 
consultation, the employee shall, as soon after testifying as possible, 
inform the General Counsel that such testimony was given and provide a 
written summary of the expert or opinion testimony provided.
    (d) Proceeding where the United States is a party. In a proceeding 
in which the United States is a party or is representing a party, an 
employee may not testify as an expert or opinion witness for any party 
other than the United States.



Sec.104.24  Demands or requests in legal proceedings for records
protected by confidentiality statutes.

    Demands in legal proceedings for the production of records, or for 
the testimony of employees regarding information protected by the 
confidentiality provisions of the Patent Act (35 U.S.C. 122), the 
Privacy Act (5 U.S.C. 552a), the Trade Secrets Act (18 U.S.C. 1905), or 
any other confidentiality statute, must satisfy the requirements for 
disclosure set forth in those statutes and associated rules before the 
records may be provided or testimony given.

[[Page 557]]



                   Subpart D_Employee Indemnification



Sec.104.31  Scope.

    The procedure in this subpart shall be followed if a civil action or 
proceeding is brought, in any court, against an employee (including the 
employee's estate) for personal injury, loss of property, or death, 
resulting from the employee's activities while acting within the scope 
of the employee's office or employment. When the employee is 
incapacitated or deceased, actions required of an employee should be 
performed by the employee's executor, administrator, or comparable legal 
representative.



Sec.104.32  Procedure for requesting indemnification.

    (a) After being served with process or pleadings in such an action 
or proceeding, the employee shall within five (5) calendar days of 
receipt, deliver to the General Counsel all such process and pleadings 
or an attested true copy thereof, together with a fully detailed report 
of the circumstances of the incident giving rise to the court action or 
proceeding.
    (b)(1) An employee may request indemnification to satisfy a verdict, 
judgment, or award entered against that employee only if the employee 
has timely satisfied the requirements of paragraph (a) of this section.
    (2) No request for indemnification will be considered unless the 
employee has submitted a written request through the employee's 
supervisory chain to the General Counsel with:
    (i) Appropriate documentation, including copies of the verdict, 
judgment, appeal bond, award, or settlement proposal;
    (ii) The employee's explanation of how the employee was acting 
within the scope of the employee's employment; and
    (iii) The employee's statement of whether the employee has insurance 
or any other source of indemnification.



                          Subpart E_Tort Claims

    Authority: 28 U.S.C. 2672; 35 U.S.C. 2(b)(2); 44 U.S.C. 3101; 28 CFR 
Part 14.



Sec.104.41  Procedure for filing claims.

    Administrative claims against the Office filed pursuant to the 
administrative claims provision of the Federal Tort Claims Act (28 
U.S.C. 2672) and the corresponding Department of Justice regulations (28 
CFR Part 14) shall be filed with the General Counsel as indicated in 
Sec.104.2.



Sec.104.42  Finality of settlement or denial of claims.

    Only a decision of the Director or the General Counsel regarding 
settlement or denial of any claim under this subpart may be considered 
final for the purpose of judicial review.

[[Page 558]]



              SUBCHAPTER C_PROTECTION OF FOREIGN MASK WORKS





PART 150_REQUESTS FOR PRESIDENTIAL PROCLAMATIONS PURSUANT TO 17 U.S.C.
902(a)(2)--Table of Contents



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

    Authority: 35 U.S.C. 2(b)(2); E.O. 12504, 50 FR 4849; 3 CFR, 1985 
Comp., p. 335.

    Source: 53 FR 24447, June 29, 1988, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 150 appear at 68 FR 
14339, Mar. 25, 2003.



Sec.150.1  Definitions.

    (a) Director means the Under Secretary of Commerce for Intellectual 
Property and Director of the United States Patent and Trademark Office 
(see Sec.1.9(j)).
    (b) Foreign government means the duly-constituted executive of a 
foreign nation, or an international or regional intergovernmental 
organization which has been empowered by its member states to request 
issuance of Presidential proclamations on their behalf under this part.
    (c) Interim order means an order issued by the Secretary of Commerce 
under 17 U.S.C. 914.
    (d) Mask work means a series of related images, however fixed or 
encoded--
    (1) Having or representing the predetermined, three-dimensional 
pattern of metallic, insulating, or semiconductor material present or 
removed from the layers of a semiconductor chip product; and
    (2) In which series the relation of the images to one another is 
that each image has the pattern of the surface of one form of the 
semiconductor chip product.
    (e) Presidential proclamation means an action by the President 
extending to foreign nationals, domiciliaries and sovereign authorities 
the privilege of applying for registrations for mask works pursuant to 
17 U.S.C. 902.
    (f) Request means a request by a foreign government for the issuance 
of a Presidential proclamation.
    (g) Proceeding means a proceeding to issue an interim order 
extending protection to foreign nationals, domiciliaries and sovereign 
authorities under 17 U.S.C. Chapter 9.
    (h) Secretary means the Secretary of Commerce.

[53 FR 24447, June 29, 1988, as amended at 68 Fr 14339, Mar. 25, 2003]



Sec.150.2  Initiation of evaluation.

    (a) The Director independently or as directed by the Secretary, may 
initiate an evaluation of the propriety of recommending the issuance, 
revision, suspension or revocation of a section 902 proclamation.
    (b) The Director shall initiate an evaluation of the propriety of 
recommending the issuance of a section 902 proclamation upon receipt of 
a request from a foreign government.



Sec.150.3  Submission of requests.

    (a) Requests for the issuance of a section 902 proclamation shall be 
submitted by foreign governments for review by the Director.
    (b) Requests for issuance of a proclamation shall include:
    (1) A copy of the foreign law or legal rulings that provide 
protection for U.S. mask works which provide a basis for the request.
    (2) A copy of any regulations or administrative orders implementing 
the protection.
    (3) A copy of any laws, regulations or administrative orders 
establishing or regulating the registration (if any) of mask works.
    (4) Any other relevant laws, regulations or administrative orders.
    (5) All copies of laws, legal rulings, regulations or administrative 
orders submitted must be in unedited, full-text form, and if possible, 
must be reproduced from the original document.
    (6) All material submitted must be in the original language, and if 
not in English, must be accompanied by a certified English translation.

[[Page 559]]



Sec.150.4  Evaluation.

    (a) Upon submission of a request by a foreign government for the 
issuance of a section 902 proclamation, if an interim order under 
section 914 has not been issued, the Director may initiate a section 914 
proceeding if additional information is required.
    (b) If an interim order under section 914 has been issued, the 
information obtained during the section 914 proceeding will be used in 
evaluating the request for a section 902 proclamation.
    (c) After the Director receives the request of a foreign government 
for a section 902 proclamation, or after a determination is made by the 
Director to initiate independently an evaluation pursuant to Sec.
150.2(a) of this part, a notice will be published in the Federal 
Register to request relevant and material comments on the adequacy and 
effectiveness of the protection afforded U.S. mask works under the 
system of law described in the notice. Comments should include detailed 
explanations of any alleged deficiencies in the foreign law or any 
alleged deficiencies in its implementation. If the alleged deficiencies 
include problems in administration such as registration, the respondent 
should include as specifically as possible full detailed explanations, 
including dates for and the nature of any alleged problems. Comments 
shall be submitted to the Director within sixty (60) days of publication 
of the Federal Register notice.
    (d) The Director shall notify the Register of Copyrights and the 
Committees on the Judiciary of the Senate and the House of 
Representatives of the initiation of an evaluation under these 
regulations.
    (e) If the written comments submitted by any party present relevant 
and material reasons why a proclamation should not issue, the Director 
will:
    (1) Contact the party raising the issue for verification and any 
needed additional information;
    (2) Contact the requesting foreign government to determine if the 
issues raised by the party can be resolved; and,
    (i) If the issues are resolved, continue with the evaluation; or,
    (ii) If the issues cannot be resolved on this basis, hold a public 
hearing to gather additional information.
    (f) The comments, the section 902 request, information obtained from 
a section 914 proceeding, if any, and information obtained in a hearing 
held pursuant to paragraph (e)(ii) of this section, if any, will be 
evaluated by the Director.
    (g) The Director will forward the information to the Secretary, 
together with an evaluation and a draft recommendation.
    (h) The Secretary will forward a recommendation regarding the 
issuance of a section 902 proclamation to the President.



Sec.150.5  Duration of proclamation.

    (a) The recommendation for the issuance of a proclamation may 
include terms and conditions regarding the duration of the proclamation.
    (b) Requests for the revision, suspension or revocation of a 
proclamation may be submitted by any interested party. Requests for 
revision, suspension or revocation of a proclamation will be considered 
in substantially the same manner as requests for the issuance of a 
section 902 proclamation.



Sec.150.6  Mailing address.

    Requests and all correspondence pursuant to these guidelines shall 
be addressed to: Mail Stop Congressional Relations, Director of the 
United States Patent and Trademark Office, P.O. Box 1450, Alexandria, 
Virginia 22313-1450.

[70 FR 10490, Mar. 4, 2005]

                        PARTS 151	199 [RESERVED]

[[Page 561]]



         CHAPTER II--U.S. COPYRIGHT OFFICE, LIBRARY OF CONGRESS




  --------------------------------------------------------------------

              SUBCHAPTER A--COPYRIGHT OFFICE AND PROCEDURES
Part                                                                Page
200            [Reserved]

201             General provisions..........................         562
202             Preregistration and registration of claims 
                    to copyright............................         652
203             Freedom of Information Act: Policies and 
                    procedures..............................         710
204             Privacy Act: Policies and procedures........         723
205             Legal processes.............................         726
210             Compulsory license for making and 
                    distributing physical and digital 
                    phonorecords of nondramatic musical 
                    works...................................         732
211             Mask work protection........................         797
212             Protection of vessel designs................         801
                         SUBCHAPTER B [RESERVED]
                Index to Chapter II--Copyright Office, 
                    Library of Congress.....................         807

[[Page 562]]



              SUBCHAPTER A_COPYRIGHT OFFICE AND PROCEDURES



                           PART 200 [RESERVED]



PART 201_GENERAL PROVISIONS--Table of Contents



Sec.
201.1 Communication with the Copyright Office.
201.2 Information given by the Copyright Office.
201.3 Fees for registration, recordation, and related services, special 
          services, and services performed by the Licensing Division.
201.4 Recordation of transfers and other documents pertaining to 
          copyright.
201.5 [Reserved]
201.6 Payment and refund of Copyright Office fees.
201.7 Cancellation of completed registrations.
201.8 Disruption of postal or other transportation or communication 
          services.
201.9 [Reserved]
201.10 Notices of termination of transfers and licenses.
201.11 Satellite carrier statements of account covering statutory 
          licenses for secondary transmissions.
201.12 Recordation of certain contracts by cable systems located outside 
          of the forty-eight contiguous States.
201.13 Notices of objection to certain noncommercial performances of 
          non-dramatic literary or musical works.
201.14 Warnings of copyright for use by certain libraries and archives.
201.15 [Reserved]
201.16 Verification of a Statement of Account for secondary 
          transmissions made by cable systems and satellite carriers.
201.17 Statements of Account covering compulsory licenses for secondary 
          transmissions by cable systems.
201.18 Notice of intention to obtain a compulsory license for making and 
          distributing phonorecords of non-dramatic musical works.
201.19-201.21 [Reserved]
201.22 Advance notices of potential infringement of works consisting of 
          sounds, images, or both.
201.23 Transfer of unpublished copyright deposits to the Library of 
          Congress.
201.24 Warning of copyright for software lending by nonprofit libraries.
201.25 Visual Arts Registry.
201.26 Recordation of documents pertaining to computer shareware and 
          donation of public domain computer software.
201.27 Initial notice of distribution of digital recording devices or 
          media.
201.28 Statements of Account for digital audio recording devices or 
          media.
201.29 Access to, and confidentiality of, Statements of Account, 
          Verification Auditor's Reports, and other verification 
          information filed in the Copyright Office for digital audio 
          recording devices or media.
201.30 Verification of Statements of Account.
201.31 Procedures for closing out royalty payments accounts in 
          accordance with the Audio Home Recording Act.
201.32 [Reserved]
201.33 Procedures for filing Notices of Intent to Enforce a restored 
          copyright under the Uruguay Round Agreements Act.
201.34 Procedures for filing Correction Notices of Intent to Enforce a 
          Copyright Restored under the Uruguay Round Agreements Act.
201.35 Schedules of pre-1972 sound recordings.
201.36 Notices of contact information for transmitting entities publicly 
          performing pre-1972 sound recordings.
201.37 Noncommercial use of pre-1972 sound recordings.
201.38 Designation of agent to receive notification of claimed 
          infringement.
201.39 Notice to Libraries and Archives of Normal Commercial 
          Exploitation or Availability at Reasonable Price.
201.40 Exemptions to prohibition against circumvention.

    Authority: 17 U.S.C. 702.
    Section 201.10 also issued under 17 U.S.C. 304.



Sec.201.1  Communication with the Copyright Office.

    (a) General purpose addresses. Members of the public must use the 
correct address in order to facilitate timely receipt by the U.S. 
Copyright Office division or section to which an inquiry should be 
directed. The address set forth in paragraph (b) may be used for general 
inquiries made to a particular division or section of the U.S. Copyright 
Office. Addresses for special, limited purposes are provided below in 
paragraph (c) of this section. Please note that the Library of Congress 
no longer accepts direct deliveries from commercial couriers and 
messengers.\1\

[[Page 563]]

For additional address information, including information on courier 
delivery, mail delays, or disruptions, please visit the ``Contact us'' 
section on the Office's website (http://www.copyright.gov). General 
questions may also be directed to the U.S. Copyright Office website 
submission form at: http:// www.copyright.gov /help/ general -form.html.
---------------------------------------------------------------------------

    \1\ See 69 FR 5371 (Feb. 4, 2004) and 68 FR 70039 (Dec. 16, 2003).
---------------------------------------------------------------------------

    (b) General purpose address. (1) Mail and other communications that 
do not come under the areas listed in paragraph (b)(2) of this section 
shall be addressed to the Library of Congress, U.S. Copyright Office, 
101 Independence Avenue SE., Washington, DC 20559-6000, or as otherwise 
indicated in instructions on the Copyright Office's website or forms 
provided by the Office.
    (2) Codes to facilitate the routing of mail. To assure that postal 
mail is routed correctly within the U.S. Copyright Office, applicants 
should indicate, by the appropriate code, the general subject matter of 
the correspondence. Such correspondence should be addressed to the 
Office in the following manner: Library of Congress, U.S. Copyright 
Office--(Insert appropriate code listed below), 101 Independence Avenue 
SE., Washington, DC 20559-6000.

------------------------------------------------------------------------
              Type of submission                          Code
------------------------------------------------------------------------
Registration of Literary Works................  TX
Registration of Serials.......................  SE
Registration of Visual Arts Works.............  VA
Registration of Works of the Performing Arts,   PA
 except Motion Pictures.
Registration of Sound Recordings..............  SR
Registration of Motion pictures...............  MP
Registration of Renewal claims................  RE
Document Recordations.........................  DOC
Registration of Mask Works....................  MW
Registration of Vessel Designs................  VH
Copyright Acquisitions........................  CAD
Deposit Demands...............................  CAD/AD
Licensing Division............................  LD
Notice to Libraries and Archives..............  NLA
Publications Section..........................  PUB
------------------------------------------------------------------------

    (c) Limited purpose addresses. The following addresses may be used 
only in the special, limited circumstances given for a particular U.S. 
Copyright Office service:
    (1) Time Sensitive Notices and Requests. Other than notices served 
on the Register of Copyrights submitted pursuant to 17 U.S.C. 411(a), 
411(b)(2), and 508, all time sensitive correspondence to the Office of 
the General Counsel and the Office of Policy and International Affairs, 
and requests for expedited service from the Records Research and 
Certification Section of the Office of Public Information and Education 
to meet the needs of pending or prospective litigation, customs matters, 
or contract or publishing deadlines should be addressed to: U.S. 
Copyright Office, P.O. Box 70400, Washington, DC 20024-0400. Freedom of 
Information Act (FOIA) requests and FOIA appeals must also be mailed to: 
P.O. Box 70400, Washington, DC 20024-0400, but clearly labeled ``Freedom 
of Information Act Request'' or ``Freedom of Information Act Appeal'' as 
appropriate. Notices and requests served on the Register of Copyrights 
submitted pursuant to 17 U.S.C. 411(a) or 411(b)(2) should be submitted 
via email in accordance with 37 CFR 205.13 (for section 411(a) notices) 
and Sec.205.14 (for section 411(b)(2) notices). Notices served on the 
Register of Copyrights submitted pursuant to 17 U.S.C. 508 should be 
submitted via email in accordance with 37 CFR 205.15.
    (2) Notices of Termination. Notices of Termination of transfers and 
licenses under sections 203 and 304 of the Copyright Act should be 
addressed to: U.S. Copyright Office, Notices of Termination, and 
submitted either electronically in the form and manner prescribed in 
instructions on the Office's website or by mail to P.O. Box 71537, 
Washington, DC 20024-1537.
    (3) Reconsiderations of Refusals To Register and Requests for 
Cancellation. First and second requests for reconsideration of refusal 
to register a copyright, mask work, or vessel design claim, and requests 
to cancel registered works should be addressed to: U.S. Copyright 
Office, RAC Division, and submitted either electronically in the form 
and manner prescribed in instructions on the Office's website or by mail 
to P.O. Box 71380, Washington, DC 20024-1380.
    (4) Searches and Copies of Records or Deposits. Requests for 
searches of registrations and recordations in the completed catalogs, 
indexes, and/or other records of the U.S. Copyright Office as well as 
requests for copies of records or deposits for use in litigation or 
other authorized purposes should be addressed to: U.S. Copyright Office, 
Records Research and Certification

[[Page 564]]

Section, and submitted either electronically in the form and manner 
prescribed in instructions on the Office's website or by mail to P.O. 
Box 70400, Washington, DC 20559-0400.
    (5) Inquiries to Licensing Division. Filings or inquiries to the 
Licensing Division may be submitted either electronically in the form 
and manner prescribed in instructions on the Office's website or by 
mail. If sending by mail, notices related to statutory licenses under 17 
U.S.C. 112, 114, and 115 should be addressed to: U.S. Copyright Office, 
P.O. Box 70977, Washington, DC 20024-0400. Statements of account related 
to statutory licenses under 17 U.S.C. 119 and chapter 10 should be 
addressed to: U.S. Copyright Office, SOA, P.O. Box 70400, Washington, DC 
20024-0400. Filings or inquiries related to section 111 licenses should 
be sent to Library of Congress, U.S. Copyright Office, Attn: 111 
Licenses, 101 Independence Avenue SE., Washington, DC 20559.
    (6) Mandatory deposit copies. Mandatory deposit copies of published 
works submitted for the Library of Congress under 17 U.S.C. 407 and 
Sec.202.19 of this chapter (including serial publications that are not 
being registered) should be addressed to: Library of Congress, U.S. 
Copyright Office, Attn: 407 Deposits, 101 Independence Avenue SE, 
Washington, DC 20559-6600, except that mandatory deposit copies 
submitted as complimentary subscriptions for serial publications that 
are being registered should be addressed to: Library of Congress, Group 
Serials Registration, Washington, DC 20540-4161.
    (7) Requests to remove PII from registration records. Requests to 
remove personally identifiable information from registration records 
pursuant to Sec. Sec.201.2(e) and (f) should be addressed to: U.S. 
Copyright Office, Associate Register of Copyrights and Director of the 
Office of Public Information and Education. Requests may be submitted 
either electronically in the form and manner prescribed in instructions 
on the Office's website or by mail to P.O. Box 70400, Washington, DC 
20024-0400, and clearly labeled ``Request to Remove Requested PII,'' 
``Request for Reconsideration Following Denial of Request to Remove 
Requested PII,'' or ``Request to Remove Extraneous PII,'' as 
appropriate.

[78 FR 42873, July 18, 2013, as amended at 82 FR 9007, Feb. 2, 2017; 82 
FR 9355, Feb. 6, 2017; 82 FR 21697, May 10, 2017; 83 FR 4145, Jan. 30, 
2018; 83 FR 61549, Nov. 30, 2018; 84 FR 60918, Nov. 12, 2019; 85 FR 
19667, Apr. 8, 2020; 85 FR 10604, Feb. 25, 2020; 85 FR 31982, May 28, 
2020]

    Effective Date Note: At 86 FR 32641, June 22, 2021, Sec.201.1 was 
amended by:
    a.i. Removing the entry ``Copyright Acquisitions'' and adding in its 
place the entry ``Acquisitions and Deposits''.
    ii. Revising the entry for ``Deposit Demands''.
    iii. Removing the entry ``Licensing Division'' adding in its place 
the entry ``Licensing Section'' in paragraph (b)(2) table.
    b. In paragraph (c)(3), removing ``RAC'' and adding in its place 
``MCA''
    c. In paragraph (c)(5), removing ``Licensing Division'' from each 
place it appears and adding in its place ``Licensing Section'', 
effective July 22, 2021. For the convenience of the user, the revised 
text is set forth as follows:



Sec.201.1  Communication with the Copyright Office.

                                * * * * *

    (b) * * *
    (2) * * *

------------------------------------------------------------------------
             Type of submission                          Code
------------------------------------------------------------------------
 
                                * * * * *
Acquisitions and Deposits..................  A&D
Deposit Demands............................  A&D/AD
Licensing Section..........................  LS
 
                                * * * * *
------------------------------------------------------------------------

                                * * * * *



Sec.201.2  Information given by the Copyright Office.

    (a) In general. (1) Information relative to the operations of the 
Copyright Office is supplied without charge. A search of the records, 
indexes, and deposits will be made for such information as they may 
contain relative to copyright claims upon application and payment of the 
statutory fee. The Copyright Office, however, does not undertake the 
making of comparisons of copyright deposits to determine similarity 
between works.
    (2) The Copyright Office does not furnish the names of copyright 
attorneys,

[[Page 565]]

publishers, agents, or other similar information.
    (3) In the administration of the Copyright Act in general, the 
Copyright Office interprets the Act. The Copyright Office, however, does 
not give specific legal advice on the rights of persons, whether in 
connection with particular uses of copyrighted works, cases of alleged 
foreign or domestic copyright infringement, contracts between authors 
and publishers, or other matters of a similar nature.
    (b) Inspection and copying of records. (1) Inspection and copying of 
completed records and indexes relating to a registration or a recorded 
document, and inspection of copies or identifying material deposited in 
connection with a completed copyright registration may be undertaken in 
the Records Research and Certification Section. Since some of these 
materials are not stored on the immediate premises of the Copyright 
Office, it is advisable to consult the Records Research and 
Certification Section to determine the length of time necessary to 
produce the requested materials.
    (2) It is the general policy of the Copyright Office to deny direct 
public access to in-process files and to any work (or other) areas where 
they are kept. However, direct public use of computers intended to 
access the automated equivalent of limited portions of these files is 
permitted on a specified terminal in the Records Management Section, LM 
B-14, Monday through Friday, upon payment of applicable fees.
    (3) Information contained in Copyright Office in-process files may 
be obtained by anyone upon payment of applicable fees and request to the 
Office of Public Information and Education, in accordance with the 
following procedures:
    (i) In general, all requests by the public for information in the 
in-process and open unfinished business files should be made to the 
Records Research and Certification Section, which upon receipt of 
applicable fees will give a report that provides the following for each 
request:
    (A) The date(s) of receipt of:
    (1) The application(s) for registration that may have been submitted 
and is (are) in process;
    (2) The document(s) that may have been submitted for recordation and 
is (are) in process;
    (3) The copy or copies (or phonorecords) that may have been 
submitted;
    (B) The title of the work(s); and
    (C) The name of the applicant or remitter.
    (ii) Such searches of the in-process files will be given priority to 
the extent permitted by the demands of normal work flow of the affected 
sections of the Copyright Office.
    (4)(i) Access will be afforded as follows to pending applications 
for registration, the deposit material accompanying them, and pending 
documents for recordation:
    (A) In the case of applications for registration and deposits 
accompanying them, upon the request of the copyright claimant or his/her 
authorized representative, and
    (B) In the case of documents, upon the request of at least one of 
the persons who executed the document or by an authorized representative 
of that person.
    (ii) These requests should be made to the Records Research and 
Certification Section, and the review of the materials will be permitted 
there. No charge will be made for reviewing these materials; the 
appropriate search fee identified in Sec.201.3(c) or Sec.201.3(d) 
will be assessed, and the appropriate copying fee identified in Sec.
201.3(c) or Sec.201.3(d) will be assessed if the claimant wants and is 
entitled to a copy of the material.
    (5) In exceptional circumstances, the Register of Copyrights may 
allow inspection of pending applications and open correspondence files 
by someone other than the copyright claimant, upon submission of a 
written request which is deemed by the Register to show good cause for 
such access and establishes that the person making the request is one 
properly and directly concerned. The written request should be mailed to 
the address specified in Sec.201.1(c).
    (6) Direct public access will not be permitted to any financial or 
accounting records, including records maintained on Deposit Accounts.
    (7) The Register of Copyrights has issued an administrative manual

[[Page 566]]

known as the Compendium of U.S. Copyright Office Practices, Third 
Edition. The Compendium explains many of the practices and procedures 
concerning the Office's mandate and statutory duties under title 17 of 
the United States Code. It is both a technical manual for the Copyright 
Office's staff, as well as a guidebook for authors, copyright licensees, 
practitioners, scholars, the courts, and members of the general public. 
The Third Edition and prior editions of the Compendium may be viewed, 
downloaded, or printed from the Office's website. They are also 
available for public inspection and copying in the Records Research and 
Certification Section.
    (c) Correspondence. (1) Official correspondence, including 
preliminary applications, between copyright claimants or their agents 
and the Copyright Office, and directly relating to a completed 
registration, a recorded document, a rejected application for 
registration, or a document for which recordation was refused is 
available for public inspection. Included in the correspondence 
available for public inspection is that portion of the file directly 
relating to a completed registration, recorded document, a rejected 
application for registration, or a document for which recordation was 
refused which was once open to public inspection as a closed case, even 
if the case is subsequently reopened. Public inspection is available 
only for the correspondence contained in the file during the time it was 
closed because of one of the aforementioned actions. Correspondence 
relating to the reopening of the file and reconsideration of the case is 
considered part of an in-process file until final action is taken, and 
public inspection of that correspondence is governed by Sec.201.2(b). 
Requests for reproductions of the correspondence shall be made pursuant 
to paragraph (d) of this section.
    (2) Correspondence, application forms, and any accompanying material 
forming a part of a pending application are considered in-process files 
and access to them is governed by paragraph (b) of this section.
    (3) Correspondence, memoranda, reports, opinions, and similar 
material relating to internal matters of personnel and procedures, 
office administration, security matters, and internal consideration of 
policy and decisional matters including the work product of an attorney, 
are not open to public inspection.
    (4) The Copyright Office will not respond to any abusive or 
scurrilous correspondence or correspondence where the intent is unknown.
    (d) Requests for copies. (1) Requests for copies of records should 
include the following:
    (i) A clear identification of the type of records desired (for 
example, additional certificates of registration, copies of 
correspondence, copies of deposits).
    (ii) A specification of whether the copies are to be certified or 
uncertified.
    (iii) A clear identification of the specific records to be copied. 
Requests should include the following specific information, if possible:
    (A) The type of work involved (for example, novel, lyrics, 
photograph);
    (B) The registration number;
    (C) The year date or approximate year date of registration;
    (D) The complete title of the work;
    (E) The author(s) including any pseudonym by which the author may be 
known; and
    (F) The claimant(s); and
    (G) If the requested copy is of an assignment, license, contract, or 
other recorded document, the volume and page number of the recorded 
document.
    (iv) If the copy requested is an additional certificate of 
registration, include the fee. The Records Research and Certification 
Section will review requests for copies of other records and quote fees 
for each.
    (v) The telephone number and address of the requestor.
    (2) Requests for certified or uncertified reproductions of the 
copies, phonorecords, or identifying material deposited in connection 
with a copyright registration of published or unpublished works in the 
custody of the Copyright Office will be granted only when one of the 
following three conditions has been met:
    (i) The Copyright Office receives written authorization from the 
copyright claimant of record or his or her designated agent, or from the 
owner of

[[Page 567]]

any of the exclusive rights in the copyright as long as this ownership 
can be demonstrated by written documentation of the transfer of 
ownership.
    (ii) The Copyright Office receives a written request from an 
attorney on behalf of either the plaintiff or defendant in connection 
with litigation, actual or prospective, involving the copyrighted work. 
The following information must be included in such a request:
    (A) The names of all the parties involved and the nature of the 
controversy;
    (B) The name of the court in which the actual case is pending or, in 
the case of a prospective proceeding, a full statement of the facts of 
the controversy in which the copyrighted work is involved; and
    (C) Satisfactory assurance that the requested reproduction will be 
used only in connection with the specified litigation.
    (iii) The Copyright Office receives a court order for reproduction 
of the deposited copies, phonorecords, or identifying material of a 
registered work which is the subject of litigation. The order must be 
issued by a court having jurisdiction of the case in which the 
reproduction is to be submitted as evidence.
    (3) When a request is made for a reproduction of a phonorecord, such 
as an audiotape or cassette, in which either a sound recording or the 
underlying musical, dramatic, or literary work is embodied, the 
Copyright Office will provide proximate reproduction. The Copyright 
Office reserves the right to substitute a monaural reproduction for a 
stereo, quadraphonic, or any other type of fixation of the work accepted 
for deposit.
    (e) Requests for removal of requested personally identifiable 
information from the online public catalog. (1) In general, an author, 
claimant of record, or the authorized representative of the author or 
claimant of record may submit a request to remove certain categories of 
personally identifiable information (``PII'') described in paragraph 
(e)(2) of this section from the Copyright Office's online public catalog 
by following the procedure set forth in paragraph (e)(3) of this 
section. Where the requester provides verifiable, non-personally 
identifiable substitute information to replace the PII being removed, 
the Office will grant the request unless it determines that the need to 
maintain the original information in the public record substantially 
outweighs the safety, privacy, or other stated concern. If the requester 
does not provide verifiable, non-personally-identifiable substitute 
information, the Office will grant the request only if the safety, 
privacy, or other stated concern substantially outweighs the need for 
the information to remain in the public record. The Office will review 
requests by joint authors or claimants on a case-by-case basis.
    (2) Categories of personally identifiable information that may be 
removed from the online public catalog include names, home addresses, 
personal telephone and fax numbers, personal email addresses, and other 
information that is requested by the Office as part the copyright 
registration application except that:
    (i) Requests for removal of driver's license numbers, social 
security numbers, banking information, credit card information and other 
extraneous PII covered by paragraph (f) of this section are governed by 
the provisions of that paragraph.
    (ii) Requests to remove the address of a copyright claimant must be 
accompanied by a verifiable substitute address. The Office will not 
remove the address of a copyright claimant unless such a verifiable 
substitute address is provided.
    (iii) Names of authors or claimants may not be removed or replaced 
with a pseudonym. Requests to substitute the prior name of the author or 
claimant with the current legal name of the author or claimant must be 
accompanied by official documentation of the legal name change.
    (3) Requests for removal of PII from the online catalog must be in 
the form of an affidavit, must be accompanied by the non-refundable fee 
listed in Sec.201.3(c), and must include the following information:
    (i) The copyright registration number(s).

[[Page 568]]

    (ii) The name of the author and/or claimant of record on whose 
behalf the request is made.
    (iii) Identification of the specific PII that is to be removed.
    (iv) If applicable, verifiable non-personally-identifiable 
substitute information that should replace the PII to be removed.
    (v) In the case of requests to replace the names of authors or 
claimants, the request must be accompanied by a court order granting a 
legal name change.
    (vi) A statement providing the reasons supporting the request. If 
the requester is not providing verifiable, non-personally-identifiable 
substitute information to replace the PII to be removed, this statement 
must explain in detail the specific threat to the individual's personal 
safety or personal security, or other circumstances, supporting the 
request.
    (vii) The statement, ``I declare under penalty of perjury that the 
foregoing is true and correct.''
    (viii) If the submission is by an authorized representative of the 
author or claimant of record, an additional statement, ``I am authorized 
to make this request on behalf of [name of author or claimant of 
record].''
    (ix) The signature of the author, claimant of record, or the 
authorized representative of the author or claimant of record.
    (x) The date on which the request was signed.
    (xi) A physical mailing address to which the Office's response may 
be sent (if no email is provided).
    (xii) A telephone number.
    (xiii) An email address (if available).
    (4) Requests under this paragraph (e) must be sent to the Office as 
prescribed in Sec.201.1(c).
    (5) A properly submitted request will be reviewed by the Associate 
Register of Copyrights and Director of the Office Public Information and 
Education or his or her designee(s) to determine whether the request 
should be granted or denied. The Office will send its decision to either 
grant or deny the request to the physical mail address or email address 
indicated in the request.
    (6) If the request is granted, the Office will remove the 
information from the online public catalog. Where substitute information 
has been provided, the Office will add that information to the online 
public catalog. In addition, a note indicating that the online record 
has been modified will be added to the online registration record. A new 
certificate of registration will be issued that reflects the modified 
information. The Office will maintain a copy of the original 
registration record on file in the Copyright Office, and such records 
shall be open to public inspection and copying pursuant to paragraphs 
(b), (c), and (d) of this section. The Office will also maintain in its 
offline records the correspondence related to the request to remove PII.
    (7) Requests for reconsideration of denied requests to remove PII 
from the online public catalog must be made in writing within 30 days 
from the date of the denial letter. The request for reconsideration, and 
a non-refundable fee in the amount specified in Sec.201.3(c), must be 
sent to the Office as prescribed in Sec.201.1(c). The request must 
specifically address the grounds for denial of the initial request. Only 
one request for reconsideration will be considered per denial.
    (f) Requests for removal of extraneous PII from the public record. 
Upon written request, the Office will remove driver's license numbers, 
social security numbers, banking information, credit card information, 
and other extraneous PII that was erroneously included on a registration 
application from the public record. There is no fee for this service. To 
make a request, the author, claimant, or the authorized representative 
of the author or claimant, must submit the request in writing using the 
contact information listed in Sec.201.1(c). Such a request must name 
the author and/or claimant, provide the registration number(s) 
associated for the record in question, and give a description of the 
extraneous PII that is to be removed. Once the request is received, the 
Office will remove the extraneous information from both its online and 
offline public records. The Office will

[[Page 569]]

not include any notation of this action in its records.

[50 FR 30170, July 24, 1985, as amended at 51 FR 30062, Aug. 22, 1986; 
62 FR 35421, July 1, 1997; 64 FR 29520, June 1, 1999; 69 FR 39332, June 
30, 2004; 69 FR 70377, Dec. 6, 2004; 73 FR 37838, July 2, 2008; 78 FR 
42873, July 18, 2013; 82 FR 9007, Feb. 2, 2017; 82 FR 9355, Feb. 6, 
2017; 82 FR 21697, May 10, 2017; 85 FR 19667, Apr. 8, 2020]



Sec.201.3  Fees for registration, recordation, and related services,
special services, and services performed by the Licensing Division.

    (a) General. This section prescribes the fees for registration, 
recordation, and related services, special services, and services 
performed by the Licensing Division.
    (b) Definitions. For purposes of this section, the following 
definitions apply:
    (1) Registration, recordation, and related service fee. This is the 
fee for a registration or recordation service that the Office is 
required to perform under 17 U.S.C., or a directly related service. It 
includes those services described in section 708(a)(1)-(9) and 
authorized by Pub. L. 105-80.
    (2) Special service fee. This is a fee for a special service not 
specified in title 17, which the Register of Copyrights may fix at any 
time on the basis of the cost of providing the service, as provided by 
17 U.S.C. 708(a).
    (3) Licensing Division service fee. This is a fee for a service 
performed by the Licensing Division.
    (c) Registration, recordation, and related service fees. The 
Copyright Office has established fees for these services. To calculate 
the fee specified by paragraph (c)(20) of this section, for each work 
identified in a document: The first title and/or first registration 
number provided for that particular work constitutes a work; and each 
additional title and registration number provided for that particular 
work beyond the first constitutes an alternate identifier. The fees are 
as follows:

                        Table 1 to Paragraph (c)
------------------------------------------------------------------------
     Registration, recordation, and related services         Fees ($)
------------------------------------------------------------------------
(1) Registration of a claim in an original work of
 authorship:
    (i) Electronic filing:
        (A) Single author, same claimant, one work, not               45
         for hire.......................................
        (B) All other filings...........................              65
    (ii) Paper Filing (Forms PA, SR, TX, VA, SE, SR)....             125
(2) Registration of a claim in a group of contributions               85
 to periodicals.........................................
(3) Registration of updates or revisions to a database               500
 that predominantly consists of non-photographic works..
(4) Registration of a claim in a group of published                   55
 photographs or a claim in a group of unpublished
 photographs............................................
(5) Registration for a database that predominantly
 consists of photographs and updates thereto:
    (i) Electronic filing...............................             250
    (ii) Paper filing...................................             250
(6) Registration of a renewal claim (Form RE):
    (i) Claim without addendum..........................             125
    (ii) Addendum (in addition to the fee for the claim)             100
(7) Registration of a claim in a group of serials (per
 issue, minimum two issues):
    (i) Electronic filing...............................              35
    (ii) Paper filing...................................              70
(8) Registration of a claim in a group of newspapers or               95
 a group of newsletters.................................
(9) Registration of a group of works on an album........              65
(10) Registration of a claim in a group of unpublished                85
 works..................................................
(11) Registration of a claim in a group of short online               65
 literary works.........................................
(12) Registration of a claim in a restored copyright                 100
 (Form GATT)............................................
(13) Preregistration of certain unpublished works.......             200
(14) Registration of a correction or amplification to a
 claim:
    (i) Supplementary registration:
        (A) Electronic filing...........................             100
        (B) Paper Filing for correction or amplification             150
         of renewal registrations, GATT registrations,
         and group registrations for non-photographic
         databases (Form CA)............................
    (ii) Correction of a design registration: Form DC...             100
(15) Registration of a claim in a mask work (Form MW)...             150
(16) Registration of a claim in a vessel design (Form D/             500
 VH)....................................................
(17) Provision of an additional certificate of                        55
 registration...........................................
(18) Certification of other Copyright Office records,                200
 including search reports (per hour)....................
(19) Search report prepared from official records other              200
 than Licensing Division records (per hour, 2 hour
 minimum)...............................................
(20) Estimate of retrieval or search fee (credited to                200
 retrieval or search fee)...............................

[[Page 570]]

 
(21) Retrieval of in-process or completed Copyright
 Office records or other Copyright Office materials:
    (i) Retrieval of paper records (per hour, 1 hour                 200
     minimum)...........................................
    (ii) Retrieval of digital records (per hour, half                200
     hour minimum, quarter hour increments).............
(22) Recordation of a document, including a notice of
 termination and a notice of intention to enforce a
 restored copyright:
    (i) Base fee (includes 1 work identified by 1 title
     and/or registration number):
        (A) Paper.......................................             125
        (B) Electronic..................................              95
    (ii) Additional transfer (per transfer) (for                      95
     documents recorded under 17 U.S.C. 205)............
    (iii) Additional works and alternate identifiers:
        (A) Paper (per group of 10 or fewer additional                60
         works and alternate identifiers)...............
        (B) Electronic:
            (1) 1 to 50 additional works and alternate                60
             identifiers................................
            (2) 51 to 500 additional works and alternate             225
             identifiers................................
            (3) 501 to 1,000 additional works and                    390
             alternate identifiers......................
            (4) 1,001 to 10,000 additional works and                 555
             alternate identifiers......................
            (5) 10,001 or more additional works and                5,500
             alternate identifiers......................
    (iv) Correction of online Public Catalog data due to               7
     erroneous electronic title submission (per title)..
(23) Designation of agent under 17 U.S.C. 512(c)(2) to                 6
 receive notification of claimed infringement, or
 amendment or resubmission of designation...............
(24)(i) Schedule of pre-1972 sound recordings, or                     75
 supplemental schedule of pre-1972 sound recordings
 (single sound recording)...............................
    (ii) Additional sound recordings (per group of 1 to               10
     100 sound recordings)..............................
(25) Removal of pre-1972 sound recording from Office's                75
 database of indexed schedules (single sound recording).
(26) Notice of noncommercial use of pre-1972 sound                    50
 recording..............................................
(27) Opt-out notice of noncommercial use of pre-1972                  50
 sound recording........................................
(28) Issuance of a receipt for a section 407 deposit....              30
(29) Removal of PII from Registration Records:
    (i) Initial request, per registration record........             100
    (ii) Reconsideration of denied requests, flat fee...              60
------------------------------------------------------------------------

    (d) Special service fees. The Copyright Office has established the 
following fees for special services of the Office:

                        Table 1 to Paragraph (d)
------------------------------------------------------------------------
                    Special services                         Fees ($)
------------------------------------------------------------------------
(1) Service charge for deposit account overdraft........             285
(2) Service charge for dishonored deposit account                    500
 replenishment check....................................
(3) Service charge for an uncollectible or non-                      115
 negotiable payment.....................................
(4) Appeals:
    (i) First appeal (per claim)........................             350
    (ii) Second appeal (per claim)......................             700
(5) Secure test examining fee (per staff member per                  250
 hour)..................................................
(6) Copying of Copyright Office records by staff........              12
(7)(i) Special handling fee for a claim.................             800
    (ii) Handling fee for each non-special handling                   50
     claim using the same deposit.......................
(8) Special handling fee for recordation of a document..             550
(9) Handling fee for extra deposit copy for                           50
 certification..........................................
(10) Full-term retention of a published deposit:
    (i) Physical deposit................................             540
    (ii) Electronic deposit.............................             220
(11) Voluntary cancellation of registration.............             150
(12) Matching unidentified deposit to deposit ticket                  40
 claim..................................................
(13) Special handling fee for records retrieval, search,             500
 and certification services (per hour, 1 hour minimum)..
(14) Litigation statement (Form LS).....................             100
(15)(i) Notice to libraries and archives................              50
    (ii) Each additional title..........................              20
(16) Service charge for Federal Express mailing.........              45
(17) Service charge for delivery of documents via                      1
 facsimile (per page, 7 page maximum)...................
------------------------------------------------------------------------


[[Page 571]]

    (e) Licensing Division service fees. The Copyright Office has 
established the following fees for specific services of the Licensing 
Division:

                        Table 1 to Paragraph (e)
------------------------------------------------------------------------
               Licensing division services                   Fees ($)
------------------------------------------------------------------------
(1)(i) Recordation of a notice of intention to make and               75
 distribute phonorecords (17 U.S.C. 115)................
    (ii) Additional titles (per group of 1 to 10 titles)              20
     (paper filing).....................................
    (iii) Additional titles (per group of 1 to 100                    10
     titles) (online filing)............................
(2) Statement of account amendment (cable television                  50
 systems and satellite carriers, 17 U.S.C. 111 and 119;
 digital audio recording devices or media, 17 U.S.C.
 1003)..................................................
(3) Recordation of certain contracts by cable TV systems              50
 located outside the 48 contiguous states...............
(4) Initial or amended notice of digital transmission of              50
 sound recording (17 U.S.C. 112, 114)...................
(5) Processing of a statement of account based on
 secondary transmissions of primary transmissions
 pursuant to 17 U.S.C. 111:
    (i) Form SA1........................................              15
    (ii) Form SA2.......................................              20
    (iii) Form SA3......................................             725
(6) Processing of a statement of account based on                    725
 secondary transmissions of primary transmissions
 pursuant to 17 U.S.C. 119 or 122.......................
(7) Search report prepared from Licensing Division                   200
 records (per hour, 2 hour minimum).....................
------------------------------------------------------------------------

    (f) Fees for travel in connection with educational activities. For 
travel expenses in connection with Copyright Office educational 
activities when participation by Copyright Office personnel has been 
requested by another organization or person and that organization or 
person has agreed to pay such expenses, collection of the fee shall be 
subject to, and the amount of the fee shall be no greater than, the 
amount authorized under the Federal Travel Regulations found in Chapters 
300 through 304 of Title 41.

[64 FR 29520, June 1, 1999, as amended at 64 FR 36574, July 7, 1999; 65 
FR 39819, June 28, 2000; 67 FR 38005, May 31, 2002; 71 FR 31090, June 1, 
2006; 71 FR 46402, Aug. 14, 2006; 72 FR 33691, June 19, 2007; 74 FR 
12556, Mar. 25, 2009, 74 FR 32807, July 9, 2009; 77 FR 18705, Mar. 28, 
2012; 77 FR 18707, Mar. 28, 2012; 78 FR 71501, Nov. 29, 2013; 79 FR 
15918, Mar. 24, 2014; 79 FR 24334, Apr. 30, 2014; 79 FR 68623, Nov. 18, 
2014; 81 FR 75707, Nov. 1, 2016; 82 FR 9008, Feb. 2, 2017; 82 FR 9356, 
Feb. 6, 2017; 82 FR 26853, June 12, 2017; 82 FR 29413, June 29, 2017; 82 
FR 52223, Nov. 13, 2017; 83 FR 2547, Jan. 18, 2018; 83 FR 4146, Jan. 30, 
2018; 83 FR 52153, Oct. 16, 2018; 83 FR 61549, Nov. 30, 2018; 83 FR 
66628, Dec. 27, 2018; 84 FR 3697, Feb. 13, 2019; 84 FR 10684, Mar. 22, 
2019; 84 FR 14255, Apr. 9, 2019; 84 FR 20273, May 9, 2019; 85 FR 9386, 
Feb. 19, 2020; 85 FR 37346, June 22, 2020; 86 FR 10825, Feb. 23, 2021]

    Effective Date Note: At 86 FR 32641, June 22, 2021, Sec.201.3 was 
amended by
    a. Revising the section heading.
    b. In paragraphs (a) and (b)(3), removing ``Licensing Division'' 
from each place it appears and adding in its place ``Licensing 
Section''.
    c. Revising paragraph (c)(19).
    d. In paragraph (e):
    i. In the paragraph heading and introductory text, removing 
``Licensing Division'' and adding in its place ``Licensing Section''.
    ii. In the table, revising the heading for the first column and 
entry (7). These revisions are effective July 22, 2021. For the 
convenience of the user, the revised text is set forth as follows:



Sec.201.3  Fees for registration, recordation, and related services, 
          special services, and services performed by the Licensing 
          Section.

                                * * * * *

    (c) * * *

                        Table 1 to Paragraph (c)
------------------------------------------------------------------------
      Registration, recordation, and related services         Fees  ($)
------------------------------------------------------------------------
 
                              * * * * * * *
(19) Search report prepared from official records other              200
 than Licensing Section records (per hour, 2 hour minimum).

[[Page 572]]

 
 
                              * * * * * * *
------------------------------------------------------------------------

                                * * * * *

    (e) * * *

                        Table 1 to Paragraph (e)
------------------------------------------------------------------------
                 Licensing section services                   Fees  ($)
------------------------------------------------------------------------
 
                              * * * * * * *
(7) Search report prepared from Licensing Section records            200
 (per hour, 2 hour minimum)................................
------------------------------------------------------------------------

                                * * * * *



Sec.201.4  Recordation of transfers and other documents pertaining to copyright.

    (a) General. This section prescribes conditions for the recordation 
of transfers of copyright ownership and other documents pertaining to a 
copyright under 17 U.S.C. 205. Except as otherwise provided pursuant to 
paragraph (h) of this section, a document is eligible for recordation 
under this section if it meets the requirements of paragraph (d) of this 
section, if it is submitted in accordance with the submission procedure 
described in paragraph (e) of this section, and if it is accompanied by 
the fee specified in Sec.201.3(c). The date of recordation is the date 
when all of the elements required for recordation, including a proper 
document, fee, and any additional required information, are received in 
the Copyright Office. After recordation the document is returned to the 
sender with a certificate of recordation. The Office may reject any 
document submitted for recordation that fails to comply with 17 U.S.C. 
205, the requirements of this section, or any relevant instructions or 
guidance provided by the Office.
    (b) Documents not recordable under this section. This section does 
not govern the filing or recordation of the following documents:
    (1) Certain contracts entered into by cable systems located outside 
of the 48 contiguous States (17 U.S.C. 111(e); see Sec.201.12);
    (2) Notices of identity and signal carriage complement, and 
statements of account of cable systems and satellite carriers and for 
digital audio recording devices and media (17 U.S.C. 111(d), 119(b), and 
1003(c); see Sec. Sec.201.11, 201.17, 201.28);
    (3) Notices of use of sound recordings under statutory license and 
notices of intention to obtain a compulsory license to make and 
distribute phonorecords of nondramatic musical works (17 U.S.C. 112(e), 
114, and 115(b); see Sec. Sec.201.18 and 370.2);
    (4) Notices of termination (17 U.S.C. 203, 304(c) and (d); see Sec.
201.10);
    (5) Statements regarding the identity of authors of anonymous and 
pseudonymous works, and statements relating to the death of authors (17 
U.S.C. 302);
    (6) Documents pertaining to computer shareware and donation of 
public domain software (Pub. L. 101-650, sec. 805; see Sec.201.26);
    (7) Notifications from the clerks of the courts of the United States 
concerning actions brought under title 17, United States Code (17 U.S.C. 
508);
    (8) Notices to libraries and archives of normal commercial 
exploitation or availability at reasonable prices (17 U.S.C. 
108(h)(2)(C); see Sec.201.39);
    (9) Submission of Visual Arts Registry Statements (17 U.S.C. 113; 
see Sec.201.25);
    (10) Notices and correction notices of intent to enforce restored 
copyrights (17 U.S.C. 104A(e); see Sec. Sec.201.33, 201.34);

[[Page 573]]

    (11) Designations of agents to receive notifications of claimed 
infringement (17 U.S.C. 512(c)(2); see Sec.201.38);
    (12) Notices of contact information for transmitting entities 
publicly performing pre-1972 sound recordings by means of digital audio 
transmission (17 U.S.C. 1401(f)(5)(B); see Sec.201.36);
    (13) Schedules of pre-1972 sound recordings (17 U.S.C. 
1401(f)(5)(A); see Sec.201.35);
    (14) Notices of noncommercial use of pre-1972 sound recordings (17 
U.S.C. 1401(c)(1)(B); see Sec.201.37); and
    (15) Opt-out notices of noncommercial use of pre-1972 sound 
recordings (17 U.S.C. 1401(c)(1)(C); see Sec.201.37).
    (c) Definitions. For purposes of this section:
    (1) A transfer of copyright ownership has the meaning set forth in 
17 U.S.C. 101.
    (2) A document pertaining to a copyright is any document that has a 
direct or indirect relationship to the existence, scope, duration, or 
identification of a copyright, or to the ownership, division, 
allocation, licensing, or exercise of rights under a copyright. That 
relationship may be past, present, future, or potential.
    (3) An actual signature is any legally binding signature, including 
an electronic signature as defined in 15 U.S.C. 7006.
    (4) A sworn certification is a statement made in accordance with 28 
U.S.C. 1746 that the copy of the document submitted for recordation is, 
to the best of the certifier's knowledge, a true copy of the original, 
signed document. A sworn certification must be signed by one of the 
parties to the signed document, a successor-in-interest to one of the 
parties to the signed document, or the authorized representative of such 
a party or successor. Authorized representatives must state who they 
represent and successors-in-interest must describe their relationship to 
the document or the original parties to the document. An authorized 
representative of a successor-in-interest must describe the successor's 
relationship to the document or the original parties to the document. A 
sworn certification may be signed electronically.
    (5) An official certification is a certification, by the appropriate 
governmental official, that the original of the document is on file in a 
public office and that the copy of the document submitted for 
recordation is a true copy of the original. An official certification 
may be signed electronically.
    (d) Document requirements--(1) Original or certified copy. The 
remitter must submit either the original document that bears the actual 
signature(s) of the person(s) who executed it, or a copy of the 
original, signed document accompanied by a sworn certification or an 
official certification. Each document submitted for recordation must be 
certified to either have the actual signature(s) (if it is an original 
document) or reproduce the actual signature(s) (in the case of a copy of 
the original document). All documents lacking a handwritten, wet 
signature (including all documents bearing an electronic signature) are 
considered to be copies of the original, signed document, and must be 
accompanied by a sworn certification or an official certification. Where 
an actual signature on the relevant document is not a handwritten or 
typewritten name, such as when an individual clicks a button on a Web 
site or application to indicate agreement to contractual terms, the 
remitter must submit a description of the nature of the signature and 
documentation evidencing the existence of the signature (e.g., a 
database entry or confirmation email showing that a particular user 
agreed to the terms by clicking ``yes'' on a particular date). Where 
such description and evidence are provided, the Office will make them 
available for public inspection and may presume that the signature 
requirement for recordation has been satisfied, without prejudice to any 
party claiming otherwise, including before a court of competent 
jurisdiction.
    (2) Completeness. Each document submitted for recordation must be, 
and be certified to be, complete by its terms, but need only include 
referenced schedules, appendices, exhibits, addenda, or other material 
essential to understanding the copyright-related aspects of the 
document.
    (3) Legibility. Each document submitted for recordation must be, and 
be certified to be, legible.

[[Page 574]]

    (4) Redactions. The Office will accept and make available for public 
inspection redacted documents certified to be redacted in accordance 
with this paragraph (d)(4), provided that all of the following 
conditions are satisfied:
    (i) The redactions must be limited to financial terms, trade secret 
information, Social Security or taxpayer-identification numbers, and 
financial account numbers. Additional types of information may be 
redacted on a case-by-case basis if the need for any such redactions is 
justified to the Office in writing and approved by the Office; such 
written requests should be included in the remitter's recordation 
submission to the Office.
    (ii) The blank or blocked-out portions of the document must be 
labeled ``redacted'' or the equivalent.
    (iii) Each portion of the document required by paragraph (d)(2) of 
this section must be included.
    (5) English language requirement. The Office will accept and record 
non-English language documents and indexing information only if 
accompanied by an English translation that is either signed by the 
individual making the translation or, if a publicly available commercial 
or consumer translation software product or automated service is used, 
by the individual using such product or service and accompanied by the 
name of the product or service. All translations will be made available 
for public inspection and may be redacted in accordance with paragraph 
(d)(4) of this section.
    (e) Paper submission procedure--(1) Process. A document may be 
submitted for recordation by sending it to the appropriate address in 
Sec.201.1(b) or to such other address as the Office may specify, 
accompanied by a cover sheet, the proper fee, and, if applicable, any 
electronic title list. Absent special arrangement with the Office, the 
Office reserves the right to not process the submission unless all of 
the items necessary for processing are received together.
    (2) Cover sheet required. Submission of a document must include a 
completed Recordation Document Cover Sheet (Form DCS), available on the 
Copyright Office Web site. Remitters must follow all instructions 
provided by the Office in completing Form DCS, including by providing 
all requested indexing information. Form DCS may be used to provide a 
sworn certification, if appropriate, and to make any of the other 
certifications required by this section. Form DCS will not be considered 
part of the recorded document, but will be used by the Office for 
examination, indexing, and other administrative purposes. The Office may 
reject any document submitted for recordation that includes an 
improperly prepared cover sheet.
    (3) Electronic title list. (i) In addition to identifying the works 
to which a document pertains in the paper submission, the remitter may 
also submit an electronic list setting forth each such work. The 
electronic list will not be considered part of the recorded document, 
but will be used by the Office for indexing purposes. Absent special 
arrangement with the Office, the electronic list must be included in the 
same package as the paper document to be recorded. The electronic list 
must be prepared and submitted to the Office in the manner specified by 
the Copyright Office in instructions made available on its Web site. The 
Office may reject any document submitted for recordation that includes 
an improperly prepared electronic title list.
    (ii) If a remitter of a recorded document finds that an error or 
omission in an electronic title list has led to the inaccurate indexing 
of the document in the public catalog, the remitter may request that the 
record be corrected by following the instructions provided by the Office 
on its Web site. Upon receipt of a properly prepared corrective filing 
and the appropriate fee, the Office will proceed to correct the 
information in the public catalog, and will make a note in the record 
indicating that the corrections were made and the date they were made.
    (4) Return receipt. If a remitter includes two copies of a properly 
completed Form DCS indicating that a return receipt is requested, as 
well as a self-addressed, postage-paid envelope, the remitter will 
receive a date-stamped return receipt attached to the extra copy 
acknowledging the Copyright Office's receipt of the enclosed submission. 
The completed copies of

[[Page 575]]

Form DCS and the self-addressed, postage-paid envelope must be included 
in the same package as the submitted document. A return receipt confirms 
the Office's receipt of the submission as of the date indicated, but 
does not establish eligibility for, or the date of, recordation.
    (5) Remitter certification. The remitter must certify that he or she 
has appropriate authority to submit the document for recordation and 
that all information submitted to the Office by the remitter is true, 
accurate, and complete to the best of the remitter's knowledge.
    (f) Reliance on remitter-provided information. The Copyright Office 
will rely on the certifications submitted with a document and the 
information provided by the remitter on Form DCS and, if provided, in an 
accompanying electronic title list. The Office will not necessarily 
confirm the accuracy of such certifications or information against the 
submitted document.
    (g) Effect of recordation. The fact that the Office has recorded a 
document is not a determination by the Office of the document's validity 
or legal effect. Recordation of a document by the Copyright Office is 
without prejudice to any party claiming that the legal or formal 
requirements for recordation have not been met, including before a court 
of competent jurisdiction.
    (h) Pilot program for electronic submission. The Copyright Office is 
implementing a limited pilot program through which certain types of 
documents may be electronically submitted for recordation online by 
certain remitters (``pilot remitters''). This paragraph (h) shall govern 
such submissions to the extent they are permitted under the pilot 
program.
    (1) Electronic submission. Pilot remitters may submit permitted 
types of documents for recordation using the Copyright Office's 
electronic system pursuant to this section and special pilot program 
rules provided to pilot remitters by the Office.
    (2) Participation. No remitter may participate in the pilot program 
without the permission of the Copyright Office. Participation in the 
pilot program is optional and pilot remitters may continue to submit 
documents for recordation pursuant to paragraph (e) of this section.
    (3) Conflicting rules. To the extent any special pilot program rule 
conflicts with this section or any other regulation, rule, instruction, 
or guidance issued by the Copyright Office, such pilot program rule 
shall govern submissions made pursuant to the pilot program.
    (4) Reliance on remitter-provided information. Paragraph (f) of this 
section shall apply to all certifications and information provided to 
the Office through the electronic system.
    (5) Date of recordation. In any situation where the date of 
recordation for a submission cannot be established or, if established, 
would ordinarily be changed, if due to an issue with the electronic 
system, the Office may assign an equitable date as the date of 
recordation.

[82 FR 52219, Nov. 13, 2017, as amended at 83 FR 52153, Oct. 16, 2018; 
84 FR 14255, Apr. 9, 2019; 85 FR 3855, Jan. 23, 2020]



Sec.201.5  [Reserved]



Sec.201.6  Payment and refund of Copyright Office fees.

    (a) In general. All fees sent to the Copyright Office should be in 
the form of a money order, check or bank draft payable to the U.S. 
Copyright Office. Coin or currency sent to the Office in letters or 
packages will be at the remitter's risk. Remittances from foreign 
countries should be in the form of an International Money Order or Bank 
Draft payable and immediately negotiable in the United States for the 
full amount of the fee required. Uncertified checks are accepted subject 
to collection. Where the statutory fee is submitted in the form of a 
check, the registration of the copyright claim or other record made by 
the Office is provisional until payment in money is received. In the 
event the fee is not paid, the registration or other record shall be 
expunged.
    (b) Deposit accounts. (1) Persons or firms having 12 or more 
transactions a year with the Copyright Office may prepay copyright 
expenses by establishing a Deposit Account. The Office and the Deposit 
Account holder will cooperatively determine an appropriate

[[Page 576]]

minimum balance for the Deposit Account which, in no case, can be less 
than $450, and the Office will automatically notify the Deposit Account 
holder when the account goes below that balance.
    (2) The Copyright Office will close a Deposit Account the second 
time the Deposit Account holder overdraws his or her account within any 
12-month period. An account closed for this reason can be re-opened only 
if the holder elects to fund it through automatic replenishment.
    (3) In order to ensure that a Deposit Account's funds are 
sufficiently maintained, a Deposit Account holder may authorize the 
Copyright Office to automatically replenish the account from the 
holder's bank account or credit card. The amount by which a Deposit 
Account will be replenished will be determined by the deposit account 
holder. Automatic replenishment will be triggered when the Deposit 
Account goes below the minimum level of funding established pursuant to 
paragraph (b)(1) of this section, and Deposit Account holders will be 
automatically notified that their accounts will be replenished.
    (c) Refunds. (1) Money remitted to the Copyright Office for basic, 
supplementary or renewal registration, including mask works and vessel 
designs, will not be refunded if the claim is rejected because the 
material deposited does not constitute copyrightable subject matter or 
because the claim is invalid for any other reason. Payments made by 
mistake or in excess of the fee will be refunded, but amounts of $50 or 
less will not be refunded unless specifically requested. Except for 
services specified in paragraphs (c)(2) and (3) of this section, before 
making any refund for fees remitted in relation to non-registration 
copyright services, the Copyright Office shall deduct an administrative 
processing fee in an amount equivalent to one hour of the requested 
service, or the minimum charge for the service.
    (2) In instances where money has been remitted to pay for 
recordation of a document, and it is determined that the document cannot 
be recorded, the basic recordation fee covering one title will be 
retained as a filing fee. Any additional money over the basic fee for 
one title will be refunded, but amounts of $50 or less will not be 
refunded unless specifically requested.
    (3) For services where fees are calculated on an hourly basis, such 
as preparation of a search report, certification of certain Copyright 
Office records, or location and retrieval of records, in instances where 
the request is withdrawn before work is begun by the staff member 
responsible for providing the service, the Copyright Office will retain 
half of the hourly charge for administrative expenses, and refund the 
remaining portion of the fee subject to paragraph (c)(1) of this 
section. In addition, the fee for an estimate of a search fee is non-
refundable. This policy applies to requests to the Records Research and 
Certification Section, and requests to the Licensing Division.
    (d) Return of deposit copies. Copies of works deposited in the 
Copyright Office pursuant to law are either retained in the Copyright 
Office, transferred for use in the permanent collections or other uses 
of the Library of Congress, or disposed of according to law. When an 
application is rejected, the Copyright Office reserves the right to 
retain the deposited copies.

(17 U.S.C. 702, 708(c))

[24 FR 4955, June 18, 1959, as amended at 46 FR 25442, May 7, 1981; 56 
FR 7813, Feb. 26, 1991; 59 FR 38371, July 28, 1994; 74 FR 32809, July 9, 
2009; 76 FR 9231, Feb. 17, 2011; 82 FR 9356, Feb. 6, 2017]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.
201.6(c)(3) was amended by removing ``Licensing Division'' and adding in 
its place ``Licensing Section'', effective July 22, 2021.



Sec.201.7  Cancellation of completed registrations.

    (a) Definition. Cancellation is an action taken by the Copyright 
Office whereby either the registration is eliminated on the ground that 
the registration is invalid under the applicable law and regulations, or 
the registration number is eliminated and a new registration is made 
under a different class and number.
    (b) General policy. The Copyright Office will cancel a completed 
registration only in those cases where:

[[Page 577]]

    (1) It is clear that no registration should have been made because 
the work does not constitute copyrightable subject matter or fails to 
satisfy the other legal and formal requirements for obtaining copyright;
    (2) Registration may be authorized but the application, deposit 
material, or fee does not meet the requirements of the law and Copyright 
Office regulations, and the Office is unable to get the defect 
corrected; or
    (3) An existing registration in the wrong class is to be replaced by 
a new registration in the correct class.
    (c) Circumstances under which a registration will be cancelled. (1) 
Where the Copyright Office becomes aware after registration that a work 
is not copyrightable, either because the authorship is insufficiently 
creative or the work does not contain authorship subject to copyright, 
the registration will be cancelled. The copyright claimant will be 
notified by correspondence of the proposed cancellation and the reasons 
therefor, and be given 30 days, from the date the Copyright Office 
letter is sent, to show cause in writing why the cancellation should not 
be made. If the claimant fails to respond within the 30 day period, or 
if the Office after considering the response, determines that the 
registration was made in error and not in accordance with U.S. copyright 
law, the registration will be cancelled.
    (2) When a check received in payment of a registration fee is 
returned to the Copyright Office marked ``insufficient funds'' or is 
otherwise uncollectible the Copyright Office will immediately cancel any 
registration(s) for which the dishonored check was submitted and will 
notify the applicant the registration has been cancelled because the 
check was returned as uncollectible.
    (3) Where registration is made in the wrong class, the Copyright 
Office will cancel the first registration, replace it with a new 
registration in the correct class, and issue a corrected certificate.
    (4) Where registration has been made for a work which appears to be 
copyrightable but after registration the Copyright Office becomes aware 
that, on the administrative record before the Office, the statutory 
requirements have apparently not been satisfied, or that information 
essential to registration has been omitted entirely from the application 
or is questionable, or correct deposit material has not been deposited, 
the Office will correspond with the copyright claimant in an attempt to 
secure the required information or deposit material or to clarify the 
information previously given on the application. If the Copyright Office 
receives no reply to its correspondence within 30 days of the date the 
letter is sent, or the response does not resolve the substantive defect, 
the registration will be cancelled. The correspondence will include the 
reason for the cancellation. The following are examples of instances 
where a completed registration will be cancelled unless the substantive 
defect in the registration can be cured:
    (i) Eligibility for registration has not been established.
    (ii) A work published before March 1, 1989 was registered more than 
5 years after the date of first publication and the deposit copy or 
phonorecord does not contain a statutory copyright notice.
    (iii) The deposit copies or phonorecords of a work published before 
January 1, 1978 do not contain a copyright notice or the notice is 
defective.
    (iv) A renewal claim was registered after the statutory time limits 
for registration had apparently expired.
    (v) The application and copy(s) or phonorecord(s) do not match each 
other and the Office cannot locate a copy or phonorecord as described in 
the application elsewhere in the Copyright Office or the Library of 
Congress.
    (vi) The application for registration does not identify a copyright 
claimant or it appears from the transfer statement on the application or 
elsewhere that the ``claimant'' named in the application does not have 
the right to claim copyright.
    (vii) A claim to copyright is based on material added to a 
preexisting work and a reading of the application in its totality 
indicates that there is no copyrightable new material on which to base a 
claim.
    (viii) A work subject to the manufacturing provisions of the Act of 
1909 was

[[Page 578]]

apparently published in violation of those provisions.
    (ix) A work is not anonymous or pseudonymous and statements on the 
application and/or copy vary so much that the author cannot be 
identified.
    (x) Statements on the application conflict or are so unclear that 
the claimant cannot be adequately identified.
    (xi) The requirements for registering a group of related works under 
section 408(c) of title 17 of the United States Code have not been met.
    (d) Minor substantive errors. Where a registration includes minor 
substantive errors or omissions which would generally have been 
rectified before registration, the Copyright Office will attempt to 
rectify the error through correspondence with the applicant. Except in 
those cases enumerated in paragraph (c) of this section, if the Office 
is unable for any reason to obtain the correct information or deposit 
copy, the registration record will be annotated to state the nature of 
the informality and show that the Copyright Office attempted to correct 
the registration.

[50 FR 40835, Oct. 7, 1985, as amended at 60 FR 34168, June 30, 1995; 65 
FR 39819, June 28, 2000; 66 FR 34372, June 28, 2001; 82 FR 9356, Feb. 6, 
2017; 82 FR 29413, June 29, 2017; 85 FR 19667, Apr. 8, 2020]



Sec.201.8  Disruption of postal or other transportation or
communication services.

    (a) Declaration of disruption. For purposes of 17 U.S.C. 709, when 
the Register has determined that there is or has been a general 
disruption or suspension of postal or other transportation or 
communications services, including a disruption or suspension of a 
Copyright Office electronic system, that has delayed the receipt by the 
Copyright Office of applications, fees, deposits, or any other 
materials, the Register shall publish an announcement of that 
determination, stating the date on which the disruption or suspension 
commenced. The announcement may, if appropriate, limit the means of 
delivery that are subject to relief pursuant to section 709. Following 
the cessation of the disruption or suspension of services, the Register 
shall publish an announcement stating the date on which the disruption 
or suspension has terminated, and may provide specific instructions on 
how to make a request under paragraph (b)(1) of this section.
    (b) Request for earlier filing date due to disruption--(1) When the 
Register has declared a disruption. When the Register has made a 
declaration of disruption under paragraph (a) of this section, any 
person who, in compliance with any instructions provided by the 
Register, provides satisfactory evidence as described in paragraph (e) 
of this section that he or she attempted to deliver an application, fee, 
deposit, or other material to the Copyright Office, but that receipt by 
the Copyright Office was delayed due to a general disruption or 
suspension of postal or other transportation or communications services 
announced under paragraph (a), shall be assigned, as the date of receipt 
of the application, fee, deposit, or other material, the date on which 
the Register determines the material would have been received but for 
the disruption or suspension of services, so long as the application, 
fee, deposit, or other material was actually received in the Copyright 
Office within one month after the date the Register identifies pursuant 
to paragraph (a) of this section that disruption or suspension of 
services has terminated. Such requests should be mailed to the address 
specified in Sec.201.1(c)(1), or through any other delivery method the 
Register specifies in a published announcement under paragraph (a) of 
this section.

[[Page 579]]

    (2) With respect to disruption affecting specific submission. In the 
absence of a declaration of disruption under paragraph (a) of this 
section, any person who provides satisfactory evidence as described in 
paragraph (e) of this section that he or she physically delivered or 
attempted to physically deliver an application, fee, deposit, or other 
material to the Copyright Office, but that the Office did not receive 
that material or that it was lost or misplaced by the Office after its 
delivery to the Office, shall be assigned, as the date of receipt, the 
date that the Register determines that the material was received or 
would have been received. Such requests may be mailed to the address 
specified in Sec.201.1(c)(1), or through any other delivery method 
specified by the Copyright Office.
    (c) Timing. (1) A request under paragraph (b)(1) of this section 
shall be made no earlier than the date on which the Register publishes 
the announcement under paragraph (a) of this section declaring that the 
disruption or suspension has terminated, and no later than one year 
after the publication of that announcement.
    (2) A request under paragraph (b)(2) of this section shall be made 
no later than one year after the person physically delivered or 
attempted to physically deliver the application, fee, deposit, or other 
material to the Copyright Office.
    (d) Return of certificate. In cases where a certificate of 
registration or a certificate of recordation has already been issued, 
the original certificate must be returned to the Copyright Office along 
with the request under paragraph (b) of this section.
    (e) Satisfactory evidence. In all cases the Register shall have 
discretion in determining whether materials submitted with a request 
under paragraph (b) of this section constitute satisfactory evidence. 
For purposes of paragraph (b) of this section, satisfactory evidence may 
include:
    (1) A receipt from the United States Postal Service indicating the 
date on which the United States Postal Service received material for 
delivery to the Copyright Office by means of first class mail, Priority 
Mail, or Express Mail;
    (2) A receipt from a delivery service such as, or comparable to, 
United Parcel Service, Federal Express, or Airborne Express, indicating 
the date on which the delivery service received material for delivery to 
the Copyright Office; and
    (i) The date on which delivery was to be made to the Copyright 
Office, or
    (ii) The period of time (e.g., overnight, or two days) from receipt 
by the delivery service to the date on which delivery was to be made to 
the Copyright Office;
    (3) A statement under penalty of perjury, pursuant to 28 U.S.C. 
1746, from a person with actual knowledge of the facts relating to the 
attempt to deliver the material to the Copyright Office, setting forth 
with particularity facts which satisfy the Register that in the absence 
of the general disruption or suspension of postal or other 
transportation or communications services, including a disruption or 
suspension of a Copyright Office electronic system, or but for the 
misdelivery, misplacement, or loss of materials sent to the Copyright 
Office, the material would have been received by the Copyright Office by 
a particular date; or
    (4) Other documentary evidence which the Register deems equivalent 
to the evidence set forth in paragraphs (e)(1) and (2) of this section.
    (f) Presumption of receipt. For purposes of paragraph (b) of this 
section, the Register shall presume that but for the general disruption 
or suspension of postal or other transportation or communications 
services, including a disruption or suspension of a Copyright Office 
electronic system, or but for the misdelivery, misplacement, or loss of 
materials sent to the Copyright Office:
    (1) Materials deposited with the United States Postal Service for 
delivery by means of first class mail would have been received in the 
Copyright Office seven days after deposit with the United States Postal 
Service;
    (2) Materials deposited with the United States Postal Service for 
delivery by means of Priority Mail would have been received in the 
Copyright Office three days after deposit with the United States Postal 
Service;

[[Page 580]]

    (3) Materials deposited with the United States Postal Service for 
delivery by means of Express Mail would have been received in the 
Copyright Office one day after deposit with the United States Postal 
Service;
    (4) Materials deposited with a delivery service such as, or 
comparable to, United Parcel Service, Federal Express, or Airborne 
Express, would have been received in the Copyright Office on the date 
indicated on the receipt from the delivery service;
    (5) Materials submitted or attempted to be submitted through a 
Copyright Office electronic system would have been received in the 
Copyright Office on the date the attempt was made. If it is unclear when 
an attempt was made, the Register will determine the effective date of 
receipt on a case-by-case basis.

[66 FR 62944, Dec. 4, 2001; 66 FR 63920, Dec. 11, 2001; 73 FR 37838, 
July 2, 2008; 78 FR 42874, July 18, 2013; 82 FR 9356, Feb. 6, 2017; 82 
FR 22887, May 19, 2017]



Sec.201.9  [Reserved]



Sec.201.10  Notices of termination of transfers and licenses.

    This section covers notices of termination of transfers and licenses 
under 17 U.S.C. 203, 304(c), and 304(d). A termination under section 
304(d) is possible only if no termination was made under section 304(c), 
and federal copyright was originally secured on or between January 1, 
1923, and October 26, 1939.
    (a) Form. The Copyright Office does not provide printed forms for 
the use of persons serving notices of termination.
    (b) Contents. (1) A notice of termination covering the extended 
renewal term under 17 U.S.C. 304(c) and 304(d) must include a clear 
identification of each of the following:
    (i) Whether the termination is made under section 304(c) or under 
section 304(d);
    (ii) The name of each grantee whose rights are being terminated, or 
the grantee's successor in title, and each address at which service of 
the notice is being made;
    (iii) The title and the name of at least one author of, and the date 
copyright was originally secured in, each work to which the notice of 
termination applies; and, if possible and practicable, the original 
copyright registration number;
    (iv) A brief statement reasonably identifying the grant to which the 
notice of termination applies;
    (v) The effective date of termination;
    (vi) If termination is made under section 304(d), a statement that 
termination of renewal term rights under section 304(c) has not been 
previously exercised; and
    (vii) In the case of a termination of a grant executed by a person 
or persons other than the author, a listing of the surviving person or 
persons who executed the grant. In the case of a termination of a grant 
executed by one or more of the authors of the work where the termination 
is exercised by the successors of a deceased author, a listing of the 
names and relationships to that deceased author of all of the following, 
together with specific indication of the person or persons executing the 
notice who constitute more than one-half of that author's termination 
interest: That author's surviving widow or widower; and all of that 
author's surviving children; and, where any of that author's children 
are dead, all of the surviving children of any such deceased child of 
that author; however, instead of the information required by this 
paragraph (vii), the notice may contain both of the following:
    (A) A statement of as much of such information as is currently 
available to the person or persons signing the notice, with a brief 
explanation of the reasons why full information is or may be lacking; 
together with
    (B) A statement that, to the best knowledge and belief of the person 
or persons signing the notice, the notice has been signed by all persons 
whose signature is necessary to terminate the grant under 17 U.S.C. 304, 
or by their duly authorized agents.
    (2) A notice of termination of an exclusive or nonexclusive grant of 
a transfer or license of copyright or of any right under a copyright, 
executed by the author on or after January 1, 1978, under 17 U.S.C. 203, 
must include a clear identification of each of the following:
    (i) A statement that the termination is made under section 203;

[[Page 581]]

    (ii) The name of each grantee whose rights are being terminated, or 
the grantee's successor in title, and each address at which service of 
the notice is being made;
    (iii) The date of execution of the grant being terminated and, if 
the grant covered the right of publication of a work, the date of 
publication of the work under the grant;
    (iv) For each work to which the notice of termination applies, the 
title of the work and the name of the author or, in the case of a joint 
work, the authors who executed the grant being terminated; and, if 
possible and practicable, the original copyright registration number;
    (v) A brief statement reasonably identifying the grant to which the 
notice of termination applies;
    (vi) The effective date of termination; and
    (vii) In the case of a termination of a grant executed by one or 
more of the authors of the work where the termination is exercised by 
the successors of a deceased author, a listing of the names and 
relationships to that deceased author of all of the following, together 
with specific indication of the person or persons executing the notice 
who constitute more than one-half of that author's termination interest: 
That author's surviving widow or widower; and all of that author's 
surviving children; and, where any of that author's children are dead, 
all of the surviving children of any such deceased child of that author; 
however, instead of the information required by this paragraph 
(b)(2)(vii), the notice may contain both of the following:
    (A) A statement of as much of such information as is currently 
available to the person or persons signing the notice, with a brief 
explanation of the reasons why full information is or may be lacking; 
together with
    (B) A statement that, to the best knowledge and belief of the person 
or persons signing the notice, the notice has been signed by all persons 
whose signature is necessary to terminate the grant under 17 U.S.C. 203, 
or by their duly authorized agents.
    (3) Clear identification of the information specified by paragraphs 
(b)(1) and (b)(2) of this section requires a complete and unambiguous 
statement of facts in the notice itself, without incorporation by 
reference of information in other documents or records.
    (c) Signature. (1) In the case of a termination of a grant under 
section 304(c) or section 304(d) executed by a person or persons other 
than the author, the notice shall be signed by all of the surviving 
person or persons who executed the grant, or by their duly authorized 
agents.
    (2) In the case of a termination of a grant under section 304(c) or 
section 304(d) executed by one or more of the authors of the work, the 
notice as to any one author's share shall be signed by that author or by 
his or her duly authorized agent. If that author is dead, the notice 
shall be signed by the number and proportion of the owners of that 
author's termination interest required under 17 U.S.C. 304(c) or 304(d), 
whichever applies, or by their duly authorized agents, and shall contain 
a brief statement of their relationship or relationships to that author.
    (3) In the case of a termination of a grant under section 203 
executed by one or more of the authors of the work, the notice shall be 
signed by each author who is terminating the grant or by his or her duly 
authorized agent. If that author is dead, the notice shall be signed by 
the number and proportion of the owners of that author's termination 
interest required under 17 U.S.C. 203, or by their duly authorized 
agents, and shall contain a brief statement of their relationship or 
relationships to that author.
    (4) Where a signature is by a duly authorized agent, it shall 
clearly identify the person or persons on whose behalf the agent is 
acting.
    (5) The handwritten signature of each person effecting the 
termination shall either be accompanied by a statement of the full name 
and address of that person, typewritten or printed legibly by hand, or 
shall clearly correspond to such a statement elsewhere in the notice.
    (d) Service. (1) The notice of termination shall be served upon each 
grantee whose rights are being terminated, or the grantee's successor in 
title, by:
    (i) Personal service;

[[Page 582]]

    (ii) First class mail sent or by reputable courier service delivered 
to an address which, after a reasonable investigation, is found to be 
the last known address of the grantee or successor in title; or
    (iii) Means of electronic transmission to:
    (A) An email address designated for service of notices of 
termination and/or legal process that is listed as such on the website 
of the grantee or successor in title in a location accessible to the 
public;
    (B) An email address provided to the terminating party by the 
grantee or successor in title, provided that the grantee, successor in 
title, or an agent thereof who is duly authorized to accept service on 
behalf of the grantee or successor in title expressly consents in 
writing to accept service at the address provided within thirty days 
before such service is made; or
    (C) An email address for the grantee or successor in title provided 
in accordance with instructions provided on the Office's website in a 
public directory that the Office in its discretion may establish and 
maintain.
    (2) The service provision of 17 U.S.C. 203, 304(c), or 304(d), 
whichever applies, will be satisfied if, before the notice of 
termination is served, a reasonable investigation is made by the person 
or persons executing the notice as to the current ownership of the 
rights being terminated, and based on such investigation:
    (i) If there is no reason to believe that such rights have been 
transferred by the grantee to a successor in title, the notice is served 
on the grantee; or
    (ii) If there is reason to believe that such rights have been 
transferred by the grantee to a particular successor in title, the 
notice is served on such successor in title.
    (3) For purposes of paragraph (d)(2) of this section, a reasonable 
investigation includes, but is not limited to, a search of the records 
in the Copyright Office; in the case of a musical composition with 
respect to which performing rights are licensed by a performing rights 
society, a reasonable investigation also includes a report from that 
performing rights society identifying the person or persons claiming 
current ownership of the rights being terminated.
    (4) Compliance with the provisions of paragraphs (d)(2) and (d)(3) 
of this section will satisfy the service requirements of 17 U.S.C. 203, 
304(c), or 304(d), whichever applies. However, as long as the statutory 
requirements have been met, the failure to comply with the regulatory 
provisions of paragraph (d)(2) or (d)(3) of this section will not affect 
the validity of the service.
    (e) Harmless errors. (1) Harmless errors in a notice, statement of 
service, or indexing information provided electronically or in a cover 
sheet shall not render the notice invalid. For purposes of this 
paragraph, an error is ``harmless'' if it does not materially affect the 
adequacy of the information required to serve the purposes of 17 U.S.C. 
203, 304(c), or 304(d), whichever applies.
    (2) Without prejudice to the general rule provided by paragraph 
(e)(1) of this section, errors made in giving the date or registration 
number referred to in paragraph (b)(1)(iii), (b)(2)(iii), or (b)(2)(iv) 
of this section, or in complying with the provisions of paragraph 
(b)(1)(vii) or (b)(2)(vii) of this section, or in describing the precise 
relationships under paragraph (c)(2) or (c)(3) of this section, shall 
not affect the validity of the notice if the errors were made in good 
faith and without any intention to deceive, mislead, or conceal relevant 
information.
    (f) Recordation. Except as otherwise provided pursuant to paragraph 
(f)(6) of this section, a copy of a notice of termination shall be 
recorded in the Copyright Office as required by 17 U.S.C. 203(a)(4)(A), 
17 U.S.C. 304(c)(4)(A), or 17 U.S.C. 304(d)(1) if it meets the 
requirements of paragraph (f)(1) of this section, is submitted in 
compliance with paragraph (f)(2) of this section, and is accompanied by 
the fee specified in Sec.201.3(c). The Office may reject any notice 
submitted for recordation that fails to comply with 17 U.S.C. 203(a), 17 
U.S.C. 304(c), 17 U.S.C. 304(d), the requirements of this section, or 
any relevant instructions or guidance provided by the Office.
    (1) Requirements. The following requirements must be met before a 
copy

[[Page 583]]

of a notice of termination may be recorded in the Copyright Office.
    (i) What must be submitted--(A) Copy of notice of termination. A 
copy of a notice of termination submitted for recordation must be, and 
be certified to be, a true, correct, complete, and legible copy of the 
signed notice of termination as served. Where separate copies of the 
same notice were served on more than one grantee or successor-in-title, 
only one copy need be submitted for recordation.
    (B) Statement of service. The copy submitted for recordation must be 
accompanied by a statement setting forth the date on which the notice 
was served and the manner of service, unless such information is 
contained in the notice. In instances where service is made by first 
class mail, the date of service shall be the day the notice of 
termination was deposited with the United States Postal Service.
    (ii) Timeliness. (A) The Copyright Office may refuse recordation of 
a notice of termination as such if, in the judgment of the Copyright 
Office, such notice of termination is untimely. Conditions under which a 
notice of termination may be considered untimely include: the effective 
date of termination does not fall within the five-year period described 
in section 203(a)(3) or section 304(c)(3), as applicable, of title 17, 
United States Code; the documents submitted indicate that the notice of 
termination was served less than two or more than ten years before the 
effective date of termination; or the date of recordation is on or after 
the effective date of termination.
    (B) If a notice of termination is untimely, the Office will offer to 
record the document as a ``document pertaining to a copyright'' pursuant 
to Sec.201.4, but the Office will not index the document as a notice 
of termination.
    (C) In any case where an author agreed, prior to January 1, 1978, to 
a grant of a transfer or license of rights in a work that was not 
created until on or after January 1, 1978, a notice of termination of a 
grant under section 203 of title 17 may be recorded if it recites, as 
the date of execution, the date on which the work was created.
    (2) Paper submission procedure--(i) Process. A copy of a notice of 
termination may be submitted for recordation by sending it to the 
appropriate address in Sec.201.1(c) or to such other address as the 
Office may specify, accompanied by a cover sheet, the statement of 
service, and the proper fee.
    (ii) Cover sheet required. Submission of a copy of a notice of 
termination must be accompanied by a completed Recordation Notice of 
Termination Cover Sheet (Form TCS), available on the Copyright Office 
Web site. Remitters must follow all instructions provided by the Office 
in completing Form TCS, including by providing all requested indexing 
information. Form TCS may be used to provide the statement of service 
and to make any of the certifications required by this paragraph (f). 
Form TCS will not be considered part of the recorded notice, but will be 
used by the Office for examination, indexing, and other administrative 
purposes. The Office may reject any notice submitted for recordation 
that includes an improperly prepared cover sheet.
    (iii) Return receipt. If a remitter includes two copies of a 
properly completed Form TCS indicating that a return receipt is 
requested, as well as a self-addressed, postage-paid envelope, the 
remitter will receive a date-stamped return receipt attached to the 
extra copy acknowledging the Copyright Office's receipt of the enclosed 
submission. The completed copies of Form TCS and the self-addressed, 
postage-paid envelope must be included in the same package as the 
submitted notice. A return receipt confirms the Office's receipt of the 
submission as of the date indicated, but does not establish eligibility 
for, or the date of, recordation.
    (iv) Remitter certification. The remitter must certify that he or 
she has appropriate authority to submit the notice for recordation and 
that all information submitted to the Office by the remitter is true, 
accurate, and complete to the best of the remitter's knowledge.
    (3) Date of recordation. The date of recordation is the date when a 
copy of the notice of termination is received in the Copyright Office. 
After recordation, the notice, including any accompanying statement, is 
returned to the

[[Page 584]]

sender with a certificate of recordation.
    (4) Effect of recordation. The fact that the Office has recorded a 
notice is not a determination by the Office of the notice's validity or 
legal effect. Recordation of a notice of termination by the Copyright 
Office is without prejudice to any party claiming that the legal or 
formal requirements for effectuating termination (including the 
requirements pertaining to service and recordation of the notice of 
termination) have not been met, including before a court of competent 
jurisdiction.
    (5) Reliance on remitter-provided information. The Copyright Office 
will rely on the certifications submitted with a notice and the 
information provided by the remitter on Form TCS and, if provided, in an 
accompanying statement of service. The Office will not necessarily 
confirm the accuracy of such certifications or information against the 
submitted notice.
    (6) Pilot program for electronic submission. The Copyright Office is 
implementing a limited pilot program through which certain types of 
documents may be electronically submitted for recordation online by 
certain remitters (``pilot remitters''). This paragraph (f)(6) shall 
govern such submissions for notices of termination to the extent they 
are permitted under the pilot program.
    (i) Electronic submission. Pilot remitters may submit permitted 
types of notices for recordation using the Copyright Office's electronic 
system pursuant to this section and special pilot program rules provided 
to pilot remitters by the Office.
    (ii) Participation. No remitter may participate in the pilot program 
without the permission of the Copyright Office. Participation in the 
pilot program is optional and pilot remitters may continue to submit 
notices for recordation pursuant to paragraph (f)(2) of this section.
    (iii) Conflicting rules. To the extent any special pilot program 
rule conflicts with this section or any other regulation, rule, 
instruction, or guidance issued by the Copyright Office, such pilot 
program rule shall govern submissions made pursuant to the pilot 
program.
    (iv) Reliance on remitter-provided information. Paragraph (f)(5) of 
this section shall apply to all certifications and information provided 
to the Office through the electronic system.
    (v) Date of recordation. In any situation where the date of 
recordation for a submission cannot be established or, if established, 
would ordinarily be changed, if due to an issue with the electronic 
system, the Office may assign an equitable date as the date of 
recordation.

(Pub. L. 94-553; 17 U.S.C. 304(c), 702, 708(11))

[42 FR 45920, Sept. 13, 1977, as amended at 56 FR 59885, Nov. 26, 1991; 
60 FR 34168, June 30, 1995; 64 FR 29521, June 1, 1999; 64 FR 36574, July 
7, 1999; 66 FR 34372, June 28, 2001; 67 FR 69136, Nov. 15, 2002; 67 FR 
78176, Dec. 23, 2002; 68 FR 16959, Apr. 8, 2003; 71 FR 36486, June 27, 
2006; 74 FR 12556, Mar. 25, 2009; 76 FR 32320, June 6, 2011; 78 FR 
42874, July 18, 2013; 82 FR 9356, Feb. 6, 2017; 82 FR 52220, Nov. 13, 
2017; 85 FR 3855, Jan. 23, 2020; 86 FR 11641, Feb. 26, 2021]



Sec.201.11  Satellite carrier statements of account covering statutory
licenses for secondary transmissions.

    (a) General. This section prescribes rules pertaining to the deposit 
of Statements of Account and royalty fees in the Copyright Office as 
required by the satellite carrier license of 17 U.S.C. 119(b)(1), as 
amended by Public Law 111-175, in order for certain secondary 
transmissions by satellite carriers for private home viewing to be 
subject to statutory licensing.
    (b) Definitions. (1) The terms distributor, network station, private 
home viewing, satellite carrier, subscribe, subscriber, non-network 
station, unserved household, primary stream, and multicast stream, have 
the meanings set forth in 17 U.S.C. 119(d), as amended by Public Law 
111-175.
    (2) The terms primary transmission and secondary transmission have 
the meanings set forth in section 111(f) of title 17 of the United 
States Code.
    (c) Accounting periods and deposit. (1) Statements of Account shall 
cover semiannual accounting periods of January 1 through June 30, and 
July 1 through December 31, and shall be deposited in the Copyright 
Office, together with the total statutory royalty

[[Page 585]]

fee or the confirmed arbitration royalty fee for such accounting periods 
as prescribed by 17 U.S.C. 119(b)(1)(B), by no later than July 30, if 
the Statement of Account covers the January 1 through June 30 accounting 
period, and by no later than the immediately following January 30, if 
the Statement of Account covers the July 1 through December 31 
accounting period.
    (2) Upon receiving a Statement of Account and royalty fee, the 
Copyright Office will make an official record of the actual date when 
such statement and fee were physically received in the Copyright Office. 
Thereafter, the Licensing Division of the Copyright Office will examine 
the statement and fee for obvious errors or omissions appearing on the 
face of the documents, and will require that any such obvious errors or 
omissions be corrected before final processing of the documents is 
completed. If, as the result of communications between the Copyright 
Office and the satellite carrier, an additional fee is deposited or 
changes or additions are made in the Statement of Account, the date that 
additional deposit or information was actually received in the Office 
will be added to the official record of the case. However, completion by 
the Copyright Office of the final processing of a Statement of Account 
and royalty fee deposit shall establish only the fact of such completion 
and the date or dates of receipt shown in the official record. It shall 
in no case be considered a determination that the Statement of Account 
was, in fact, properly prepared and accurate, that the correct amount of 
the royalty fee had been deposited, that the statutory time limits for 
filing had been met, or that any other requirements to qualify for a 
statutory license have been satisfied.
    (3) Statements of Account and royalty fees received before the end 
of the particular accounting period they purport to cover will not be 
processed by the Copyright Office. Statements of Account and royalty 
fees received after the filing deadlines of July 30 or January 30, 
respectively, will be accepted for whatever legal effect they may have, 
if any.
    (4) In the Register's discretion, four years after the close of any 
calendar year, the Register may close out the royalty payments account 
for that calendar year, and may treat any funds remaining in such 
account and any subsequent deposits that would otherwise be attributable 
to that calendar year as attributable to the succeeding calendar year.
    (d) Forms. (1) Each Statement of Account shall be furnished on an 
appropriate form prescribed by the Copyright Office, and shall contain 
the information required by that form and its accompanying instructions. 
Computation of the copyright royalty fee shall be in accordance with the 
procedures set forth in the forms. Copies of Statement of Account forms 
are available free from the Copyright Office website.
    (2) The form prescribed by the Copyright Office is designated `` 
Form SC (Statement of Account for Secondary Transmissions by Satellite 
Carriers of Distant Television Signals).''
    (e) Contents. Each Statement of Account shall contain the following 
information:
    (1) A clear designation of the accounting period covered by the 
Statement.
    (2) The designation ``Owner'' followed by:
    (i) The full legal name of the satellite carrier. If the owner is a 
partnership, the name of the partnership is to be followed by the name 
of at least one individual partner;
    (ii) Any other name or names under which the owner conducts the 
business of the satellite carrier; and
    (iii) The full mailing address of the owner. Ownership, other names 
under which the owner conducts the business of the satellite carrier, 
and the owner's mailing address shall reflect facts existing on the last 
day of the accounting period covered by the Statement of Account.
    (3) The designation ``Primary Transmitters,'' followed by the call 
signs, broadcast channel numbers, station locations (city and state of 
license), and a notation whether that primary transmitter is a ``non-
network station'' or ``network station'' transmitted to any or all of 
the subscribers of the satellite carrier during any portion of the 
period covered by the Statement of Account.

[[Page 586]]

    (4) The designation ``non-network station,'' followed by:
    (i) The call sign of each non-network station signal carried for 
each month of the period covered by the Statement, and
    (ii) The total number of subscribers to each non-network station for 
each month of the period covered by the Statement. This number is the 
number of subscribers to each non-network station receiving the 
retransmission on the last day of each month.
    (5) The designation ``Network Stations,'' followed by:
    (i) The call sign of each network station carried for each month of 
the period covered by the Statement, and
    (ii) The total number of subscribers to each network station for 
each month of the period covered by the Statement. This number is the 
number of subscribers to each network station receiving the 
retransmission on the last day of each month.
    (6) The total number of subscribers to each non-network station for 
the six-month period covered by the Statement multiplied by the 
statutory royalty rate prescribed in Sec.386.2 of this chapter.
    (7) The total number of subscribers to each network station for the 
six-month period covered by the Statement multiplied by the statutory 
royalty rate prescribed in Sec.386.2 of this chapter.
    (8) The name, address, business title, and telephone number of the 
individual or individuals to be contacted for information or questions 
concerning the content of the Statement of Account.
    (9) A legally binding signature, including an electronic signature 
as defined in 15 U.S.C. 7006, of:
    (i) The owner of the satellite carrier or a duly authorized agent of 
the owner, if the owner is not a partnership or a corporation; or
    (ii) A partner, if the owner is a partnership; or
    (iii) An officer of the corporation, if the owner is a corporation. 
The signature shall be accompanied by:
    (A) The printed or typewritten name of the person signing the 
Statement of Account;
    (B) The date of signature;
    (C) If the owner of the satellite carrier is a partnership or a 
corporation, by the title or official position held in the partnership 
or corporation by the person signing the Statement of Account;
    (D) A certification of the capacity of the person signing; and
    (E) The following statement:

    I, the undersigned Owner or Agent of the Satellite Carrier, or 
Officer or Partner, if the Satellite Carrier is a Corporation or 
Partnership, have examined this Statement of Account and hereby declare 
under penalty of law that all statements of fact contained herein are 
true, complete, and correct to the best of my knowledge, information, 
and belief, and are made in good faith.


(18 U.S.C., section 1001 (1986))

    (f) Royalty fee payment. (1) All royalty fees shall be paid by 
electronic funds transfer and payment must be received in the designated 
bank by the filing deadline for the relevant accounting period. The 
following information shall be provided as part of the EFT and/or as 
part of the remittance advice as provided for in circulars issued by the 
Copyright Office:
    (i) Remitter's name and address;
    (ii) Name of a contact person, telephone number and extension, and 
email address;
    (iii) The actual or anticipated date that the EFT will be 
transmitted;
    (iv) Type of royalty payment (i.e., satellite);
    (v) Total amount submitted via the EFT;
    (vi) Total amount to be paid by year and period;
    (vii) Number of Statements of Account that the EFT covers;
    (viii) ID numbers assigned by the Licensing Division;
    (ix) Legal name of the owner for each Statement of Account.
    (2) The remittance advice shall be attached to the Statement(s) of 
Account. In addition, a copy of the remittance advice shall be emailed 
or sent by facsimile to the Licensing Division.
    (3) The Office may waive the requirement for payment by electronic 
funds transfer as set forth in paragraph (f)(1) of this section. To 
obtain a waiver, the remitter shall submit to the Licensing Division at 
least 60 days prior to the royalty fee due date a certified statement 
setting forth the reasons explaining why payment by an electronic

[[Page 587]]

funds transfer would be virtually impossible or, alternatively, why it 
would impose a financial or other hardship on the remitter. The 
certified statement must be signed by a duly authorized representative 
of the entity making the payment. A waiver shall cover only a single 
payment period. Failure to obtain a waiver may result in the remittance 
being returned to the remitter.
    (g) Copies of statements of account. A licensee shall file an 
original and one copy of the statement of account with the Licensing 
Division of the Copyright Office.
    (h) Corrections, supplemental payments, and refunds. (1) Upon 
compliance with the procedures and within the time limits set forth in 
paragraph (h)(3) of this section, corrections to Statements of Account 
will be placed on record, supplemental royalty fee payments will be 
received for deposit, or refunds will be issued, in the following cases:
    (i) Where, with respect to the accounting period covered by a 
Statement of Account, any of the information given in the Statement 
filed in the Copyright Office is incorrect or incomplete; or
    (ii) Where calculation of the royalty fee payable for a particular 
accounting period was incorrect, and the amount deposited in the 
Copyright Office for that period was either too high or too low.
    (2) Corrections to Statements of Account will not be placed on 
record, supplemental royalty fee payments will not be received for 
deposit, and refunds will not be issued, where the information in the 
Statements of Account, the royalty fee calculations, or the payments 
were correct as of the date on which the accounting period ended, but 
changes (for example, addition or deletion of a signal) took place 
later.
    (3) Requests that corrections to a Statement of Account be placed on 
record, that fee payments be accepted, or requests for the issuance of 
refunds, shall be made only in the cases mentioned in paragraph (h)(1) 
of this section. Such requests shall be addressed to the Licensing 
Division of the Copyright Office, and shall meet the following 
conditions:
    (i) The request must be in writing, must clearly identify its 
purpose, and, in the case of a request for a refund, must be received in 
the Copyright Office before the expiration of 30 days from the last day 
of the applicable Statement of Account filing period, or before the 
expiration of 30 days from the date of receipt at the Copyright Office 
of the royalty payment that is the subject of the request, whichever 
time period is longer. Telephone or similar unsigned requests that meet 
these conditions may be permitted, where a follow-up written request 
detailing the same information is received by the Copyright Office 
within fourteen days after the required thirty-day period.
    (ii) The Statement of Account to which the request pertains must be 
sufficiently identified in the request (by inclusion of the name of the 
owner of the satellite carrier and the accounting period in question) so 
that it can be readily located in the records of the Copyright Office.
    (iii) The request must contain a clear statement of the facts on 
which it is based and provide a clear basis on which a refund may be 
granted, in accordance with the following procedures:
    (A) In the case of a request filed under paragraph (h)(1)(i) of this 
section, where the information given in the Statement of Account is 
incorrect or incomplete, the request must clearly identify the erroneous 
or incomplete information and provide the correct or additional 
information; or
    (B) In the case of a request filed under paragraph (h)(1)(ii) of 
this section, where the royalty fee was miscalculated and the amount 
deposited in the Copyright Office was either too high or too low, the 
request must be accompanied by an affidavit under the official seal of 
any officer authorized to administer oaths within the United States, or 
a statement in accordance with section 1746 of title 28 of the United 
States Code, made and signed in accordance with paragraph (e)(9) of this 
section. The affidavit or statement shall describe the reasons why the 
royalty fee was improperly calculated and include a detailed analysis of 
the proper royalty calculation.
    (iv)(A) All requests filed under this paragraph (h) must be 
accompanied by a filing fee in the amount prescribed in

[[Page 588]]

Sec.201.3(e) of this part for each Statement of Account involved. 
Payment of this fee may be in the form of a personal or company check, 
or of a certified check, cashier's check or money order, payable to: 
Register of Copyrights. No request will be processed until the 
appropriate filing fees are received.
    (B) All requests that a supplemental royalty fee payment be received 
for deposit under this paragraph (h) must be accompanied by a remittance 
in the full amount of such fee. Payment of the supplemental royalty fee 
must be in the form of certified check, cashier's check, or money order, 
payable to: Register of Copyrights; or electronic payment. No such 
request will be processed until an acceptable remittance in the full 
amount of the supplemental royalty fee has been received.
    (v) All requests submitted under this paragraph (h) must be signed 
by the satellite carrier owner named in the Statement of Account, or the 
duly authorized agent of the owner, in accordance with paragraph (e)(9) 
of this section.
    (vi) A request for a refund is not necessary where the Licensing 
Division, during its examination of a Statement of Account or related 
document, discovers an error that has resulted in a royalty overpayment. 
In this case, the Licensing Division will forward the royalty refund to 
the satellite carrier owner named in the Statement of Account without 
regard to the time limitations provided for in paragraph (h)(3)(i) of 
this section.
    (4) Following final processing, all requests submitted under this 
paragraph (h) will be filed with the original Statement of Account in 
the records of the Copyright Office. Nothing contained in this paragraph 
shall be considered to relieve satellite carriers from their full 
obligations under title 17 of the United States Code, and the filing of 
a correction or supplemental payment shall have only such effect as may 
be attributed to it by a court of competent jurisdiction.
    (i) Interest. (1) Royalty fee payments submitted as a result of late 
or amended filings will include interest. Interest will begin to accrue 
beginning on the first day after the close of the period for filing 
statements of account for all underpayments or late payments of 
royalties for the satellite carrier statutory license for secondary 
transmissions for private home viewing and viewing in commercial 
establishments occurring within that accounting period. The accrual 
period shall end on the date the electronic payment submitted by a 
satellite carrier is received by the Copyright Office. In cases where a 
waiver of the electronic funds transfer requirement is approved by the 
Copyright Office, and royalties payments are either late or underpaid, 
the accrual period shall end on the date the payment is postmarked. If 
the payment is not received by the Copyright Office within five business 
days of its date, then the accrual period shall end on the date of the 
actual receipt by the Copyright Office.
    (2)(i) The interest rate applicable to a specific accounting period 
beginning with the 1992/2 period shall be the Current Value of Funds 
Rate, as established by section 8025.40 of the Treasury Financial Manual 
and published in the Federal Register, in effect on the first business 
day after the close of the filing deadline for that accounting period. 
Satellite carriers wishing to obtain the interest rate for a specific 
accounting period may do so by consulting the Federal Register for the 
applicable Current Value of Funds Rate, or by contacting the Licensing 
Division of the Copyright Office.
    (ii) The interest rate applicable to a specific accounting period 
earlier than the 1992/2 period shall be the rate fixed by the Licensing 
Division of the Copyright Office pursuant to 37 CFR 201.11(h) in effect 
on June 30, 1992.
    (3) Interest is not required to be paid on any royalty underpayment 
or late payment from a particular accounting

[[Page 589]]

period if the interest charge is less than or equal to five dollars 
($5.00).

[54 FR 27877, July 3, 1989, as amended at 55 FR 49998, Dec. 4, 1990; 56 
FR 29589, June 28, 1991; 57 FR 61834, Dec. 29, 1992; 59 FR 67635, Dec. 
30, 1994; 60 FR 34168, June 30, 1995; 60 FR 57937, Nov. 24, 1995; 63 FR 
30635, June 5, 1998; 64 FR 36574, July 7, 1999; 70 FR 30366, May 26, 
2005; 70 FR 38022, July 1, 2005; 71 FR 45739, Aug. 10, 2006; 72 FR 
33691, June 19, 2007; 73 FR 29072, May 20, 2008; 75 FR 56872, Sept. 17, 
2010; 78 FR 42874, July 18, 2013; 82 FR 9357, Feb. 6, 2017; 83 FR 51841, 
Oct. 15, 2018; 85 FR 19667, Apr. 8, 2020]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.201.11 was 
amended by removing ``Licensing Division'' from each place it appears 
and adding in its place ``Licensing Section'', effective July 22, 2021.



Sec.201.12  Recordation of certain contracts by cable systems located 
outside of the forty-eight contiguous States.

    (a) Written, nonprofit contracts providing for the equitable sharing 
of costs of videotapes and their transfer, as identified in 17 U.S.C. 
111(e)(2), will be filed in the Copyright Office Licensing Division by 
recordation upon payment of the prescribed fee. The document submitted 
for recordation shall meet the following requirements:
    (1) It shall be an original instrument of contract; or it shall be a 
copy of an original, accompanied by a certification that shall include a 
legally binding signature, including an electronic signature as defined 
in 15 U.S.C. 7006, of at least one of the parties to the contract, or an 
authorized representative of that party, that the reproduction is a true 
copy;
    (2) It shall bear the signatures of all persons identified as 
parties to the contract, or of their authorized agents or 
representatives;
    (3) It shall be complete on its face, and shall include any 
schedules, appendixes, or other attachments referred to in the 
instrument as being part of it; and
    (4) It shall be clearly identified, in its body or a covering 
transmittal letter, as being submitted for recordation under 17 U.S.C. 
111(e).
    (b) The fee for recordation of a document is prescribed in Sec.
201.3(e).
    (c) The date of recordation is the date when all of the elements 
required for recordation, including the prescribed fee, have been 
received in the Copyright Office. A document is filed in the Copyright 
Office and a filing in the Copyright Office takes place on the date of 
recordation. After recordation the document is returned to the sender 
with a certificate of recordation.

(Pub. L. 94-553; 17 U.S.C. 111, 702, 708(11))

[42 FR 53961, Oct. 4, 1977, as amended at 56 FR 59885, Nov. 26, 1991; 64 
FR 29521, June 1, 1999; 82 FR 9357, Feb. 6, 2017; 85 FR 19667, Apr. 8, 
2020]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.201.12(a) 
was amended by removing ``Licensing Division'' from each place it 
appears and adding in its place ``Licensing Section'', effective July 
22, 2021.



Sec.201.13  Notices of objection to certain noncommercial performances
of nondramatic literary or musical works.

    (a) Definitions. (1) A Notice of Objection is a notice, as required 
by 17 U.S.C. 110(4), to be served as a condition of preventing the 
noncommercial performance of a nondramatic literary or musical work 
under certain circumstances.
    (2) For purposes of this section, the copyright owner of a 
nondramatic literary or musical work is the author of the work 
(including, in the case of a work made for hire, the employer or other 
person for whom the work was prepared), or a person or organization that 
has obtained ownership of the exclusive right, initially owned by the 
author of performance of the type referred to in 17 U.S.C. 110(4). If 
the other requirements of this section are met, a Notice of Objection 
may cover the works of more than one copyright owner.
    (b) Form. The Copyright Office does not provide printed forms for 
the use of persons serving Notices of Objection.
    (c) Contents. (1) A Notice of Objection must clearly state that the 
copyright owner objects to the performance, and must include all of the 
following:
    (i) Reference to the statutory authority on which the Notice of 
Objection is based, either by citation of 17 U.S.C. 110(4) or by a more 
general characterization or description of that statutory provision;

[[Page 590]]

    (ii) The date and place of the performance to which an objection is 
being made; however, if the exact date or place of a particular 
performance, or both, are not known to the copyright owner, it is 
sufficient if the Notice describes whatever information the copyright 
owner has about the date and place of a particular performance, and the 
source of that information unless the source was considered private or 
confidential;
    (iii) Clear identification, by title and at least one author, of the 
particular nondramatic literary or musical work or works, to the 
performance of which the copyright owner thereof is lodging objection; a 
Notice may cover any number of separately identified copyrighted works 
owned by the copyright owner or owners serving the objection. 
Alternatively, a blanket notice, with or without separate identification 
of certain copyrighted works, and purporting to cover one or more groups 
of copyrighted works not separately identified by title and author, 
shall have effect if the conditions specified in paragraph (c)(2) of 
this section are met; and
    (iv) A concise statement of the reasons for the objection.
    (2) A blanket notice purporting to cover one or more groups of 
copyrighted works not separately identified by title and author shall be 
valid only if all of the following conditions are met:
    (i) The Notice shall identify each group of works covered by the 
blanket notice by a description of any common characteristics 
distinguishing them from other copyrighted works, such as common author, 
common copyright owner, common publisher, or common licensing agent;
    (ii) The Notice shall identify a particular individual whom the 
person responsible for the performance can contact for more detailed 
information about the works covered by the blanket notice and to 
determine whether a particular work planned for performance is in fact 
covered by the Notice. Such identification shall include the full name 
and business and residence addresses of the individual, telephone 
numbers at which the individual can be reached throughout the period 
between service of the notice and the performance, and name, addresses, 
and telephone numbers of another individual to contact during that 
period in case the first cannot be reached.
    (iii) If the copyright owner or owners of all works covered by the 
blanket notice is not identified in the Notice, the Notice shall include 
an offer to identify, by name and last known address, the owner or 
owners of any and all such works, upon request made to the individual 
referred to in paragraph (c)(2)(ii) of this section.
    (3) A Notice of Objection must also include clear and prominent 
statements explaining that:
    (i) A failure to exclude the works identified in the Notice from the 
performance in question may subject the person responsible for the 
performance to liability for copyright infringement; and
    (ii) The objection is without legal effect if there is no direct or 
indirect admission charge for the performance, and if the other 
conditions of 17 U.S.C. 110(4) are met.
    (d) Signature and identification. (1) A Notice of Objection shall be 
in writing and signed by each copyright owner, or such owner's duly 
authorized agent, as required by 17 U.S.C. 110(4)(B)(i).
    (2) The signature of each owner or agent shall be an actual 
handwritten signature of an individual, accompanied by the date of 
signature and the full name, address, and telephone number of that 
person, typewritten or printed legibly by hand.
    (3) If a Notice of Objection is initially served in the form of an 
email, fax, or similar communication, as provided by paragraph (e) of 
this section, the requirement for an individual's handwritten signature 
shall be considered waived if the further conditions of paragraph (e) 
are met.
    (e) Service. (1) A Notice of Objection shall be served on the person 
responsible for the performance at least seven days before the date of 
the performance, as provided by 17 U.S.C. 110 (4)(B)(ii).
    (2) Service of the Notice may be effected by any of the following 
methods:
    (i) Personal service;
    (ii) First-class mail;
    (iii) Email, fax, or similar form of communication, if:

[[Page 591]]

    (A) The Notice meets all of the other conditions provided by this 
section; and
    (B) Before the performance takes place, the person responsible for 
the performance receives written confirmation of the Notice, bearing the 
actual handwritten signature of each copyright owner or duly authorized 
agent.
    (3) The date of service is the date the Notice of Objection is 
received by the person responsible for the performance or any agent or 
employee of that person.

(Pub. L. 94-553; 17 U.S.C. 110(4), 702)

[42 FR 64684, Dec. 28, 1977, as amended at 82 FR 9357, Feb. 6, 2017]



Sec.201.14  Warnings of copyright for use by certain libraries and 
archives.

    (a) Definitions. (1) A Display Warning of Copyright is a notice 
under paragraphs (d)(2) and (e)(2) of section 108 of title 17 of the 
United States Code. As required by those sections the ``Display Warning 
of Copyright'' is to be displayed at the place where orders for copies 
or phonorecords are accepted by certain libraries and archives.
    (2) An Order Warning of Copyright is a notice under paragraphs 
(d)(2) and (e)(2) of section 108 of title 17 of the United States Code. 
As required by those sections the ``Order Warning of Copyright'' is to 
be included on printed forms supplied by certain libraries and archives 
and used by their patrons for ordering copies or phonorecords.
    (b) Contents. A Display Warning of Copyright and an Order Warning of 
Copyright shall consist of a verbatim reproduction of the following 
notice, printed in such size and form and displayed in such manner as to 
comply with paragraph (c) of this section:

            notice warning concerning copyright restrictions

    The copyright law of the United States (title 17, United States 
Code) governs the making of photocopies or other reproductions of 
copyrighted material.
    Under certain conditions specified in the law, libraries and 
archives are authorized to furnish a photocopy or other reproduction. 
One of these specific conditions is that the photocopy or reproduction 
is not to be ``used for any purpose other than private study, 
scholarship, or research.'' If a user makes a request for, or later 
uses, a photocopy or reproduction for purposes in excess of ``fair 
use,'' that user may be liable for copyright infringement.
    This institution reserves the right to refuse to accept a copying 
order if, in its judgment, fulfillment of the order would involve 
violation of copyright law.

    (c) Form and manner of use. (1) A Display Warning of Copyright shall 
be printed on heavy paper or other durable material in type at least 18 
points in size, and shall be displayed prominently, in such manner and 
location as to be clearly visible, legible, and comprehensible to a 
casual observer within the immediate vicinity of the place where orders 
are accepted.
    (2) An Order Warning of Copyright shall be printed within a box 
located prominently on the order form itself, either on the front side 
of the form or immediately adjacent to the space calling for the name or 
signature of the person using the form. The notice shall be printed in 
type size no smaller than that used predominantly throughout the form, 
and in no case shall the type size be smaller than eight points. The 
notice shall be printed in such manner as to be clearly legible, 
comprehensible, and readily apparent to a casual reader of the form.

(Pub. L. 94-553; 17 U.S.C. 108, 702)

[42 FR 59265, Nov. 16, 1977, as amended at 82 FR 9357, Feb. 6, 2017]



Sec.201.15  [Reserved]



Sec.201.16  Verification of a Statement of Account for secondary
transmissions made by cable systems and satellite carriers.

    (a) General. This section prescribes procedures pertaining to the 
verification of a Statement of Account filed with the Copyright Office 
pursuant to sections 111(d)(1) or 119(b)(1) of title 17 of the United 
States Code.
    (b) Definitions. As used in this section:
    (1) The term cable system has the meaning set forth in Sec.
201.17(b)(2).
    (2) Copyright owner means any person or entity that owns the 
copyright in a work embodied in a secondary transmission made by a 
statutory licensee that filed a Statement of Account with the Copyright 
Office for an accounting

[[Page 592]]

period beginning on or after January 1, 2010, or a designated agent or 
representative of such person or entity.
    (3) Multiple system operator or MSO means an entity that owns, 
controls, or operates more than one cable system.
    (4) Net aggregate underpayment means the aggregate amount of 
underpayments found by the auditor less the aggregate amount of any 
overpayments found by the auditor, as measured against the total amount 
of royalties reflected on the Statements of Account examined by the 
auditor.
    (5) Participating copyright owner means a copyright owner that filed 
a notice of intent to audit a Statement of Account pursuant to paragraph 
(c)(1) or (2) of this section and any other copyright owner that has 
given notice of its intent to participate in such audit pursuant to 
paragraph (c)(3) of this section.
    (6) The term satellite carrier has the meaning set forth in 17 
U.S.C. 119(d)(6).
    (7) The term secondary transmission has the meaning set forth in 17 
U.S.C. 111(f)(2).
    (8) Statement of Account or Statement means a semiannual Statement 
of Account filed with the Copyright Office under 17 U.S.C. 111(d)(1) or 
119(b)(1) or an amended Statement of Account filed with the Office 
pursuant to Sec. Sec.201.11(h) or 201.17(m).
    (9) Statutory licensee or licensee means a cable system or satellite 
carrier that filed a Statement of Account with the Office under 17 
U.S.C. 111(d)(1) or 119(b)(1).
    (c) Notice of intent to audit. (1) Any copyright owner that intends 
to audit a Statement of Account for an accounting period beginning on or 
after January 1, 2010 must provide written notice to the Register of 
Copyrights no later than three years after the last day of the year in 
which the Statement was filed with the Office. The notice must be 
received in the Office on or after December 1st and no later than 
December 31st, and a copy of the notice must be provided to the 
statutory licensee on the same day that it is filed with the Office. 
Between January 1st and January 31st of the next calendar year the 
Office will publish a notice in the Federal Register announcing the 
receipt of the notice of intent to audit. A notice of intent to audit 
may be filed by an individual copyright owner or a designated agent that 
represents a group or multiple groups of copyright owners. The notice 
shall include a statement indicating that it is a ``notice of intent to 
audit'' and it shall contain the following information:
    (i) It shall identify the licensee that filed the Statement(s) with 
the Office, and the Statement(s) and accounting period(s) that will be 
subject to the audit.
    (ii) It shall identify the party that filed the notice, including 
its name, address, telephone number, and email address, and it shall 
include a statement that the party owns or represents one or more 
copyright owners that own a work that was embodied in a secondary 
transmission made by the statutory licensee during one or more of the 
accounting period(s) specified in the Statement(s) that will be subject 
to the audit.
    (2) Notwithstanding the schedule set forth in paragraph (c)(1) of 
this section, any copyright owner that intends to audit a Statement of 
Account pursuant to an expanded audit under paragraph (n) of this 
section may provide written notice of such to the Register of Copyrights 
during any month, but no later than three years after the last day of 
the year in which the Statement was filed with the Office. A copy of the 
notice must be provided to the licensee on the same day that the notice 
is filed with the Office. Within thirty days after the notice has been 
received, the Office will publish a notice in the Federal Register 
announcing the receipt of the notice of intent to conduct an expanded 
audit. A notice given pursuant to this paragraph may be provided by an 
individual copyright owner or a designated agent that represents a group 
or multiple groups of copyright owners. The notice shall include a 
statement indicating that it is a ``notice of intent to conduct an 
expanded audit'' and it shall contain the information specified in 
paragraphs (c)(1)(i) and (ii) of this section.
    (3) Within thirty days after a notice is published in the Federal 
Register pursuant to paragraphs (c)(1) or (2) of this section, any other 
copyright owner that owns a work that was embodied in

[[Page 593]]

a secondary transmission made by that statutory licensee during an 
accounting period covered by the Statement(s) of Account referenced in 
the Federal Register notice and that wishes to participate in the audit 
of such Statement(s) must provide written notice of such participation 
to the Copyright Office as well as to the licensee and party that filed 
the notice of intent to audit. A notice given pursuant to this paragraph 
may be provided by an individual copyright owner or a designated agent 
that represents a group or multiple groups of copyright owners, and 
shall include the information specified in paragraphs (c)(1)(i) and (ii) 
of this section.
    (4) Notices submitted to the Office under paragraphs (c)(1) through 
(3) of this section should be addressed to the ``U.S. Copyright Office, 
Office of the General Counsel'' and should be sent to the address for 
time-sensitive requests set forth in Sec.201.1(c)(1).
    (5) Once the Office has received a notice of intent to audit a 
Statement of Account under paragraphs (c)(1) or (2) of this section, a 
notice of intent to audit that same Statement will not be accepted for 
publication in the Federal Register.
    (6) Once the Office has received a notice of intent to audit two 
Statements of Account filed by a particular satellite carrier or a 
particular cable system, a notice of intent to audit that same carrier 
or that same system under paragraph (c)(1) of this section will not be 
accepted for publication in the Federal Register until the following 
calendar year.
    (d) Selection of the auditor. (1) Within forty-five days after a 
notice is published in the Federal Register pursuant to paragraph (c)(1) 
of this section, the participating copyright owners shall provide the 
statutory licensee with a list of three independent and qualified 
auditors, along with information reasonably sufficient for the licensee 
to evaluate the proposed auditors' independence and qualifications, 
including:
    (i) The auditor's curriculum vitae and a list of audits that the 
auditor has conducted pursuant to 17 U.S.C. 111(d)(6) or 119(b)(2);
    (ii) A list and, subject to any confidentiality or other legal 
restrictions, a brief description of any other work the auditor has 
performed for any of the participating copyright owners during the prior 
two calendar years;
    (iii) A list identifying the participating copyright owners for whom 
the auditor's firm has been engaged during the prior two calendar years; 
and,
    (iv) A copy of the engagement letter that would govern the auditor's 
performance of the audit and that provides for the auditor to be 
compensated on a non-contingent flat fee or hourly basis that does not 
take into account the results of the audit.
    (2) Within five business days after receiving the list of auditors 
from the participating copyright owners, the licensee shall select one 
of the proposed auditors and shall notify the participating copyright 
owners of its selection. That auditor shall be retained by the 
participating copyright owners and shall conduct the audit on behalf of 
all copyright owners who own a work that was embodied in a secondary 
transmission made by the licensee during the accounting period(s) 
specified in the Statement(s) of Account identified in the notice of 
intent to audit.
    (3) The auditor shall be independent and qualified as defined in 
this section. An auditor shall be considered independent and qualified 
if:
    (i) He or she is a certified public accountant and a member in good 
standing with the American Institute of Certified Public Accountants 
(``AICPA'') and the licensing authority for the jurisdiction(s) where 
the auditor is licensed to practice;
    (ii) He or she is not, for any purpose other than the audit, an 
officer, employee, or agent of any participating copyright owner;
    (iii) He or she is independent as that term is used in the Code of 
Professional Conduct of the AICPA, including the Principles, Rules, and 
Interpretations of such Code; and
    (iv) He or she is independent as that term is used in the Statements 
on Auditing Standards promulgated by the Auditing Standards Board of the 
AICPA and Interpretations thereof issued by the Auditing Standards 
Division of the AICPA.

[[Page 594]]

    (e) Commencement of the audit. (1) Within ten days after the 
selection of the auditor, the auditor shall meet by telephone or in 
person with designated representatives of the participating copyright 
owners and the statutory licensee to review the scope of the audit, 
audit methodology, applicable auditing standard, and schedule for 
conducting and completing the audit.
    (2) Within thirty days after the selection of the auditor, the 
licensee shall provide the auditor and a representative of the 
participating copyright owners with a list of all broadcast signals 
retransmitted pursuant to the statutory license in each community 
covered by each of the Statements of Account subject to the audit, 
including the call sign for each broadcast signal and each multicast 
signal. In the case of an audit involving a cable system or MSO, the 
list must include the classification of each signal on a community-by-
community basis pursuant to Sec.201.17(e)(9)(iv) through (v) and 
201.17(h). The list shall be signed by a duly authorized agent of the 
licensee and the signature shall be accompanied by the following 
statement ``I, the undersigned agent of the statutory licensee, hereby 
declare under penalty of law that all statements of fact contained 
herein are true, complete, and correct to the best of my knowledge, 
information, and belief, and are made in good faith.''
    (f) Failure to proceed with a noticed audit. If the participating 
copyright owners fail to provide the statutory licensee with a list of 
auditors or fail to retain the auditor selected by the licensee pursuant 
to paragraph (d)(2) of this section, the Statement(s) of Account 
identified in the notice of intent to audit shall not be subject to 
audit under this section.
    (g) Ex parte communications. Following the initial consultation 
pursuant to paragraph (e)(1) of this section and until the distribution 
of the auditor's final report to the participating copyright owners 
pursuant to paragraph (i)(3) of this section, there shall be no ex parte 
communications regarding the audit between the auditor and the 
participating copyright owners or their representatives; provided, 
however, that the auditor may engage in such ex parte communications 
where either:
    (1) Subject to paragraph (i)(4) of this section, the auditor has a 
reasonable basis to suspect fraud and that participation by the licensee 
in communications regarding the suspected fraud would, in the reasonable 
opinion of the auditor, prejudice the investigation of such suspected 
fraud; or
    (2) The auditor provides the licensee with a reasonable opportunity 
to participate in communications with the participating copyright owners 
or their representatives and the licensee declines to do so.
    (h) Auditor's authority and access. (1) The auditor shall have 
exclusive authority to verify all of the information reported on the 
Statement(s) of Account subject to the audit in order to confirm the 
correctness of the calculations and royalty payments reported therein; 
provided, however, that the auditor shall not determine whether any 
cable system properly classified any broadcast signal as required by 
Sec.201.17(e)(9)(iv) through (v) and 201.17(h) or whether a satellite 
carrier properly determined that any subscriber or group of subscribers 
is eligible to receive any broadcast signals under 17 U.S.C. 119(a).
    (2) The statutory licensee shall provide the auditor with reasonable 
access to the licensee's books and records and any other information 
that the auditor needs in order to conduct the audit. The licensee shall 
provide the auditor with any information the auditor reasonably requests 
promptly after receiving such a request.
    (3) The audit shall be conducted during regular business hours at a 
location designated by the licensee with consideration given to 
minimizing the costs and burdens associated with the audit. If the 
auditor and the licensee agree, the audit may be conducted in whole or 
in part by means of electronic communication.
    (4) With the exception of its obligations under paragraphs (d) and 
(e) of this section, a licensee may suspend its participation in an 
audit for no more than sixty days before the semi-annual due dates for 
filing Statements of Account by providing advance written notice to the 
auditor and a representative

[[Page 595]]

of the participating copyright owners, provided however, that if the 
participating copyright owners notify the licensee within ten days of 
receiving such notice of their good-faith belief that the suspension 
could prevent the auditor from delivering his or her final report to the 
participating copyright owners before the statute of limitations may 
expire on any claims under the Copyright Act related to a Statement of 
Account covered by that audit, the licensee may not suspend its 
participation in the audit unless it first executes a tolling agreement 
to extend the statute of limitations by a period of time equal to the 
period of the suspension.
    (i) Audit report. (1) After reviewing the books, records, and any 
other information received from the statutory licensee, the auditor 
shall prepare a draft written report setting forth his or her initial 
conclusions and shall deliver a copy of that draft report to the 
licensee. The auditor shall then consult with a representative of the 
licensee regarding the conclusions set forth in the draft report for up 
to thirty days. If, upon consulting with the licensee, the auditor 
concludes that there are errors in the facts or conclusions set forth in 
the draft report, the auditor shall correct those errors.
    (2) Within thirty days after the date that the auditor delivered the 
draft report to the licensee pursuant to paragraph (i)(1) of this 
section, the auditor shall prepare a final version of the written report 
setting forth his or her ultimate conclusions and shall deliver a copy 
of that final version to the licensee. Within fourteen days thereafter, 
the licensee may provide the auditor with a written rebuttal setting 
forth its good faith objections to the facts or conclusions set forth in 
the final version of the report.
    (3) Subject to the confidentiality provisions set forth in paragraph 
(l) of this section, the auditor shall attach a copy of any written 
rebuttal timely received from the licensee to the final version of the 
report and shall deliver a copy of the complete final report to the 
participating copyright owners and the licensee. The final report must 
be delivered by November 1st of the year in which the notice was 
published in the Federal Register pursuant to paragraph (c)(1) of this 
section and within five business days after the last day on which the 
licensee may provide the auditor with a written rebuttal pursuant to 
paragraph (i)(2) of this section. Upon delivery of the complete and 
final report, the auditor shall notify the Office that the audit has 
been completed. The notice to the Office shall specify the date that the 
auditor delivered the final report to the parties; whether, with respect 
to each statement examined, the auditor has discovered any underpayment 
or overpayment; and whether the auditor has received a written rebuttal 
from the licensee. The notice should be addressed to the ``U.S. 
Copyright Office, Office of the General Counsel'' and should be sent to 
the address for time-sensitive requests specified in Sec.201.1(c)(1).
    (4) Prior to the delivery of the final report pursuant to paragraph 
(i)(3) of this section the auditor shall not provide any draft of his or 
her report to the participating copyright owners or their 
representatives; provided, however, that the auditor may deliver a draft 
report simultaneously to the licensee and the participating copyright 
owners if the auditor has a reasonable basis to suspect fraud.
    (j) Corrections, supplemental payments, and refunds. (1) If the 
auditor concludes in his or her final report that any of the information 
reported on a Statement of Account is incorrect or incomplete, that the 
calculation of the royalty fee payable for a particular accounting 
period was incorrect, or that the amount deposited in the Office for 
that period was too low, a statutory licensee may cure such incorrect or 
incomplete information or underpayment by filing an amendment to the 
Statement and, in case of a deficiency in payment, by depositing 
supplemental royalty fee payments with the Office using the procedures 
set forth in Sec. Sec.201.11(h) or 201.17(m); provided, however, that 
the amendment and/or payments are received within sixty days after the 
delivery of the final report to the participating copyright owners and 
the licensee or in the case of an audit of an MSO, within ninety days 
after the delivery of such report; and further

[[Page 596]]

provided that the licensee has reimbursed the participating copyright 
owners for the licensee's share of the audit costs, if any, determined 
to be owing pursuant to paragraph (k)(3) of this section. While 
reimbursement of audit costs shall be paid to a representative of the 
participating copyright owners, supplemental royalty fee payments made 
pursuant to this paragraph shall be delivered to the Office and not to 
the participating copyright owners or their representatives.
    (2) Notwithstanding Sec. Sec.201.11(h)(3)(i) and 201.17(m)(4)(i), 
if the auditor concludes in his or her final report that there was an 
overpayment on a particular Statement, the licensee may request a refund 
from the Office using the procedures set forth in Sec. Sec.
201.11(h)(3) or 201.17(m)(4), provided that the request is received 
within sixty days after the delivery of the final report to the 
participating copyright owners and the licensee or within ninety days 
after the delivery of the final report in the case of an audit of an 
MSO.
    (k) Costs of the audit. (1) No later than the fifteenth day of each 
month during the course of the audit, the auditor shall provide the 
participating copyright owners with an itemized statement of the costs 
incurred by the auditor during the previous month, and shall provide a 
copy to the licensee that is the subject of the audit.
    (2) If the auditor concludes in his or her final report that there 
was no net aggregate underpayment or a net aggregate underpayment of 
five percent or less, the participating copyright owners shall pay for 
the full costs of the auditor. If the auditor concludes in his or her 
final report that there was a net aggregate underpayment of more than 
five percent but less than ten percent, the costs of the auditor are to 
be split evenly between the participating copyright owners and the 
licensee that is the subject of the audit. If the auditor concludes in 
his or her final report that there was a net aggregate underpayment of 
ten percent or more, the licensee will be responsible for the full costs 
of the auditor.
    (3) If a licensee is responsible for any portion of the costs of the 
auditor, a representative of the participating copyright owners shall 
provide the licensee with an itemized accounting of the auditor's total 
costs, the appropriate share of which should be paid by the licensee to 
such representative no later than sixty days after the delivery of the 
final report to the participating copyright owners and licensee or 
within ninety days after the delivery of such report in the case of an 
audit of an MSO.
    (4) Notwithstanding anything to the contrary in paragraph (k) of 
this section, no portion of the auditor's costs that exceed the amount 
of the net aggregate underpayment may be recovered from the licensee.
    (l) Confidentiality. (1) For purposes of this section, confidential 
information shall include any non-public financial or business 
information pertaining to a Statement of Account that is the subject of 
an audit under 17 U.S.C. 111(d)(6) or 119(b)(2).
    (2) Access to confidential information under this section shall be 
limited to:
    (i) The auditor; and
    (ii) Subject to the execution of a reasonable confidentiality 
agreement, outside counsel for the participating copyright owners and 
any third party consultants retained by outside counsel, and any 
employees, agents, consultants, or independent contractors of the 
auditor who are not employees, officers, or agents of a participating 
copyright owner for any purpose other than the audit, who are engaged in 
the audit of a Statement or activities directly related hereto, and who 
require access to the confidential information for the purpose of 
performing such duties during the ordinary course of their employment.
    (3) The auditor and any person identified in paragraph (l)(2)(ii) of 
this section shall implement procedures to safeguard all confidential 
information received from any third party in connection with an audit, 
using a reasonable standard of care, but no less than the same degree of 
security used to protect confidential financial and business information 
or similarly sensitive information belonging to the auditor or such 
person.
    (m) Frequency and scope of the audit. (1) Except as provided in 
paragraph

[[Page 597]]

(n)(2) of this section with respect to expanded audits, a cable system, 
MSO, or satellite carrier shall be subject to no more than one audit per 
calendar year.
    (2) Except as provided in paragraph (n)(1) of this section, the 
audit of a particular cable system or satellite carrier shall include no 
more than two of the Statements of Account filed by that cable system or 
satellite carrier that may be timely noticed for audit under paragraph 
(c)(1) of this section.
    (3) Except as provided in paragraph (n)(3)(ii) of this section, an 
audit of an MSO shall be limited to a sample of no more than ten percent 
of the MSO's Form 3 cable systems and no more than ten percent of the 
MSO's Form 2 systems.
    (n) Expanded audits. (1) If the auditor concludes in his or her 
final report that there was a net aggregate underpayment of five percent 
or more on the Statements of Account examined in an initial audit 
involving a cable system or satellite carrier, a copyright owner may 
expand the audit to include all previous Statements filed by that cable 
system or satellite carrier that may be timely noticed for audit under 
paragraph (c)(2) of this section. The expanded audit shall be conducted 
using the procedures set forth in paragraphs (d) through (l) of this 
section, with the following exceptions:
    (i) The expanded audit may be conducted by the same auditor that 
performed the initial audit, provided that the participating copyright 
owners provide the licensee with updated information reasonably 
sufficient to allow the licensee to determine that there has been no 
material change in the auditor's independence and qualifications. In the 
alternative, the expanded audit may be conducted by an auditor selected 
by the licensee using the procedure set forth in paragraph (d) of this 
section.
    (ii) The auditor shall deliver his or her final report to the 
participating copyright owners and the licensee within five business 
days following the last day on which the licensee may provide the 
auditor with a written rebuttal pursuant to paragraph (i)(2) of this 
section, but shall not be required to deliver the report by November 1st 
of the year in which the notice was published in the Federal Register 
pursuant to paragraph (c) of this section.
    (2) An expanded audit of a cable system or a satellite carrier that 
is conducted pursuant to paragraph (n)(1) of this section may be 
conducted concurrently with another audit involving that same licensee.
    (3) If the auditor concludes in his or her final report that there 
was a net aggregate underpayment of five percent or more on the 
Statements of Account examined in an initial audit involving an MSO:
    (i) The cable systems included in the initial audit of that MSO 
shall be subject to an expanded audit in accordance with paragraph 
(n)(1) of this section; and
    (ii) The MSO shall be subject to a new initial audit involving a 
sample of no more than thirty percent of its Form 3 cable systems and no 
more than thirty percent of its Form 2 cable systems, provided that the 
notice of intent to conduct that audit is filed in the same calendar 
year as the delivery of such final report.
    (o) Retention of records. For each Statement of Account or amended 
Statement that a statutory licensee files with the Office for accounting 
periods beginning on or after January 1, 2010, the licensee shall 
maintain all records necessary to confirm the correctness of the 
calculations and royalty payments reported in each Statement or amended 
Statement for at least three and one-half years after the last day of 
the year in which that Statement or amended Statement was filed with the 
Office and, in the event that such Statement or amended Statement is the 
subject of an audit conducted pursuant to this section, shall continue 
to maintain those records until three years after the auditor delivers 
the final report to the participating copyright owners and the licensee 
pursuant to paragraph (i)(3) of this section.

[79 FR 68628, Nov. 18, 2014, as amended at 82 FR 9357, Feb. 6, 2017]

[[Page 598]]



Sec.201.17  Statements of Account covering compulsory licenses for
secondary transmissions by cable systems.

    (a) General. This section prescribes rules pertaining to the deposit 
of Statements of Account and royalty fees in the Copyright Office as 
required by 17 U.S.C. 111(d)(1) in order for secondary transmissions of 
cable systems to be subject to compulsory licensing.
    (b) Definitions. (1) Gross receipts for the ``basic service of 
providing secondary transmissions of primary broadcast transmitters'' 
include the full amount of monthly (or other periodic) service fees for 
any and all services or tiers of services which include one or more 
secondary transmissions of television or radio broadcast signals, for 
additional set fees, and for converter fees. In no case shall gross 
receipts be less than the cost of obtaining the signals of primary 
broadcast transmitters for subsequent retransmission. All such gross 
receipts shall be aggregated and the distant signal equivalent (DSE) 
calculations shall be made against the aggregated amount. Gross receipts 
for secondary transmission services do not include installation 
(including connection, relocation, disconnection, or reconnection) fees, 
separate charges for security, alarm or facsimile services, charges for 
late payments, or charges for pay cable or other program origination 
services: Provided That, the origination services are not offered in 
combination with secondary transmission service for a single fee.
    (2) A cable system is a facility, located in any State, Territory, 
Trust Territory, or Possession, that in whole or in part receives 
signals transmitted or programs broadcast by one or more television 
broadcast stations licensed by the Federal Communications Commission, 
and makes secondary transmissions of such signals or programs by wires, 
cables, microwave, or other communications channels to subscribing 
members of the public who pay for such service. A system that meets this 
definition is considered a ``cable system'' for copyright purposes, even 
if the FCC excludes it from being considered a ``cable system'' because 
of the number or nature of its subscribers or the nature of its 
secondary transmissions. The Statements of Account and royalty fees to 
be deposited under this section shall be recorded and deposited by each 
individual cable system desiring its secondary transmissions to be 
subject to compulsory licensing. The owner of each individual cable 
system on the last day of the accounting period covered by a Statement 
of Account is responsible for depositing the Statement of Account and 
remitting the copyright royalty fees. For these purposes, and the 
purpose of this section, an ``individual'' cable system is each cable 
system recognized as a distinct entity under the rules, regulations, and 
practices of the Federal Communications Commission in effect on the last 
day of the accounting period covered by a Statement of Account, in the 
case of the preparation and deposit of a Statement of Account and 
copyright royalty fee. For these purposes, two or more cable facilities 
are considered as one individual cable system if the facilities are 
either:
    (i) In contiguous communities under common ownership or control or
    (ii) Operating from one headend.
    (3) FCC means the Federal Communications Commission.
    (4) In the case of cable systems which make secondary transmissions 
of all available FM radio signals, which signals are not electronically 
processed by the system as separate and discrete signals, an FM radio 
signal is ``generally receivable'' if:
    (i) It is usually carried by the system whenever it is received at 
the system's headend, and
    (ii) As a result of monitoring at reasonable times and intervals, it 
can be expected to be received at the system's headend, with the 
system's FM antenna, at least three consecutive hours each day at the 
same time each day, five or more days a week, for four or more weeks 
during any calendar quarter, with a strength of not less than fifty 
microvolts per meter measured at the foot of the tower or pole to which 
the antenna is attached.
    (5) The terms primary transmission, secondary transmission, local 
service area of a primary transmitter, distant signal equivalent, 
network station, independent

[[Page 599]]

station, noncommercial educational station, primary stream, multicast 
stream, simulcast, primary transmitter, subscriber, and subscribe have 
the meanings set forth in 17 U.S.C. 111(f), as amended by Public Laws 
94-553, 103-369, and 111-175.
    (6) A primary transmitter is a ``distant'' station, for purposes of 
this section, if the programming of such transmitter is carried by the 
cable system in whole or in part beyond the local service area of such 
primary transmitter.
    (7) A translator station is, with respect to programs both 
originally transmitted and retransmitted by it, a primary transmitter 
for the purposes of this section. A translator station which retransmits 
the programs of a network station will be considered a network station; 
a translator station which retransmits the programs of an independent 
station shall be considered an independent station; and a translator 
station which retransmits the programs of a noncommercial educational 
station shall be considered a noncommercial educational station. The 
determination of whether a translator station should be identified as a 
``distant'' station depends on the local service area of the translator 
station.
    (8) For purposes of this section, the ``rules and regulations of the 
FCC in effect on October 19, 1976,'' which permitted a cable system, at 
its election, to omit the retransmission of a particular program and 
substitute another program in its place, refers to that portion of 
former 47 CFR 76.61(b)(2), revised June 25, 1981, and Sec.76.63 
(referring to Sec.76.61(b)(2)), deleted June 25, 1981, concerning the 
substitution of a program that is primarily of local interest to the 
distant community (e.g., a local news or public affairs program).
    (9) For purposes of this section, the ``rules and regulations of the 
FCC,'' which require a cable system to omit the retransmission of a 
particular program and substitute another program in its place, refers 
to 47 CFR 76.67.
    (10) For purposes of this section, a cable system ``lacks the 
activated channel capacity to retransmit on a full-time basis all 
signals which it is authorized to carry'' only if:
    (i) All of its activated television channels are used exclusively 
for the secondary transmission of television signals; and
    (ii) The number of primary television transmitters secondarily 
transmitted by the cable system exceeds the number of its activated 
television channels.
    (c) Accounting periods and deposit. (1) Statements of Account shall 
cover semiannual accounting periods of January 1 through June 30, and 
July 1 through December 31, and shall be deposited in the Copyright 
Office, together with the total royalty fee for such accounting periods 
as prescribed by 17 U.S.C. 111(d)(1)(B) through (F), by no later than 
the immediately following August 29, if the Statement of Account covers 
the January 1 through June 30 accounting period, and by no later than 
the immediately following March 1, if the Statement of Account covers 
the July 1 through December 31 accounting period.
    (2) Upon receiving a Statement of Account and royalty fee, the 
Copyright Office will make an official record of the actual date when 
such Statement and fee were received in the Copyright Office.Thereafter, 
the Office will examine the Statement and fee for obvious errors or 
omissions appearing on the face of the documents, and will require that 
any such obvious errors or omissions be corrected before final 
processing of the documents is completed. If, as the result of 
communications between the Copyright Office and the cable system, an 
additional fee is deposited or changes or additions are made in the 
Statement of Account, the date that additional deposit or information 
was actually received in the Office will be added to the official record 
of the case. However, completion by the Copyright Office of the final 
processing of a Statement of Account and royalty fee deposit shall 
establish only the fact of such completion and the date or dates of 
receipt shown in the official record. It shall in no case be considered 
a determination that the Statement of Account was, in fact, properly 
prepared and accurate, that the correct amount of the royalty fee had 
been deposited, that the statutory time limits for filing had been met, 
or that any other requirements to qualify for a compulsory license have 
been satisfied.

[[Page 600]]

    (3) Statements of Account and royalty fees received before the end 
of the particular accounting period they purport to cover will not be 
processed by the Copyright Office. Statements of Account and royalty 
fees received after the filing deadlines of August 29 or March 1, 
respectively, will be accepted for whatever legal effect they may have, 
if any.
    (4) In the Register's discretion, four years after the close of any 
calendar year, the Register may, close out the royalty payments account 
for that calendar year, and may treat any funds remaining in such 
account and any subsequent deposits that would otherwise be attributable 
to that calendar year as attributable to the succeeding calendar year.
    (d) Statement of Account forms and submission. Cable systems should 
submit each Statement of Account using an appropriate form provided by 
the Copyright Office on its Web site and following the instructions for 
completion and submission provided on the Office's Web site or the form 
itself.
    (2) The forms prescribed by the Copyright Office are designated 
``Statement of Account for Secondary Transmissions By Cable Systems'':
    (i) Form SA1-2--``Short Form'' for use by cable systems whose 
semiannual gross receipts for secondary transmission total less than 
$527,600; and
    (ii) Form SA3--``Long Form'' for use by cable systems whose 
semiannual gross receipts for secondary transmission total $527,600 or 
more.
    (e) Contents. Each Statement of Account shall contain the following 
information:
    (1) A clear designation of the accounting period covered by the 
Statement.
    (2) The designation ``Owner,'' followed by:
    (i) The full legal name of the owner of the cable system. The owner 
of the cable system is the individual or entity that provides the 
retransmission service and collects payment from the end user either 
directly or indirectly through a third party. If the owner is a 
partnership, the name of the partnership is to be followed by the name 
of at least one individual partner;
    (ii) Any other name or names under which the owner conducts the 
business of the cable system; and
    (iii) The full mailing address of the owner.

Ownership, other names under which the owner conducts the business of 
the cable system, and the owner's mailing address shall reflect facts 
existing on the last day of the accounting period covered by the 
Statement of Account.
    (3) The designation ``System,'' followed by:
    (i) Any business or trade names used to identify the business and 
operation of the system, unless these names have already been given 
under the designation ``Owner''; and
    (ii) The full mailing address of the system, unless such address is 
the same as the address given under the designation ``Owner''.

Business or trade names used to identify the business and operation of 
the system, and the system's mailing address, shall reflect the facts 
existing on the last day of the accounting period covered by the 
Statement of Account.
    (4) The designation ``Area Served'', followed by the name of the 
community or communities served by the system. For this purpose a 
``community'' is the same as a ``community unit'' as defined in FCC 
rules and regulations.
    (5) The designation ``Channels,'' followed by:
    (i) The number of channels, including multicast streams on which the 
cable system made secondary transmissions to its subscribers, and
    (ii) The cable system's total activated channel capacity, in each 
case during the period covered by the Statement.
    (iii) A multicast stream is considered a channel for purposes of 
this section.
    (6) The designation ``Secondary Transmission Service: Subscribers 
and Rates'', followed by:
    (i) A brief description of each subscriber category for which a 
charge is made by the cable system for the basic service of providing 
secondary transmissions of primary broadcast transmitters;
    (ii) The number of subscribers to the cable system in each such 
subscriber category; and

[[Page 601]]

    (iii) The charge or charges made per subscriber to each such 
subscriber category for the basic service of providing such secondary 
transmissions. Standard rate variations within a particular category 
should be summarized; discounts allowed for advance payment should not 
be included. For these purposes:
    (A) The description, the number of subscribers, and the charge or 
charges made shall reflect the facts existing on the last day of the 
period covered by the Statement; and
    (B) Each entity (for example, the owner of a private home, the 
resident of an apartment, the owner of a motel, or the owner of an 
apartment house) which is charged by the cable system for the basic 
service of providing secondary transmissions shall be considered one 
subscriber.
    (7) The designation ``Gross Receipts'', followed by the gross amount 
paid to the cable system by subscribers for the basic service of 
providing secondary transmissions of primary broadcast transmissions 
during the period covered by the Statement of Account.
    (i) If the cable system maintains its revenue accounts on an accrual 
basis, gross receipts for any accounting period includes all such 
amounts accrued for secondary transmission service furnished during that 
period, regardless of when accrued:
    (A) Less the amount of any bad debts actually written-off during 
that accounting period;
    (B) Plus the amount of any previously written-off bad debts for 
secondary transmission service which were actually recovered during that 
accounting period.
    (ii) If the cable system maintains its revenue accounts on a cash 
basis, gross receipts of any accounting period includes all such amounts 
actually received by the cable system during that accounting period.
    (8) The designation ``Services Other Than Secondary Transmissions: 
Rates,'' followed by a description of each package of service which 
consists solely of services other than secondary transmission services, 
for which a separate charge was made or established, and which the cable 
system furnished or made available to subscribers during the period 
covered by the Statement of Account, together with the amount of such 
charge. However, no information need be given concerning services 
furnished at cost. Specific amounts charged for pay cable programming 
need not be given if the rates are on a variable, per-program basis. 
(The fact of such variable charge shall be indicated.)
    (9) The designation ``Primary Transmitters: Television'', followed 
by an identification of all primary television transmitters whose 
signals were carried by the cable system during the period covered by 
the Statement of Account, other than primary transmitters of programs 
carried by the cable system exclusively pursuant to rules, regulations, 
or authorizations of the FCC in effect on October 19, 1976, permitting 
the substitution of signals under certain circumstances, and required to 
be specially identified by paragraph (e)(11) of this section, together 
with the information listed below:
    (i) The station call sign of the primary transmitter.
    (ii) The name of the community to which that primary transmitter is 
licensed by the FCC (in the case of domestic signals) or with which that 
primary transmitter is identified (in the case of foreign signals).
    (iii) The number of the channel upon which that primary transmitter 
broadcasts in the community to which that primary transmitter is 
licensed by the FCC (in the case of domestic signals) or with which that 
primary transmitter is identified (in the case of foreign signals).
    (iv) A designation as to whether that primary transmitter is a 
``network station'', an ``independent station'', or a ``noncommercial 
educational station''.
    (v) A designation as to whether that primary transmitter is a 
``distant'' station.
    (vi) If that primary transmitter is a ``distant'' station, a 
specification of whether the signals of that primary transmitter are 
carried:
    (A) On a part-time basis where full-time carriage is not possible 
because the cable system lacks the activated channel capacity to 
retransmit on a

[[Page 602]]

full-time basis all signals which it is authorized to carry; or
    (B) On any other basis.

If the signals of that primary transmitter are carried on a part-time 
basis because of lack of activated channel capacity, the Statement shall 
also include a log showing the dates on which such carriage occurred, 
and the hours during which such carriage occurred on those dates. Hours 
of carriage shall be accurate to the nearest quarter-hour, except that, 
in any case where such part-time carriage extends to the end of the 
broadcast day of the primary transmitter, an approximate ending hour may 
be given if it is indicated as an estimate.
    (vii) A designation as to whether the channel carried is a multicast 
stream, and if so, the sub-channel number assigned to that stream by the 
television broadcast licensee.
    (viii) Simulcasts must be reported and labeled on the Statement of 
Accounts form in an easily identifiable manner (e.g., WETA-simulcast).
    (ix) The information indicated by paragraph (e)(9), paragraphs (v) 
through (viii) of this section, is not required to be given by any cable 
system that appropriately completed Form SA1-2 for the period covered by 
the Statement.
    (x) Notwithstanding the requirements of this section, where a cable 
system carried a distant primary transmitter under FCC rules and 
regulations in effect on October 19, 1976 which permitted carriage of 
specific network programs on a part-time basis in certain circumstances 
(former 47 CFR 76.59 (d) (2) and (4), 76.61(e) (2) and (4), and 76.63, 
referring to Sec.76.61(e) (2) and (4), all of which were deleted June 
25, 1981), carriage of that primary transmitter on that basis need not 
be reported, and that carriage is to be excluded in computing the 
distant signal equivalent of that primary transmitter.
    (10) The designation ``Primary Transmitters: Radio'', followed by an 
identification of primary radio transmitters whose signals were carried 
by the cable system during the period covered by the Statement of 
Account, together with the information listed below:
    (i) A designation as to whether each primary transmitter was 
electronically processed by the system as a separate and discrete 
signal.
    (ii) The station call sign of each:
    (A) AM primary transmitter;
    (B) FM primary transmitter, the signals of which were electronically 
processed by the system as separate and discrete signals; and
    (C) FM primary transmitter carried on an all-band retransmission 
basis, the signals of which were generally receivable by the system.
    (iii) A designation as to whether the primary transmitter is AM or 
FM.
    (iv) The name of the community to which that primary transmitter is 
licensed by the FCC (in the case of domestic signals) or with which that 
primary transmitter is identified (in the case of foreign signals).
    (11) A special statement and program log, which shall consist of the 
information indicated below for all nonnetwork television programming 
that, during the period covered by the Statement, was carried in whole 
or in part beyond the local service area of the primary transmitter of 
such programming under (i) rules or regulations of the FCC requiring a 
cable system to omit the further transmission of a particular program 
and permitting the substitution of another program in place of the 
omitted transmission; or (ii) rules, regulations, or authorizations of 
the FCC in effect on October 19, 1976, permitting a cable system, at its 
election, to omit the further transmission of a particular program and 
permitting the substitution of another program in place of the omitted 
transmission:
    (A) The name or title of the substitute program.
    (B) Whether the substitute program was transmitted live by its 
primary transmitter.
    (C) The station call sign of the primary transmitter of the 
substitute program.
    (D) The name of the community to which the primary transmitter of 
the substitute program is licensed by the FCC (in the case of domestic 
signals) or with which that primary transmitter is identified (in the 
case of foreign signals).

[[Page 603]]

    (E) The date when the secondary transmission of the substitute 
program occurred, and the hours during which such secondary transmission 
occurred on that date accurate to the nearest 5 minutes.
    (F) A designation as to whether deletion of the omitted program was 
permitted by the rules, regulations, or authorizations of the FCC in 
effect on October 19, 1976, or was required by the rules, regulations, 
or authorizations of the FCC.
    (12) A statement of the total royalty fee payable for the period 
covered by the Statement of Account, together with a royalty fee 
analysis which gives a clear, complete, and detailed presentation of the 
determination of such fee. This analysis shall present in appropriate 
sequence all facts, figures, and mathematical processes used in 
determining such fee, and shall do so in such manner as required in the 
appropriate form so as to permit the Copyright Office to verify readily, 
from the face of the Statement of Account, the accuracy of such 
determination and fee. The royalty fee analysis is not required to be 
given by any cable system whose gross receipts from subscribers for the 
period covered by the Statement of Account, for the basic service of 
providing secondary transmissions of primary broadcast transmissions, 
total $137,100 or less.
    (13) The name, address, and telephone number of an individual who 
may be contacted by the Copyright Office for further information about 
the Statement of Account.
    (14) A legally binding signature, including an electronic signature 
as defined in 15 U.S.C. 7006, of:
    (i) The owner of the cable system or a duly authorized agent of the 
owner, if the owner is not a partnership or a corporation; or
    (ii) A partner, if the owner is a partnership; or
    (iii) An officer of the corporation, if the owner is a corporation. 
The signature shall be accompanied by:
    (A) The printed name of the person signing the Statement of Account;
    (B) The date of signature;
    (C) If the owner of the cable system is a partnership or a 
corporation, by the title or official position held in the partnership 
or corporation by the person signing the Statement of Account;
    (D) A certification of the capacity of the person signing; and
    (E) A declaration of the veracity of the statements of fact 
contained in the Statement of Account and the good faith of the person 
signing in making such statement of fact.
    (f) Computation of distant signal equivalents. (1) A cable system 
that elects to delete a particular television program and substitute for 
that program another television program (``substitute program'') under 
rules, regulations, or authorizations of the FCC in effect on October 
19, 1976, which permit a cable system, at its election, to omit the 
retransmission of a particular program and substitute another program in 
its place shall compute the distant signal equivalent (``DSE'') of each 
primary transmitter that broadcasts one or more substitute programs by 
dividing:
    (i) The number of the primary transmitter's live, nonnetwork, 
substitute programs that were carried by the cable system, during the 
period covered by the Statement of Account, in substitution for programs 
deleted at the option of the system; by
    (ii) The number of days in the year in which the substitution 
occurred.
    (2)(i) Where a cable system carries a primary transmitter on a full-
time basis during any portion of an accounting period, the system shall 
compute a DSE for that primary transmitter as if it was carried full-
time during the entire accounting period.
    (ii) Where a cable system carries a primary transmitter solely on a 
substitute or part-time basis, in accordance with paragraph (f)(3) of 
this section, the system shall compute a DSE for that primary 
transmitter based on its cumulative carriage on a substitute or part-
time basis. If that primary transmitter is carried on a full-time basis 
as well as on a substitute or part-time basis, the full DSE for that 
primary transmitter shall be the full DSE type value for that primary 
transmitter, for the entire accounting period.
    (3) In computing the DSE of a primary transmitter in a particular 
case of carriage on or after July 1, 1981, the

[[Page 604]]

cable system may make no prorated adjustments other than those specified 
in 17 U.S.C. 111(f)(5)(B), and which remain in force under that 
provision. Two prorated adjustments, as prescribed in that section, are 
permitted under certain conditions where:
    (i) A station is carried on a part-time basis where full-time 
carriage is not possible because the cable system lacks the activated 
channel capacity to retransmit on a full-time basis all signals which it 
is authorized to carry; and
    (ii) A station is carried on a ``substitute'' basis under rules, 
regulations, or authorizations of the FCC in effect on October 19, 1976 
(as defined in 17 U.S.C. 111(f)(5)(B)(ii)), which permitted a cable 
system, at its election, to omit the retransmission of a particular 
program and substitute another program in its place.
    (4) In computing a DSE, a cable system may round off to the third 
decimal point. If a DSE is rounded off in any case in a Statement of 
Account, it must be rounded off throughout the Statement. Where a cable 
system has chosen to round off, and the fourth decimal point for a 
particular DSE value would, without rounding off, have been 1, 2, 3, or 
4, the third decimal point remains unchanged; if, in such a case, the 
fourth decimal point would, without rounding off, be 5, 6, 7, 8, or 9, 
the third decimal point must be rounded off to the next higher number.
    (5) For the purposes of computing DSE values, specialty primary 
television transmitters in the United States and all Canadian and 
Mexican primary television transmitters shall be assigned a value of 
one.
    (g) Computation of copyright royalty fee: subscriber groups. (1) If 
a cable system provides a secondary transmission of a primary 
transmitter to some, but not all, communities served by that cable 
system--
    (i) The gross receipts and the distant signal equivalent values for 
such secondary transmission shall be derived solely on the basis of the 
subscribers in those communities where the cable system provides such 
secondary transmission; and
    (ii) The total royalty fee for the period paid by such system shall 
not be less than the minimum fee multiplied by the gross receipts from 
all subscribers to the system.
    (2) A cable system that, on a statement submitted before the date of 
the enactment of the Satellite Television Extension and Localism Act of 
2010, computed its royalty fee consistent with the methodology under 
paragraph (i)(1) of this section or that amends a statement filed before 
such date of enactment to compute the royalty fee due using such 
methodology, shall not be subject to an action for infringement, or 
eligible for any royalty refund or offset, arising out of the use of 
such methodology on such statement.
    (3) Any royalty fee payments received by the Copyright Office from 
cable systems for the secondary transmission of primary transmissions 
that are in addition to the payments calculated and deposited in 
accordance with this subsection shall be deemed to have been deposited 
for the particular accounting period for which they are received and 
shall be distributed as specified under subsection 111(d) of title 17, 
United States Code. Such payments shall be considered as part of the 
base rate royalty fund.
    (4) The royalty fee rates established by the Satellite Television 
Extension and Localism Act shall take effect commencing with the first 
accounting period occurring in 2010.
    (h) Computation of the copyright royalty fee: Partially distant 
stations. A cable system located partly within and partly without the 
local service area of a primary television transmitter (``partially 
distant station'') computes the royalty fee specified in section 
111(d)(1)(B) (ii), (iii), and (iv) of the Copyright Act (``DSE fee'') by 
excluding gross receipts from subscribers located within that station's 
local service area from total gross receipts. A cable system which 
carries two or more partially distant stations with local service areas 
that do not exactly coincide shall compute a separate DSE fee for each 
group of subscribers who are located outside of the local service areas 
of exactly the same complement of distant stations. Computation of the 
DSE fee for each subscriber group is to be based on:

[[Page 605]]

    (1) The total distant signal equivalents of that group's complement 
of distant stations, and
    (2) The total gross receipts from that group of subscribers. The 
copyright royalty fee for that cable system is:
    (i) The total of the subscriber group royalty fees thus computed, or
    (ii) 1.013 of 1 percent of the system's gross receipts from all 
subscribers, whichever is larger.
    (i) Computation of the copyright royalty fee pursuant to the 1982 
cable rate adjustment. (1) For the purposes of this paragraph, in 
addition to the definitions of paragraph (b) of this section, the 
following definitions shall also apply:
    (i) Current base rate means the applicable royalty rates in effect 
on December 31, 1982, as reflected in 37 CFR 256.2(a).
    (ii) If the 3.75% rate does not apply to certain DSE's in the case 
of a cable system located wholly or in part within a top 100 television 
market, the current base rate together with the surcharge shall apply. 
However, the surcharge shall not apply for carriage of a particular 
signal first carried prior to March 31, 1972. With respect to statements 
of account covering the filing period beginning January 1, 1990, and 
subsequent filing periods, the current base rate together with the 
surcharge shall apply only to those DSE's that represent commercial VHF 
signals which place a predicted Grade B contour, in whole or in part, 
over a cable system. The surcharge will not apply if the signal is 
exempt from the syndicated exclusivity rules in effect on June 24, 1981.
    (iii) The 3.75% rate means the rate established by 37 CFR 256.2(c), 
in effect on March 15, 1983.
    (iv) Top 100 television market means a television market defined or 
interpreted as being within either the ``top 50 television markets'' or 
``second 50 television markets'' in accordance with 47 CFR 76.51, in 
effect on June 24, 1981.
    (v) The 1982 cable rate adjustment means the rate adjustment adopted 
by the Copyright Royalty Tribunal on October 20, 1982 (CRT Docket No. 
81-2, 47 FR 52146, November 19, 1982).
    (2) A cable system filing Form SA3 shall compute its royalty fee in 
the following manner:
    (i) The cable system shall first determine those DSE's to which the 
3.75% rate established by 37 CFR 256.2(c) applies.
    (ii) If the 3.75% rate does not apply to certain DSE's in the case 
of a cable system located wholly or in part within a top 100 television 
market, the current base rate together with the surcharge shall apply. 
However, the surcharge shall not apply for carriage of a particular 
signal first carried prior to March 31, 1972. With respect to statements 
of account covering the filing period beginning January 1, 1990, and 
subsequent filing periods, the current base rate together with the 
surcharge shall apply only to those DSE's that represent commercial VHF 
signals which place a predicted Grade B contour, in whole or in part, 
over a cable system. The surcharge will not apply if the signal is 
exempt from the syndicated exclusivity rules in effect on June 24, 1981.
    (iii) If the 3.75% rate does not apply to certain DSE's, in the case 
of a cable system located wholly outside a top 100 television market, 
the current base rate shall apply.
    (iv) Commencing with the semiannual accounting period of January 1, 
1998, through June 30, 1998, the 3.75% rate applies to certain DSE's 
with respect to the communities within the cable system where carriage 
would not have been permitted under the rules and regulations of the 
Federal Communications Commission in effect on June 24, 1981, but in all 
other communities within the cable system, the current base rate and the 
syndicated exclusivity surcharge, where applicable, shall apply. Such 
computation shall be made as provided for on Form SA3. The calculations 
shall be based upon the gross receipts from all subscribers, within the 
relevant communities, for the basic service of providing secondary 
transmissions of primary broadcast transmitters, without regard to 
whether those subscribers actually received the station in question. For 
partially-distant stations, gross receipts shall be the total gross 
receipts

[[Page 606]]

from subscribers outside the local service area.
    (3) It shall be presumed that the 3.75% rate of 37 CFR 308.2(c) 
applies to DSEs accruing from newly added distant signals, carried for 
the first time by a cable system after June 24, 1981. The presumption of 
this section can be rebutted in whole or in part:
    (i) By actual carriage of a particular distant signal prior to June 
25, 1981, as reported in Statements of Account duly filed with the 
Copyright Office (``actual carriage''), unless the prior carriage was 
not permitted by the FCC; or
    (ii) By carriage of no more than the number of distant signals which 
was or would have been allotted to the cable system under the FCC's 
quota for importation of network and nonspecialty independent stations 
(47 CFR 76.59(b), 76.61(b) and (c), and 76.63, referring to Sec.
76.61(b) and (c), in effect on June 24, 1981).
    (4) To qualify as an FCC-permitted signal on the ground of 
individual waiver of the FCC rules (47 CFR 76.7 in effect on June 24, 
1981), the waiver must have actually been granted by the FCC, and the 
signal must have been first carried by the cable system after April 15, 
1976.
    (5) Expanded geographic carriage after June 24, 1981, of a signal 
previously carried within only certain parts of a cable system is 
governed by the current base rate and the surcharge, if applicable.
    (6) In cases of expanded temporal carriage of the same signal, 
previously carried pursuant to the FCC's former part-time or substitute 
carriage rules (47 CFR 76.61(b)(2), 76.61 (e)(1) and (e)(3), and 76.63, 
referring to 76.61 (e)(1) and (e)(3), in effect on June 24, 1981), the 
3.75% rate shall be applied to any additional fraction of a DSE accruing 
from the expanded temporal carriage of that signal. To identify such 
additional DSE's, a comparison shall be made of DSE's reported for that 
signal in any single accounting period prior to the July 1, 1981, to 
December 31, 1981, period (81-2), as designated by the cable system, 
with the DSE's for that same signal reported in the current relevant 
accounting period.
    (7) Substitution of like signals pursuant to 37 CFR 256.2(c) is 
possible at the relevant non-3.75% rate (the surcharge together with the 
current base rate, or the current base rate alone) only if the 
substitution does not exceed the number of distant signals which was or 
would have been allotted to the cable system under the FCC's television 
market quota for importation of network and nonspecialty independent 
stations (47 CFR 76.59(b), 76.61 (b) and (c), and 76.63, referring to 
76.61 (b) and (c), in effect on June 24, 1981.
    (8) The 3.75% rate does not apply to distant multicast streams 
retransmitted by cable systems.
    (j) Multicasting. (1) A royalty payment shall be made for the 
retransmission of non-network television programming carried on each 
multicast stream of a distant digital television signal under the 
following circumstances:
    (i) If the distant multicast stream was first retransmitted by a 
cable system on or after February 27, 2010, or
    (ii) If the distant multicast stream is retransmitted by a cable 
operator on or after July 1, 2010.
    (2) In any case in which a distant multicast stream is the subject 
of a written agreement entered into on or before June 30, 2009, between 
a cable system or an association representing the cable system and a 
primary transmitter or an association representing the primary 
transmitter, a distant signal equivalent value shall not be assigned to 
a distant multicast stream that is made on or before the date on which 
such written agreement expires.
    (3) No royalties are due for carrying a distant multicast stream 
that ``simulcasts'' (i.e., duplicates) a primary stream or another 
multicast stream of the same station that the cable system is carrying. 
However, simulcast streams must be reported on the Statement of 
Accounts.
    (4) Multicast streams of digital broadcast programming shall not be 
subject to the 3.75% fee or the syndicated exclusivity surcharge.
    (k) Royalty fee payment. (1) All royalty fees must be paid by 
electronic funds transfer, and must be received in the designated bank 
by the filing deadline for the relevant accounting period.

[[Page 607]]

The following information must be provided as part of the EFT and/or as 
part of the remittance advice as provided for in circulars issued by the 
Copyright Office:
    (i) Remitter's name and address;
    (ii) Name of a contact person, telephone number and extension, and 
e-mail address;
    (iii) The actual or anticipated date that the EFT will be 
transmitted;
    (iv) Type of royalty payment (i.e., cable);
    (v) Total amount submitted via the EFT;
    (vi) Total amount to be paid by year and period;
    (vii) Number of Statements of Account that the EFT covers;
    (viii) ID numbers assigned by the Licensing Division;
    (ix) Legal name of the owner for each Statement of Account;
    (x) Identification of the first community served (city and state).
    (2) The remittance advice shall be attached to the Statement(s) of 
Account. In addition, a copy of the remittance advice shall be emailed 
or sent by facsimile to the Licensing Division.
    (3) The Office may waive the requirement for payment by electronic 
funds transfer as set forth in paragraph (i)(1) of this section. To 
obtain a waiver, the remitter shall submit to the Licensing Division at 
least 60 days prior to the royalty fee due date a certified statement 
setting forth the reasons explaining why payment by an electronic funds 
transfer would be virtually impossible or, alternatively, why it would 
impose a financial or other hardship on the remitter. The certified 
statement must be signed by a duly authorized representative of the 
entity making the payment. A waiver shall cover only a single payment 
period. Failure to obtain a waiver may result in the remittance being 
returned to the remitter.
    (4) Royalty fee payments submitted as a result of late or amended 
filings shall include interest. Interest shall begin to accrue beginning 
on the first day after the close of the period for filing statements of 
account for all late payments and underpayments of royalties for the 
cable statutory license occurring within that accounting period. The 
accrual period shall end on the date the electronic payment submitted by 
a cable operator is received. The accrual period shall end on the date 
the electronic payment submitted by a satellite carrier is received by 
the Copyright Office. In cases where a waiver of the electronic funds 
transfer requirement is approved by the Copyright Office, and royalties 
payments are either late or underpaid, the accrual period shall end on 
the date the payment is postmarked. If the payment is not received by 
the Copyright Office within five business days of its date, then the 
accrual period shall end on the date of the actual receipt by the 
Copyright Office. Interest is not required to be paid on any royalty 
underpayment or late payment from a particular accounting period if the 
interest charge is less than or equal to five dollars.
    (l) Corrections, supplemental payments, and refunds. (1) Royalty fee 
obligations under 17 U.S.C. 111 prior to the effective date of the 
Satellite Television Extension and Localism Act of 2010, Public Law 111-
175, are determined based on carriage of each distant signal on a 
system-wide basis. Refunds for an overpayment of royalty fees for an 
accounting period prior to January 1, 2010, shall be made only when all 
outstanding royalty fee obligations have been met, including those for 
carriage of each distant signal on a system-wide basis.
    (2) Upon compliance with the procedures and within the time limits 
set forth in paragraph (m)(4) of this section, corrections to Statements 
of Account will be placed on record, supplemental royalty fee payments 
will be received for deposit, or refunds will be issued, in the 
following cases:
    (i) Where, with respect to the accounting period covered by a 
Statement of Account, any of the information given in the Statement 
filed in the Copyright Office is incorrect or incomplete; or
    (ii) Where, for any reason except that mentioned in paragraph 
(m)(2)(iii) of this section, calculation of the royalty fee payable for 
a particular accounting period was incorrect, and the amount deposited 
in the Copyright Office for that period was either too high or too low.

[[Page 608]]

    (3) Corrections to Statements of Account will not be placed on 
record, supplemental royalty fee payments will not be received for 
deposit, and refunds will not be issued, where the information in the 
Statements of Account, the royalty fee calculations, or the payments 
were correct as of the date on which the accounting period ended, but 
changes (for example, addition or deletion of a distant signal) took 
place later.
    (4) Requests that corrections to a Statement of Account be placed on 
record, that fee payments be accepted, or requests for the issuance of 
refunds, shall be made only in the cases mentioned in paragraph (m)(2) 
of this section. Such requests shall be addressed to the Licensing 
Division of the Copyright Office, and shall meet the following 
conditions:
    (i) The request must be in writing, must clearly identify its 
purpose, and, in the case of a request for a refund, must be received in 
the Copyright Office before the expiration of 60 days from the last day 
of the applicable Statement of Account filing period, or before the 
expiration of 60 days from the date of receipt at the Copyright Office 
of the royalty payment that is the subject of the request, whichever 
time period is longer. Telephone or similar unsigned requests that meet 
these conditions may be permitted, where a follow-up written request 
detailing the same information is received by the Copyright Office 
within fourteen days after the required sixty-day period.
    (ii) The Statement of Account to which the request pertains must be 
sufficiently identified in the request (by inclusion of the name of the 
owner of the cable system, the community or communities served, and the 
accounting period in question) so that it can be readily located in the 
records of the Copyright Office.
    (iii) The request must contain a clear statement of the facts on 
which it is based and provide a clear basis on which a refund may be 
granted, in accordance with the following procedures:
    (A) In the case of a request filed under paragraph (m)(2)(i) of this 
section, where the information given in the Statement of Account is 
incorrect or incomplete, the request must clearly identify the erroneous 
or incomplete information and provide the correct or additional 
information;
    (B) In the case of a request filed under paragraph (m)(2)(ii) of 
this section, where the royalty fee was miscalculated and the amount 
deposited in the Copyright Office was either too high or too low, the 
request must be accompanied by an amended Statement of Account. The 
amended Statement shall include an explanation of why the royalty fee 
was improperly calculated and a detailed analysis of the proper royalty 
calculations.
    (iv)(A) All requests filed under this paragraph (m) must be 
accompanied by a filing fee in the amount prescribed in Sec.201.3(e) 
of this part for each Statement of Account involved. Payment of this fee 
may be in the form of a personal or company check, or of a certified 
check, cashier's check or money order, payable to: Register of 
Copyrights. No request will be processed until the appropriate filing 
fees are received; and
    (B) All requests that a supplemental royalty fee payment be received 
for deposit under this paragraph (m) must be accompanied by a remittance 
in the full amount of such fee. Payment of the supplemental royalty fee 
must be in the form of a certified check, cashier's check, or money 
order, payable to: Register of Copyrights; or an electronic payment. No 
such request will be processed until an acceptable remittance in the 
full amount of the supplemental royalty fee has been received.
    (v) All requests submitted under this paragraph (m) must be signed 
by the cable system owner named in the Statement of Account, or the duly 
authorized agent of the owner, in accordance with paragraph (e)(14) of 
this section.
    (vi) A request for a refund is not necessary where the Licensing 
Division, during its examination of a Statement of Account or related 
document, discovers an error that has resulted in a royalty overpayment. 
In this case, the Licensing Division will forward the royalty refund to 
the cable system

[[Page 609]]

owner named in the Statement of Account without regard to the time 
limitations provided for in paragraph (m)(4)(i) of this section.
    (5) Following final processing, all requests submitted under this 
paragraph (m) will be filed with the original Statement of Account in 
the records of the Copyright Office. Nothing contained in this paragraph 
shall be considered to relieve cable systems from their full obligations 
under title 17 of the United States Code, and the filing of a correction 
or supplemental payment shall have only such effect as may be attributed 
to it by a court of competent jurisdiction.
    (m) Satellite carriers not eligible. Satellite carriers and 
satellite resale carriers are not eligible for the cable compulsory 
license based upon an interpretation of the whole of section 111 of 
title 17 of the United States Code.

(17 U.S.C. 111, 702, 708)

[43 FR 27832, June 27, 1978]

    Editorial Note: For Federal Register citations affecting Sec.
201.17, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.govinfo.gov.

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.201.17 was 
amended by removing ``Licensing Division'' from each place it appears 
and adding in its place ``Licensing Section'', effective July 22, 2021.



Sec.201.18  Notice of intention to obtain a compulsory license for
making and distributing phonorecords of nondramatic musical works.

    (a) General. (1) A ``Notice of Intention'' is a Notice identified in 
section 115(b) of title 17 of the United States Code. If the eligibility 
requirements of 17 U.S.C. 115(a) are satisfied, then, subject to 17 
U.S.C. 115(b), a person may serve on a copyright owner or file with the 
Copyright Office, as applicable, a Notice of Intention and thereby 
obtain a compulsory license pursuant to 17 U.S.C. 115.
    (2)(i) To obtain a compulsory license to make and distribute 
phonorecords of a musical work other than by means of digital 
phonorecord delivery, a Notice must be served on the copyright owner or, 
if the registration or other public records of the Copyright Office do 
not identify the copyright owner and include an address at which Notice 
can be served, filed with the Copyright Office, before, or not later 
than 30 calendar days after, making, and before distributing, any 
phonorecord of the work.
    (ii) Prior to the license availability date, as defined in 17 U.S.C. 
115(e), to obtain a compulsory license to make and distribute 
phonorecords of a musical work by means of digital phonorecord delivery, 
a Notice must be served on the copyright owner, before, or not later 
than 30 calendar days after, first making any such digital phonorecord 
delivery. On and after the license availability date, as defined in 17 
U.S.C. 115(e), to obtain such a compulsory license, the procedure 
described in 17 U.S.C. 115(d)(2) must be followed. As of October 11, 
2018, the Copyright Office does not accept Notices that pertain to 
digital phonorecord deliveries, regardless of whether such a Notice also 
pertains to phonorecords that are not digital phonorecord deliveries.
    (iii) Notwithstanding paragraph (a)(2)(ii) of this section, a record 
company, as defined in 17 U.S.C. 115(e), may, on or after the license 
availability date, as defined in 17 U.S.C. 115(e), obtain an individual 
download license, as described in 17 U.S.C. 115(b)(3) and defined in 17 
U.S.C. 115(e), by serving a Notice on the copyright owner, before, or 
not later than 30 calendar days after, first making any digital 
phonorecord delivery in the form of a permanent download.
    (3) For the purposes of this section, a ``digital phonorecord 
delivery'' means each individual delivery of a phonorecord by digital 
transmission of a sound recording that results in a specifically 
identifiable reproduction by or for any transmission recipient of a 
phonorecord of that sound recording, regardless of whether the digital 
transmission is also a public performance of the sound recording or any 
musical work embodied therein. The reproduction of the phonorecord must 
be sufficiently permanent or stable to permit it to be perceived, 
reproduced, or otherwise communicated for a period of more than 
transitory duration. Such a phonorecord may be permanent or it

[[Page 610]]

may be made available to the transmission recipient for a limited period 
of time or for a specified number of performances. A digital phonorecord 
delivery includes all phonorecords that are made for the purpose of 
making the digital phonorecord delivery. Notwithstanding the foregoing, 
a permanent download, a limited download, or an interactive stream, as 
defined in 17 U.S.C. 115(e), is a digital phonorecord delivery. A 
digital phonorecord delivery does not include the digital transmission 
of sounds accompanying a motion picture or other audiovisual work as 
defined in 17 U.S.C. 101.
    (4) As eligible under paragraph (a)(2) of this section, a Notice of 
Intention shall be served or filed for nondramatic musical works 
embodied, or intended to be embodied, in phonorecords made under the 
compulsory license. For purposes of this section and subject to 
paragraphs (a)(4)(ii) and (iii) of this section, a Notice filed with the 
Copyright Office which lists multiple works shall be considered a single 
Notice and fees shall be paid in accordance with the fee schedule set 
forth in Sec.201.3(e)(1) if filed in the Copyright Office under 
paragraph (f)(2) or (3) of this section. Payment of the applicable fees 
for a Notice submitted electronically under this paragraph shall be made 
through a deposit account established under Sec.201.6(b).
    (i) Except as provided for in paragraph (a)(7), a Notice of 
Intention served on a copyright owner or agent of a copyright owner may 
designate any number of nondramatic musical works provided that the 
information required under paragraphs (d)(1)(i) through (iv) of this 
section does not vary and that the copyright owner of each designated 
work is the same, or in the case of any work having more than one 
copyright owner, that any one of the copyright owners is the same and is 
the copyright owner served.
    (ii) A Notice of Intention filed in the Copyright Office in paper 
form may designate any number of nondramatic musical works provided that 
the information required under paragraphs (d)(1)(i) through (iv) of this 
section does not vary, and that the copyright owner of each designated 
work (or, in the case of works having more than one copyright owner, any 
one of the copyright owners) is the same and the registration records or 
other public records of the Copyright Office do not identify the 
copyright owner(s) of such work(s) and include an address for any such 
owner(s) at which notice can be served. For purposes of this 
subparagraph, in the case of works having more than one copyright owner, 
a single Notice must identify an actual person or entity as the common 
copyright owner; the common copyright owner may not be identified as 
``unknown.'' However, a single Notice may include multiple works for 
which no copyright owners can be identified for any of the listed works.
    (iii) A Notice of Intention filed in the Copyright Office through 
its electronic filing system may designate multiple nondramatic musical 
works, regardless of whether the copyright owner of each designated work 
(or, in the case of any work having more than one copyright owner, any 
one of the copyright owners) is the same, provided that the information 
required under paragraphs (d)(1)(i) through (iv) of this section does 
not vary, and that for any designated work, the records of the Copyright 
Office do not include an address at which notice can be served.
    (5) For the purposes of this section, the term ``copyright owner,'' 
in the case of any work having more than one copyright owner, means any 
one of the co-owners.
    (6) For the purposes of this section, service of a Notice of 
Intention on a copyright owner may be accomplished by means of service 
of the Notice on either the copyright owner or an agent of the copyright 
owner with authority to receive the Notice. In the case where the work 
has more than one copyright owner, the service of the Notice on any one 
of the co-owners of the nondramatic musical work or upon an authorized 
agent of one of the co-owners identified in the Notice of Intention 
shall be sufficient with respect to all co-owners. A single Notice may 
designate works not owned by the same copyright owner in the case where 
the Notice is served on a common agent of multiple copyright owners, and 
where each of the works designated in the Notice is owned by any of the 
copyright

[[Page 611]]

owners who have authorized that agent to receive Notices.
    (7) For purposes of this section, a copyright owner or an agent of a 
copyright owner with authority to receive Notices of Intention may make 
public a written policy that it will accept Notices of Intention to make 
and distribute phonorecords pursuant to 17 U.S.C. 115 which include less 
than all of the information required by this section, in a form 
different than required by this section, or delivered by means 
(including electronic transmission) other than those required by this 
section. Any Notice provided in accordance with such policy shall not be 
rendered invalid for failing to comply with the specific requirements of 
this section.
    (8) For the purposes of this section, a digital phonorecord delivery 
shall be treated as a type of phonorecord configuration, and a digital 
phonorecord delivery shall be treated as a phonorecord manufactured, 
made, and distributed on the date the phonorecord is digitally 
transmitted.
    (b) Agent. An agent who has been authorized to accept Notices of 
Intention in accordance with paragraph (a)(6) of this section and who 
has received a Notice of Intention on behalf of a copyright owner shall 
provide within two weeks of the receipt of that Notice of Intention the 
name and address of the copyright owner or its agent upon whom the 
person or entity intending to obtain the compulsory license shall serve 
Statements of Account and the monthly royalty in accordance with Sec.
210.6(g) of this chapter.
    (c) Form. The Copyright Office does not provide physical printed 
forms for the use of persons serving or filing Notices of Intention, but 
Notices filed electronically must be submitted to the Office in the form 
and manner prescribed in instructions on the Office's website.
    (d) Content. (1) A Notice of Intention shall be clearly and 
prominently designated, at the head of the notice, as a ``Notice of 
Intention to Obtain a Compulsory License for Making and Distributing 
Phonorecords,'' and shall include a clear statement of the following 
information:
    (i) The full legal name of the person or entity intending to obtain 
the compulsory license, together with all fictitious or assumed names 
used by such person or entity for the purpose of conducting the business 
of making and distributing phonorecords;
    (ii) The telephone number, the full address, including a specific 
number and street name or rural route of the place of business, and an 
e-mail address, if available, of the person or entity intending to 
obtain the compulsory license, and if a business organization intends to 
obtain the compulsory license, the name and title of the chief executive 
officer, managing partner, sole proprietor or other person similarly 
responsible for the management of such entity. A post office box or 
similar designation will not be sufficient for this purpose except where 
it is the only address that can be used in that geographic location.
    (iii) The information specified in paragraphs (d)(1)(i) and (ii) of 
this section for the primary entity expected to be engaged in the 
business of making and distributing phonorecords under the license or of 
authorizing such making and distribution, if an entity intending to 
obtain the compulsory license is a holding company, trust or other 
entity that is not expected to be actively engaged in the business of 
making and distributing phonorecords under the license or of authorizing 
such making and distribution;
    (iv) The fiscal year of the person or entity intending to obtain the 
compulsory license. If that fiscal year is a calendar year, the Notice 
shall state that this is the case;
    (v) For each nondramatic musical work embodied or intended to be 
embodied in phonorecords made under the compulsory license:
    (A) The title of the nondramatic musical work;
    (B) The name of the author or authors, if known;
    (C) A copyright owner of the work, if known;
    (D) The types of all phonorecord configurations already made (if 
any) and expected to be made under the compulsory license (for example: 
single disk, long-playing disk, cassette, cartridge,

[[Page 612]]

reel-to-reel, a digital phonorecord delivery (if eligible under 
paragraph (a)(2) of this section), or a combination of them);
    (E) The expected date of initial distribution of phonorecords 
already made (if any) or expected to be made under the compulsory 
license;
    (F) The name of the principal recording artist or group actually 
engaged or expected to be engaged in rendering the performances fixed on 
phonorecords already made (if any) or expected to be made under the 
compulsory license;
    (G) The catalog number or numbers, and label name or names, used or 
expected to be used on phonorecords already made (if any) or expected to 
be made under the compulsory license; and
    (H) In the case of phonorecords already made (if any) under the 
compulsory license, the date or dates of such manufacture.
    (vi) In the case where the Notice will be filed with the Copyright 
Office pursuant to paragraph (f)(3) of this section, the Notice shall 
include an affirmative statement that with respect to the nondramatic 
musical work named in the Notice of Intention, the registration records 
or other public records of the Copyright Office have been searched and 
found not to identify the name and address of the copyright owner of 
such work.
    (2) A ``clear statement'' of the information listed in paragraph 
(d)(1) of this section requires a clearly intelligible, legible, and 
unambiguous statement in the Notice itself and without incorporation by 
reference of facts or information contained in other documents or 
records.
    (3) Where information is required to be given by paragraph (d)(1) of 
this section ``if known'' or as ``expected,'' such information shall be 
given in good faith and on the basis of the best knowledge, information, 
and belief of the person signing the Notice. If so given, later 
developments affecting the accuracy of such information shall not affect 
the validity of the Notice.
    (e) Signature. The Notice shall be signed by the person or entity 
intending to obtain the compulsory license or by a duly authorized agent 
of such person or entity.
    (1) If the person or entity intending to obtain the compulsory 
license is a corporation, the signature shall be that of a duly 
authorized officer or agent of the corporation.
    (2) If the person or entity intending to obtain the compulsory 
license is a partnership, the signature shall be that of a partner or of 
a duly authorized agent of the partnership.
    (3) If the Notice is signed by a duly authorized agent for the 
person or entity intending to obtain the compulsory license, the Notice 
shall include an affirmative statement that the agent is authorized to 
execute the Notice of Intention on behalf of the person or entity 
intending to obtain the compulsory license.
    (4) If the Notice is served electronically, the person or entity 
intending to obtain the compulsory license and the copyright owner shall 
establish a procedure to verify that the Notice is being submitted upon 
the authority of the person or entity intending to obtain the compulsory 
license.
    (5) If the Notice is filed in the Office electronically, the person 
or entity intending to obtain the compulsory license or a duly 
authorized agent of such person or entity shall, rather than signing the 
Notice, attest that he or she has the appropriate authority of the 
licensee, including any related entities listed, if applicable, to 
submit the electronically filed Notice on behalf of the licensee.
    (f) Filing and service. (1) As eligible under paragraph (a)(2) of 
this section, if the registration records or other public records of the 
Copyright Office identify the copyright owner of the nondramatic musical 
works named in the Notice of Intention and include an address for such 
owner, the Notice may be served on such owner by mail sent to, or by 
reputable courier service at, the last address for such owner shown by 
the records of the Office.
    (2) If a Notice of Intention seeking a compulsory license to make 
and distribute phonorecords of a musical work other than by means of 
digital phonorecord delivery is sent by mail or delivered by reputable 
courier service to the last address for the copyright owner shown by the 
records of the Copyright Office and the Notice is returned to the

[[Page 613]]

sender because the copyright owner is no longer located at the address 
or has refused to accept delivery, the original Notice as sent shall be 
filed in the Copyright Office. Notices of Intention submitted for filing 
under this paragraph (f)(2) shall be submitted to the Licensing Division 
of the Copyright Office, shall be accompanied by the fee specified in 
Sec.201.3(e) and a brief statement that the Notice was sent to the 
last address for the copyright owner shown by the records of the 
Copyright Office but was returned, and may be accompanied by appropriate 
evidence that it was mailed to, or that delivery by reputable courier 
service was attempted at, that address. In these cases, the Copyright 
Office will specially mark its records to consider the date the original 
Notice was mailed, or the date delivery by courier service was 
attempted, if shown by the evidence mentioned above, as the date of 
filing. An acknowledgment of receipt and filing will be provided to the 
sender.
    (3) If, with respect to the nondramatic musical works named in a 
Notice of Intention seeking a compulsory license to make and distribute 
phonorecords of a musical work other than by means of digital 
phonorecord delivery, the registration records or other public records 
of the Copyright Office do not identify the copyright owner of such work 
and include an address for such owner, the Notice may be filed in the 
Copyright Office. Notices of Intention submitted for filing shall be 
accompanied by the fee specified in Sec.201.3(e). A separate fee shall 
be assessed for each title listed in the Notice. Notices of Intention 
will be placed in the appropriate public records of the Licensing 
Division of the Copyright Office. The date of filing will be the date 
when the Notice and fee are both received in the Copyright Office. An 
acknowledgment of receipt and filing will be provided to the sender.
    (4) Alternatively, if the person or entity intending to obtain the 
compulsory license knows the name and address of the copyright owner of 
the nondramatic musical work, or the agent of the copyright owner as 
described in paragraph (b) of this section, the Notice of Intention may 
be served on the copyright owner or the agent of the copyright owner by 
sending the Notice by mail or delivering it by reputable courier service 
to the address of the copyright owner or agent of the copyright owner. 
For purposes of 17 U.S.C. 115(b), the Notice will not be considered 
properly served if the Notice is not sent to the copyright owner or the 
agent of the copyright owner as described in paragraph (b) of this 
section, or if the Notice is sent to an incorrect address.
    (5) If a Notice of Intention is sent by certified mail or registered 
mail, a mailing receipt shall be sufficient to prove that service was 
timely. If a Notice of Intention is delivered by a reputable courier, 
documentation from the courier showing the first date of attempted 
delivery shall also be sufficient to prove that service was timely. In 
the absence of a receipt from the United States Postal Service showing 
the date of delivery or documentation showing the first date of 
attempted delivery by a reputable courier, the compulsory licensee shall 
bear the burden of proving that the Notice of Intention was served in a 
timely manner.
    (6) If a Notice served upon a copyright owner or an authorized agent 
of a copyright owner identifies more than 50 works that are embodied or 
intended to be embodied in phonorecords made under the compulsory 
license, the copyright owner or the authorized agent may send the person 
who served the Notice a demand that a list of each of the works so 
identified be resubmitted in an electronic format, along with a copy of 
the original Notice. The person who served the Notice must submit such a 
list, which shall include all of the information required in paragraph 
(d)(1)(v) of this section, within 30 days after receipt of the demand 
from the copyright owner or authorized agent. The list shall be 
submitted on magnetic disk or another medium widely used at the time for 
electronic storage of data, in the form of a flat file, word processing 
document or spreadsheet readable with computer software in wide use at 
such time, with the required information identified and/or delimited so 
as to be readily discernible. The list may be submitted by means of 
electronic transmission (such

[[Page 614]]

as e-mail) if the demand from the copyright owner or authorized agent 
states that such submission will be accepted.
    (g) Filing date and legal sufficiency of Notices. The Copyright 
Office will notify a prospective licensee when a Notice was not 
accompanied by payment of the required fee. Notices shall be deemed 
filed as of the date the Office receives both the Notice and the fee, if 
applicable. If the prospective licensee fails to remit the required fee, 
the Notice will be deemed not to have been filed with the Office. 
However, the Copyright Office does not review Notices for legal 
sufficiency or interpret the content of any Notice filed with the 
Copyright Office under this section. Furthermore, the Copyright Office 
does not screen Notices for errors or discrepancies and it does not 
generally correspond with a prospective licensee about the sufficiency 
of a Notice. If any issue (other than an issue related to fees) arises 
as to whether a Notice filed in the Copyright Office is sufficient as a 
matter of law under this section, that issue shall be determined not by 
the Copyright Office, but shall be subject to a determination of legal 
sufficiency by a court of competent jurisdiction. Prospective licensees 
are therefore cautioned to review and scrutinize Notices to assure their 
legal sufficiency before filing them in the Copyright Office. 
Notwithstanding the foregoing, the Copyright Office will examine Notices 
to ensure that they do not pertain to digital phonorecord deliveries. 
Any Notice submitted to the Office that does pertain to digital 
phonorecord deliveries, regardless of whether such a Notice also 
pertains to phonorecords that are not digital phonorecord deliveries, 
will be rejected. The Office's decision to accept or reject such a 
Notice is without prejudice to any party claiming that the Notice does 
or does not pertain to digital phonorecord deliveries, including before 
a court of competent jurisdiction.
    (h) Harmless errors. Harmless errors in a Notice that do not 
materially affect the adequacy of the information required to serve the 
purposes of 17 U.S.C. 115(b), shall not render the Notice invalid.
    (i) Privacy Act Advisory Statement. The authority for receiving the 
personally identifying information included within a Notice of Intention 
to obtain a compulsory license is found in 17 U.S.C. 115 and Sec.
201.18. Personally identifying information is any personal information 
that can be used to identify or trace an individual, such as name, 
address or telephone numbers. Furnishing the information set forth in 
Sec.201.18 is voluntary. However, if the information is not furnished, 
it may affect the sufficiency of Notice of Intention to obtain a 
compulsory license and may not entitle the prospective licensee to the 
benefits available under 17 U.S.C. 115. The principal uses of the 
requested information are the establishment and maintenance of a public 
record of the Notices of Intention to obtain a compulsory license 
received in the Licensing Division of the Copyright Office. Other 
routine uses include public inspection and copying, preparation of 
public indexes, preparation of public catalogs of copyright records 
including online catalogs, and preparation of search reports upon 
request.

[69 FR 34582, June 22, 2004, as amended at 73 FR 66181, Nov. 7, 2008; 77 
FR 71103, Nov. 29, 2012; 79 FR 56206, Sept. 18, 2014; 82 FR 9358, Feb. 
6, 2017; 83 FR 63064, Dec. 7, 2018]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.201.18 was 
amended by removing ``Licensing Division'' from each place it appears 
and adding in its place ``Licensing Section'', effective July 22, 2021.



Sec. Sec.201.19-201.21  [Reserved]



Sec.201.22  Advance notices of potential infringement of works 
consisting of sounds, images, or both.

    (a) Definitions. (1) An Advance Notice of Potential Infringement is 
a notice which, if served in accordance with section 411(c) of title 17 
of the United States Code, and in accordance with the provisions of this 
section, enables a copyright owner to institute an action for copyright 
infringement either before or after the first fixation of a work 
consisting of sounds, images, or both that is first fixed simultaneously 
with its transmission, and to enjoy the full remedies of said title 17 
for copyright infringement, provided registration for the work is made 
within three months after its first transmission.
    (2) For purposes of this section, the copyright owner of a work 
consisting of

[[Page 615]]

sounds, images, or both, the first fixation of which is made 
simultaneously with its transmission, is the person or entity that will 
be considered the author of the work upon its fixation (including, in 
the case of a work made for hire, the employer or other person or entity 
for whom the work was prepared), or a person or organization that has 
obtained ownership of an exclusive right, initially owned by the person 
or entity that will be considered the author of the work upon its 
fixation.
    (3) A transmission program is a body of material that, as an 
aggregate, has been produced for the sole purpose of transmission to the 
public in sequence and as a unit.
    (b) Form. The Copyright Office does not provide printed forms for 
the use of persons serving Advance Notices of Potential Infringement.
    (c) Contents. (1) An Advance Notice of Potential Infringement shall 
be clearly and prominently captioned ``ADVANCE NOTICE OF POTENTIAL 
INFRINGEMENT'' and must clearly state that the copyright owner objects 
to the relevant activities of the person responsible for the potential 
infringement, and must include all of the following:
    (i) Reference to title 17 U.S.C. section 411(c) as the statutory 
authority on which the Advance Notice of Potential Infringement is 
based;
    (ii) The date, specific time, and expected duration of the intended 
first transmission of the work or works contained in the specific 
transmission program;
    (iii) The source of the intended first transmission of the work or 
works;
    (iv) Clear identification, by title, of the work or works. A single 
Advance Notice of Potential Infringement may cover all of the works of 
the copyright owner embodied in a specific transmission program. If any 
work is untitled, the Advance Notice of Potential Infringement shall 
include a detailed description of that work;
    (v) The name of at least one person or entity that will be 
considered the author of the work upon its fixation;
    (vi) The identity of the copyright owner, as defined in paragraph 
(a)(2) of this section. If the copyright owner is not the person or 
entity that will be considered the author of the work upon its fixation, 
the Advance Notice of Potential Infringement also shall include a brief, 
general statement summarizing the means by which the copyright owner 
obtained ownership of the copyright and the particular rights that are 
owned; and
    (vii) A description of the relevant activities of the person 
responsible for the potential infringement which would, if carried out, 
result in an infringement of the copyright.
    (2) An Advance Notice of Potential Infringement must also include 
clear and prominent statements:
    (i) Explaining that the relevant activities may, if carried out, 
subject the person responsible to liability for copyright infringement; 
and
    (ii) Declaring that the copyright owner intends to secure copyright 
in the work upon its fixation.
    (d) Signature and identification. (1) An Advance Notice of Potential 
Infringement shall be in writing and signed by the copyright owner, or 
such owner's duly authorized agent.
    (2) The signature of the owner or agent shall be an actual 
handwritten signature of an individual, accompanied by the date of 
signature and the full name, address, and telephone number of that 
person, typewritten or printed legibly by hand.
    (3) If an Advance Notice of Potential Infringement is initially 
served in the form of an email, fax, or similar communication, as 
provided by paragraph (e)(2)(iii) of this section, the requirement for 
an individual's handwritten signature shall be considered waived if the 
further conditions of said paragraph (e) are met.
    (e) Service. (1) An Advance Notice of Potential Infringement shall 
be served on the person responsible for the potential infringement not 
less than 48 hours before the first fixation and simultaneous 
transmission of the work as provided by 17 U.S.C. 411(c)(1).
    (2) Service of the Advance Notice may be effected by any of the 
following methods:
    (i) Personal service;
    (ii) First-class mail; or
    (iii) Email, fax, or similar form of communication, if:

[[Page 616]]

    (A) The Advance Notice meets all of the other conditions provided by 
this section; and
    (B) Before the first fixation and simultaneous transmission take 
place, the person responsible for the potential infringement receives 
written confirmation of the Advance Notice, bearing the actual 
handwritten signature of the copyright owner or duly authorized agent.
    (3) The date of service is the date the Advance Notice of Potential 
Infringement is received by the person responsible for the potential 
infringement or by any agent or employee of that person.

(17 U.S.C. 411, 702)

[46 FR 28849, May 29, 1981, as amended at 63 FR 66042, Dec. 1, 1998; 66 
FR 34373, June 28, 2001; 82 FR 9358, Feb. 6, 2017]



Sec.201.23  Transfer of unpublished copyright deposits to the Library 
of Congress.

    (a) General. This section prescribes rules governing the transfer of 
unpublished copyright deposits in the custody of the Copyright Office to 
the Library of Congress. The copyright deposits may consist of copies, 
phonorecords, or identifying material deposited in connection with 
registration of claims to copyright under section 408 of title 17 of the 
United States Code. These rules establish the conditions under which the 
Library of Congress is entitled to select deposits of unpublished works 
for its collections or for permanent transfer to the National Archives 
of the United States or to a Federal records center in accordance with 
section 704(b) of title 17 of the United States Code.
    (b) Selection by the Library of Congress. The Library of Congress 
may select any deposits of unpublished works for the purposes stated in 
paragraph (a) of this section at the time of registration or at any time 
thereafter; provided that:
    (1) A facsimile reproduction of the entire copyrightable content of 
the deposit shall be made a part of the Copyright Office records before 
transfer to the Library of Congress as provided by section 704(c) of 
title 17 of the United States Code, unless, within the discretion of the 
Register of Copyrights, it is considered impractical or too expensive to 
make the reproduction;
    (2) All unpublished copyright deposits retained by the Library of 
Congress in its collections shall be maintained under the control of the 
Library of Congress with appropriate safeguards against unauthorized 
copying or other unauthorized use of the deposits which would be 
contrary to the rights of the copyright owner in the work under title 17 
of the United States Code; and
    (3) At the time selection is made a request for full term retention 
of the deposit under the control of the Copyright Office has not been 
granted by the Register of Copyrights, in accordance with section 704(e) 
of title 17 of the United States Code.

(17 U.S.C. 702, 704)

[45 FR 41414, June 19, 1980, as amended at 82 FR 9358, Feb. 6, 2017]



Sec.201.24  Warning of copyright for software lending by nonprofit
libraries.

    (a) Definition. A Warning of Copyright for Software Rental is a 
notice under paragraph (b)(2)(A) of section 109 of the Copyright Act, 
title 17 of the United States Code, as amended by the Computer Software 
Rental Amendments Act of 1990, Public Law 101-650. As required by that 
paragraph, the ``Warning of Copyright for Software Rental'' shall be 
affixed to the packaging that contains the computer program which is 
lent by a nonprofit library for nonprofit purposes.
    (b) Contents. A Warning of Copyright for Software Rental shall 
consist of a verbatim reproduction of the following notice, printed in 
such size and form and affixed in such manner as to comply with 
paragraph (c) of this section.

                Notice: Warning of Copyright Restrictions

    The copyright law of the United States (title 17, United States 
Code) governs the reproduction, distribution, adaptation, public 
performance, and public display of copyrighted material.
    Under certain conditions specified in law, nonprofit libraries are 
authorized to lend, lease, or rent copies of computer programs to 
patrons on a nonprofit basis and for nonprofit purposes. Any person who 
makes an unauthorized copy or adaptation of the computer program, or 
redistributes the loan

[[Page 617]]

copy, or publicly performs or displays the computer program, except as 
permitted by title 17 of the United States Code, may be liable for 
copyright infringement.
    This institution reserves the right to refuse to fulfill a loan 
request if, in its judgement, fulfillment of the request would lead to 
violation of the copyright law.

    (c) Form and manner of use. A Warning of Copyright for Software 
Rental shall be affixed to the packaging that contains the copy of the 
computer program, which is the subject of a library loan to patrons, by 
means of a label cemented, gummed, or otherwise durably attached to the 
copies or to a box, reel, cartridge, cassette, or other container used 
as a permanent receptacle for the copy of the computer program. The 
notice shall be printed in such manner as to be clearly legible, 
comprehensible, and readily apparent to a casual user of the computer 
program.

[56 FR 7812, Feb. 26, 1991, as amended at 66 FR 34373, June 28, 2001]



Sec.201.25  Visual Arts Registry.

    (a) General. This section prescribes the procedures relating to the 
submission of Visual Arts Registry Statements by visual artists and 
owners of buildings, or their duly authorized representatives, for 
recordation in the Copyright Office under section 113(d)(3) of title 17 
of the United States Code, as amended by Public Law 101-650, effective 
June 1, 1991. Statements recorded in the Copyright Office under this 
regulation will establish a public record of information relevant to an 
artist's integrity right to prevent destruction or injury to works of 
visual art incorporated in or made part of a building.
    (b) Forms. The Copyright Office does not provide forms for the use 
of persons recording statements regarding works of visual art that have 
been incorporated in or made part of a building.
    (c) Recordable statements--(1) General. Any statement designated as 
a ``Visual Arts Registry Statement'' and which pertains to a work of 
visual art that has been incorporated in or made part of a building may 
be recorded in the Copyright Office provided the statement is 
accompanied by the fee for recordation of documents specified in section 
708(a)(4) of title 17 of the United States Code. Upon their submission, 
the statements and an accompanying documentation or photographs become 
the property of the United States Government and will not be returned. 
Photocopies are acceptable if they are clear and legible. Information 
contained in the Visual Arts Registry Statement should be as complete as 
possible since the information may affect the enforceability of valuable 
rights under the copyright law. Visual Arts Registry Statements which 
are illegible or fall outside of the scope of section 113(d)(3) of title 
17 may be refused recordation by the Copyright Office.
    (2) Statements by artists. Statements by artists regarding a work of 
visual art incorporated or made part of a building should be filed in a 
document containing the head: ``Registry of Visual Art Incorporated in a 
Building--Artist's Statement.'' The statement should contain the 
following information:
    (i) Identification of the artist, including name, current address, 
age, and telephone number, if publicly listed.
    (ii) Identification of the work or works, including the title, 
dimensions, and physical description of the work and the copyright 
registration number, if known. Additionally, it is recommended that one 
or more 8 x 10 photographs of the work on good quality photographic 
paper be included in the submission; the images should be clear and in 
focus.
    (iii) Identification of the building, including its name and 
address. This identification may additionally include 8 x 10 photographs 
of the building and the location of the artist's work in the building.
    (iv) Identification of the owner of the building, if known.
    (3) Statements by the owner of the building. Statements of owners of 
a building which incorporates a work of visual art should be filed in a 
document containing the heading: ``Registry of Visual Art Incorporated 
in a Building--Building Owner's Statement.'' The statement should 
contain the following information:
    (i) Identification of the ownership of the building, the name of a 
person who represents the owner, and a telephone number, if publicly 
listed.

[[Page 618]]

    (ii) Identification of the building, including the building's name 
and address. This identification may additionally include 8 x 10 
photographs of the building and of the works of visual art which are 
incorporated in the building.
    (iii) Identification of the work or works of visual art incorporated 
in the building, including the works' title(s), if known, and the 
dimensions and physical description of the work(s). This identification 
may include one or more 8 x 10 photographs of the work(s) on high 
quality photographic paper; the images should be clear and in focus.
    (iv) Identification of the artist(s) who have works incorporated in 
the building, including the current address of each artist, if known.
    (v) Photocopy of contracts, if any, between the artist and owners of 
the building regarding the rights of attribution and integrity.
    (vi) Statement as to the measures taken by the owner to notify the 
artist(s) of the removal or pending removal of the work of visual art, 
and photocopies of any accompanying documents.
    (4) Updating statements. Either the artist or owner of the building 
or both may record statements updating previously recorded information 
by submitting an updated statement and paying the recording fee 
specified in paragraph (d) of this section. Such statements should 
repeat the information disclosed in the previous filing as regarding the 
name of the artist(s), the name of the work(s) of visual art, the name 
and address of the building, and the name of the owner(s) of the 
building. The remaining portion of the statement should correct or 
supplement the information disclosed in the previously recorded 
statement.
    (d) Fee. The fee for recording a Visual Arts Registry Statement, a 
Building Owner's Statement, or an updating statement is the recordation 
fee for a document, as prescribed in Sec.201.3(c).
    (e) Date of recordation. The date of recordation is the date when 
all of the elements required for recordation, including the prescribed 
fee have been received in the Copyright Office. After recordation of the 
statement, the sender will receive a certificate of recordation from the 
Copyright Office. Any documentation or photographs accompanying any 
submission will be retained and filed by the Copyright Office. They may 
also be transferred to the Library of Congress, or destroyed after 
preparing suitable copies, in accordance with usual procedures.
    (f) Effect of recordation. The Copyright Office will record 
statements in the Visual Arts Registry without examination or 
verification of the accuracy or completeness of the statement, if the 
statement is designated as a ``Visual Arts Registry Statement'' and 
pertains to a work of visual art incorporated in or made part of a 
building. Recordation of the statement and payment of the recording fee 
shall establish only the fact of recordation in the official record. 
Acceptance for recordation shall not be considered a determination that 
the statement is accurate, complete, and otherwise in compliance with 
section 113(d), title 17, U.S. Code. The accuracy and completeness of 
the statement is the responsibility of the artist or building owner who 
submits it for recordation. Artists and building owners are encouraged 
to submit accurate and complete statements. Omission of any information, 
however, shall not itself invalidate the recordation, unless a court of 
competent jurisdiction finds the statement is materially deficient and 
fails to meet the minimum requirements of section 113(d) of title 17, 
U.S. Code.

[56 FR 38341, Aug. 13, 1991, as amended at 64 FR 29522, June 1, 1999; 65 
FR 39819, June 28, 2000; 82 FR 9358, Feb. 6, 2017]



Sec.201.26  Recordation of documents pertaining to computer shareware
and donation of public domain computer software.

    (a) General. This section prescribes the procedures for submission 
of legal documents pertaining to computer shareware and the deposit of 
public domain computer software under section 805 of Public Law 101-650, 
104 Stat. 5089 (1990). Documents recorded in the Copyright Office under 
this regulation will be included in the Computer Shareware Registry. 
Recordation in this Registry will establish a public

[[Page 619]]

record of licenses or other legal documents governing the relationship 
between copyright owners of computer shareware and persons associated 
with the dissemination or other use of computer shareware. Documents 
transferring the ownership of some or all rights under the copyright law 
of computer shareware and security interests in such software should be 
recorded under 17 U.S.C. 205, as implemented by Sec.201.4.
    (b) Definitions. (1) The term computer shareware is accorded its 
customary meaning within the software industry. In general, shareware is 
copyrighted software which is distributed for the purposes of testing 
and review, subject to the condition that payment to the copyright owner 
is required after a person who has secured a copy decides to use the 
software.
    (2) A document designated as pertaining to computer shareware means 
licenses or other legal documents governing the relationship between 
copyright owners of computer shareware and persons associated with the 
dissemination or other use of computer shareware.
    (3) Public domain computer software means software which has been 
publicly distributed with an explicit disclaimer of copyright protection 
by the copyright owner.
    (c) Forms. The Copyright Office does not provide forms for the use 
of persons recording documents designated as pertaining to computer 
shareware or for the deposit of public domain computer software.
    (d) Recordable documents. (1) Any document clearly designated as a 
``Document Pertaining to Computer Shareware'' and which governs the 
legal relationship between owners of computer shareware and persons 
associated with the dissemination or other use of computer shareware may 
be recorded in the Computer Shareware Registry.
    (2) Submitted documents may be a duplicate original, a legible 
photocopy, or other legible facsimile reproduction of the document, and 
must be complete on its face.
    (3) Submitted documents will not be returned, and the Copyright 
Office requests that if the document is considered valuable, that only 
copies of that document be submitted for recordation.
    (e) Fee. The fee for recording a document pertaining to computer 
shareware is the recordation fee for a document, as prescribed in Sec.
201.3(c).
    (f) Date of recordation. The date of recordation is the date when 
all of the elements required for recordation, including the prescribed 
fee have been received in the Copyright Office. After recordation of the 
statement, the sender will receive a certificate of recordation from the 
Copyright Office. The submission will be retained and filed by the 
Copyright Office, and may be destroyed at a later date after preparing 
suitable copies, in accordance with usual procedures.
    (g) Donation of public domain computer software. (1) Any person may 
donate a copy of public domain computer software for the benefit of the 
Machine-Readable Collections Reading Room of the Library of Congress. 
Decision as to whether any public domain computer software is suitable 
for accession to the collections rests solely with the Library of 
Congress. Materials not selected will be disposed of in accordance with 
usual procedures, including transfer to other libraries, sale, or 
destruction. Donation of public domain software may be made regardless 
of whether a document has been recorded pertaining to the software.
    (2) In order to donate public domain software, the following 
conditions must be met:
    (i) The copy of the public domain software must contain an explicit 
disclaimer of copyright protection from the copyright owner.
    (ii) The submission should contain documentation regarding the 
software. If the documentation is in machine-readable form, a print-out 
of the documentation should be included in the donation.
    (iii) If the public domain software is marketed in a box or other 
packaging, the entire work as distributed, including the packaging, 
should be deposited.
    (iv) If the public domain software is copy protected, two copies of 
the software must be submitted.
    (3) Donations of public domain software with an accompanying letter 
of

[[Page 620]]

explanation must be sent to the following address: Gift Section, 
Exchange & Gift Division, Library of Congress, Washington, DC 20540-
4260.

[58 FR 29107, May 19, 1993, as amended at 60 FR 34168, June 30, 1995; 64 
FR 29522, June 1, 1999; 65 FR 39819, June 28, 2000; 82 FR 9358, Feb. 6, 
2017]



Sec.201.27  Initial notice of distribution of digital audio recording
devices or media.

    (a) General. This section prescribes rules pertaining to the filing 
of an Initial Notice of Distribution in the Copyright Office as required 
by section 1003(b) of the Audio Home Recording Act of 1992, Public Law 
102-563, title 17 of the United States Code, to obtain a statutory 
license to import and distribute, or manufacture and distribute, any 
digital audio recording device or digital audio recording medium in the 
United States.
    (b) Definitions. (1) An Initial Notice of Distribution of Digital 
Audio Recording Devices or Media or Initial Notice is a notice under 
section 1003(b) of the Audio Home Recording Act of 1992, Public Law 102-
563, title 17 of the United States Code, which is required by that 
section to be filed in the Copyright Office by an importer or 
manufacturer of a digital audio recording device or digital audio 
recording medium who has not previously filed notice of the importation 
or manufacture for distribution of such device or medium in the United 
States.
    (2) The product category of a device or medium is a general class of 
products made up of functionally equivalent digital audio recording 
devices or media with substantially the same use in substantially the 
same environment, including, for example, hand-held portable integrated 
combination units (``boomboxes''); portable personal recorders; stand-
alone home recorders (``tape decks''); home combination systems (``rack 
systems''); automobile recorders; configurations of tape media (standard 
cassettes or microcassettes); and configurations of disc media such as 
2\1/2\, 3 and 5 discs.
    (3) The technology of a device or medium is a product type 
distinguished by different technical processes for digitally recording 
musical sounds, such as digital audio tape recorders (DAT), digital 
compact cassette (DCC), or recordable compact discs, including minidiscs 
(MD).
    (4) The terms digital audio recording device, digital audio 
recording medium, distribute, manufacture, and transfer price, have the 
meanings of the same terms as they are used in section 1001 of the 
Copyright Act, title 17 of the United States Code, as amended by Public 
Law 102-563.
    (c) Forms. An Initial Notice form may be obtained from the U.S. 
Copyright Office free of charge by contacting the address specified in 
Sec.201.1.
    (d) Filing Deadline. Initial Notices shall be filed in the Copyright 
Office no later than 45 days after the commencement of the first 
distribution of digital audio recording devices or digital audio 
recording media in the United States, on or after October 28, 1992. A 
manufacturer or importer shall file an Initial Notice within 45 days of 
the first distribution for each new product category and each new 
technology that the manufacturer or importer has not reported in a 
previous Initial Notice.
    (e) Content of Initial Notices. An Initial Notice of Distribution of 
Digital Audio Recording Devices or Media shall be identified as such by 
prominent caption or heading, and shall include the following:
    (1) The designation ``Importer'' or ``Manufacturer,'' or both, 
whichever is applicable, followed by the full legal name of the importer 
or manufacturer of the digital audio recording device or medium, or if 
the party named is a partnership, the name of the partnership followed 
by the name of at least one individual partner;
    (2) Any trade or business name or names, trademarks, or other 
indicia of origin that the importer or manufacturer uses or intends to 
use in connection with the importation, manufacture, or distribution of 
such digital audio recording device or medium in the United States;
    (3) The full United States mailing address of the importer or 
manufacturer, and the full business address, if different;
    (4) The product category and technology of the devices or media 
imported or manufactured;

[[Page 621]]

    (5) The first date (day, month, and year) that distribution 
commenced, or is to commence;
    (6) The signature of an appropriate officer, partner, or agent of 
the importer or manufacturer, as specified by the Initial Notice form; 
and
    (7) Other information relevant to the importation or manufacture for 
distribution of digital audio recording devices or media as prescribed 
on the Initial Notice form provided by the Copyright Office.
    (f) Amendments. (1) The Copyright Office will record amendments to 
Initial Notices submitted to correct an error or omission in the 
information given in an earlier Initial Notice. An amendment is not 
appropriate to reflect developments or changes in facts occurring after 
the date of signature of an Initial Notice.
    (2) An amendment shall:
    (i) Be clearly and prominently identified as an ``Amendment to an 
Initial Notice of Distribution of Digital Audio Recording Devices or 
Media;''
    (ii) Identify the specific Initial Notice intended to be amended so 
that it may be readily located in the records of the Copyright Office;
    (iii) Clearly specify the nature of the amendment to be made; and
    (iv) Be signed and dated in accordance with this section.
    (3) The recordation of an amendment under this paragraph shall have 
only such effect as may be attributed to it by a court of competent 
jurisdiction.
    (g) Recordation. (1) The Copyright Office will record the Initial 
Notices and amendments submitted in accordance with this section by 
placing them in the appropriate public files of the Office. The 
Copyright Office will advise manufacturers and importers of errors or 
omissions appearing on the face of documents submitted to it, and will 
require that any such obvious errors or omissions be corrected before 
the documents will be recorded. However, recordation by the Copyright 
Office shall establish only the fact and date thereof; such recordation 
shall in no case be considered a determination that the document was, in 
fact, properly prepared or that all of the regulatory requirements to 
satisfy section 1003 of title 17 have been met.
    (2) No fee shall be required for the recording of Initial Notices. 
The fee for filing an Amendment to an Initial Notice of Distribution of 
Digital Audio Recording Devices or Media is prescribed in Sec.
201.3(e).

[57 FR 55465, Nov. 25, 1992, as amended at 64 FR 36575, July 7, 1999; 72 
FR 33692, June 19, 2007; 78 FR 42874, July 18, 2013; 82 FR 9358, Feb. 6, 
2017]



Sec.201.28  Statements of Account for digital audio recording devices
or media.

    (a) General. This section prescribes rules pertaining to the filing 
of Statements of Account and royalty fees in the Copyright Office as 
required by 17 U.S.C. 1003(c) and 1004, in order to import and 
distribute, or manufacture and distribute, in the United States any 
digital audio recording device or digital audio recording medium.
    (b) Definitions. For purposes of this section, the following 
definitions apply:
    (1) Annual statement of account is the statement required under 17 
U.S.C. 1003, to be filed no later than two months after the close of the 
accounting period covered by the annual statement.
    (2) Device and medium have the same meaning as digital audio 
recording device and digital audio recording medium, respectively, have 
in 17 U.S.C. 1001.
    (3) Digital audio recording product means digital audio recording 
devices and digital audio recording media.
    (4) Generally accepted auditing standards (GAAS), means the auditing 
standards promulgated by the American Institute of Certified Public 
Accountants.
    (5) Manufacturing or importing party refers to any person or entity 
that manufactures and distributes, and/or imports and distributes, any 
digital audio recording device or digital audio recording medium in the 
United States, and is required under 17 U.S.C. 1003 to file with the 
Copyright Office quarterly and annual Statements of Account.
    (6) Product category of a device or medium is a general class of 
products

[[Page 622]]

made up of functionally equivalent digital audio recording products with 
substantially the same use in substantially the same environment, 
including, for example, hand-held portable integrated combination units 
(``boomboxes''); portable personal recorders; stand-alone home recorders 
(``tape decks''); home combination systems (``rack systems''); 
automobile recorders; configurations of tape media (standard cassettes 
or microcassettes); and configurations of disc media, such as 2\1/2\ 
inch, 3 inch, or 5 inch discs.
    (7) Primary auditor is the certified public accountant retained by 
the manufacturing or importing party to audit the amounts reported in 
the annual Statement of Account submitted to the Copyright Office. The 
primary auditor may be the certified public accountant engaged by the 
manufacturing or importing party to perform the annual audit of the 
party's financial statement.
    (8) Quarterly statement of account is the statement accompanying 
royalty payments required under 17 U.S.C. 1003, to be filed for each of 
the first three quarters of the accounting year, and no later than 45 
days after the close of the quarterly period covered by the statement.
    (9) Technology of a device or medium is a digital audio recording 
product-type distinguished by different technical processes for 
digitally recording musical sounds, such as digital audio tape recorders 
(DAT), digital compact cassettes (DCC), or recordable compact discs, 
including minidiscs (MD).
    (10) Distribute, manufacture, transfer price, and serial copying 
have the meanings set forth in 17 U.S.C. 1001.
    (c) Accounting periods and filing deadlines--(1) Election of filing 
basis. Statements of Account may be filed on either a calendar or fiscal 
year basis at the election of the manufacturing party. The election of a 
calendar or fiscal year basis must be made when the manufacturing or 
importing party files its first quarterly Statement of Account by 
appropriate designation on the Form DART/Q submitted. Thereafter the 
specific calendar or fiscal-year accounting period must be designated on 
each quarterly Statement of Account. The filing basis may be changed at 
any time upon notification in writing to the Register of Copyrights, 
accompanied by a statement of reasons as to why the change is to be made 
and a statement that such change will not affect the aggregate royalties 
due under the earlier basis. The notification of change in filing basis 
must be made at least two months before the date the next quarterly 
Statement of Account is due to be filed.
    (2) Quarterly filings. Quarterly Statements of Account shall be 
filed on Form DART/Q and shall cover a three-month period corresponding 
to the calendar or fiscal year of the filing party. A quarterly 
statement shall be filed no later than 45 days after the close of the 
period it covers.
    (3) Annual filings. Annual Statements of Account shall be filed on 
Form DART/A and shall cover both the fourth quarter of an accounting 
year and the aggregate of the entire year corresponding to the calendar 
or fiscal accounting year elected. An annual statement shall be filed no 
later than two months after the close of the period it covers. The 
appropriate royalty payment, calculated according to the instructions 
contained in Form DART/A, shall accompany the annual Statement of 
Account covering royalties due for the filing year: that is, royalties 
for the fourth quarter and any additional royalties that are due because 
of adjustments in the aggregate amounts of devices or media distributed.
    (4) Early or late filings. Statements of Account and royalty fees 
received before the end of the particular accounting period covered by 
the statement will not be processed by the Office. The statement must be 
filed after the close of the relevant accounting period. Statements of 
Account and royalty fees received after the 45-day deadline for 
quarterly statements or the two-month deadline for annual statements 
will be accepted for whatever legal effect they may have and will be 
assessed the appropriate interest charge for the late filing.
    (d) Forms. (1) Each quarterly or annual Statement of Account shall 
be submitted on the appropriate form prescribed by the Copyright Office. 
Computation of the royalty fee shall be in

[[Page 623]]

accordance with the procedures set forth in the forms and this section. 
Statement of Account forms are available free from the Copyright Office 
website. Copies of Statement of Account forms transmitted to the Office 
by fax will not be accepted.
    (2) Forms prescribed by the Copyright Office are designated 
Quarterly Statement of Account for Digital Audio Recording Products 
(Form DART/Q) and Annual Statement of Account for Digital Audio 
Recording Products (Form DART/A).
    (e) Contents of quarterly Statements of Account--(1) Quarterly 
period and filing. Any quarterly Statement of Account shall cover the 
full quarter of the calendar or fiscal accounting year for the 
particular quarter for which it is filed. A separate quarterly statement 
shall be filed for each quarter of the first three quarters of the 
accounting year during which there is any activity relevant to the 
payment of royalties under 17 U.S.C. 1004. The annual Statement of 
Account identified in paragraph (f) of this section incorporates the 
fourth quarter of the accounting year.
    (2) General content. Each quarterly Statement of Account shall be 
filed on Form DART/Q, the ``Quarterly Statement of Account for Digital 
Audio Recording Products,'' and shall include a clear statement of the 
following information:
    (i) A designation of the calendar or fiscal year of the annual 
reporting period;
    (ii) A designation of the period, including the beginning and ending 
day, month, and year of the period covered by the quarter;
    (iii) The full legal name of the manufacturing and/or importing 
party, together with any ``doing-business-as'' names used by such person 
or entity for the purpose of conducting the business of manufacturing, 
importing, or distributing digital audio recording products;
    (iv) The full mailing address of the manufacturing or importing 
party, including a specific number and street name, or rural route and 
box number, of the place of business of the person or entity. A post 
office box or similar designation will not be sufficient for this 
purpose except where it is the only address that can be used in that 
geographic location;
    (v) A designation of the manufacturing or importing party status, 
i.e., ``Manufacturer,'' ``Importer,'' or ``Manufacturer and Importer;''
    (vi) The designation ``Product Categories'' together with the 
product categories of the digital audio recording products manufactured 
or imported and distributed during the quarter covered by the statement;
    (vii) The designation ``Technologies'' together with the 
technologies of the digital audio recording products manufactured or 
imported and distributed under the AHRA during the quarter covered by 
the statement;
    (viii) The designation ``Series or Model Number'' followed by the 
model or series numbers of the digital audio recording products 
manufactured or imported and distributed under the AHRA during the 
quarter covered by the statement;
    (ix) The ``fee code'' associated with the product;
    (x) The ``source code'' for the product category;
    (xi) The ``transfer price'' of the product;
    (xii) The ``number of units distributed'' for each product;
    (xiii) The ``minimum fee per unit'' for each product;
    (xiv) The statutory royalty ``rate'' for digital audio recording 
devices or media;
    (xv) The ``rate fee'' for each product;
    (xvi) The appropriate ``maximum fee per unit'' for each product;
    (xvii) The ``maximum fee'' for each product; and
    (xviii) A computation of the total royalty payable for the quarter 
covered by the statement. Filing parties may not round off the figures 
they list in Space C, the computation section of the form, except for 
the figure representing the total royalty fee due; in that case, numbers 
ending in 50 to 99 cents may be rounded up to the next dollar, and 
numbers ending in one to 49 cents may be rounded down to the next 
dollar;
    (3) Royalty payments and accounting. (i) The royalty specified in 17 
U.S.C. 1004 shall accompany the quarterly and

[[Page 624]]

annual Statements of Account. No royalty is payable for redistribution 
of the same product item unless a credit has been taken for such items. 
Where royalties are payable for the period covered by the statement, the 
Statement of Account shall contain the following information for each 
unique combination of product category, technology, series or model 
number, fee code, source code, and transfer price:
    (A) The total number of digital audio recording media distributed, 
multiplied by the statutory royalty rate of three percent (3%) of the 
transfer price;
    (B) The total number of digital audio recording devices distributed 
for which the statutory royalty rate of two percent (2%) of the transfer 
price is payable, multiplied by such percentage rate of the transfer 
price;
    (C) The total number of digital audio recording devices distributed 
for which the statutory maximum royalty is limited to eight dollars 
($8.00), multiplied by such eight dollar amount;
    (D) The total number of digital audio recording devices distributed 
for which the statutory maximum royalty is limited to twelve dollars 
($12.00), multiplied by such twelve dollar amount; and
    (E) The total number of digital audio recording devices distributed 
for which the statutory minimum royalty is limited to one dollar 
($1.00), multiplied by such one dollar amount.
    (ii) The amount of the royalty payment shall be calculated in 
accordance with the instructions specified in the quarterly Statement of 
Account form. Payment shall be made as specified in Sec.201.28(h).
    (4) Reduction of royalty fee. (i) Section 1004(a)(2)(A) of title 17 
of the United States Code, provides an instance in which royalty 
payments may be reduced if the digital audio recording device and such 
other devices are part of a physically integrated unit, the royalty 
payment shall be based on the transfer price of the unit, but shall be 
reduced by any royalty payment made on any digital audio recording 
device included within the unit that was not first distributed in 
combination with the unit.
    (ii) Notice of this provision together with directions for possible 
application to a product is contained in the DART/Q Form.
    (5) Contact party. Each Statement of Account shall include the name, 
address, and telephone and fax numbers of an individual whom the 
Copyright Office can write or call about the Statement of Account.
    (6) Credits for returned or exported products. When digital audio 
recording products first distributed in the United States for ultimate 
transfer to United States consumers are returned to the manufacturer or 
importer as unsold or defective merchandise, or are exported, the 
manufacturing or importing party may take a credit to be deducted from 
the royalties payable for the period when the products were returned or 
exported. The credit may be taken only for returns or exports made 
within two years following the date royalties were paid for the 
products. This credit must be reflected in the manufacturing or 
importing party's quarterly or annual Statement of Account. If the 
manufacturer or importer later redistributes in the United States any 
products for which a credit has been taken, these products must be 
listed on the Statement of Account, and a new computation of the royalty 
fee must be made based on the transfer price of the products at the time 
of the new distribution.
    (7) Oath and signature. Each Statement of Account shall include a 
legally binding signature, including an electronic signature as defined 
in 15 U.S.C. 7006, of an authorized officer, principal, or agent of the 
filing party. The signature shall be accompanied by:
    (i) The printed or typewritten name of the person signing the 
quarterly Statement of Account;
    (ii) The date the document is signed;
    (iii) The following certification:

    I, the undersigned, hereby certify that I am an authorized officer, 
principal, or agent of the ``manufacturing or importing party'' 
identified in Space B.


Penalties for fraud and false statements are provided under 18 U.S.C. 
1001 et. seq.
    (f) Contents of annual Statements of Account--(1) General contents. 
Each annual Statement of Account shall be

[[Page 625]]

filed on form DART/A, ``Annual Statement of Account for Digital Audio 
Recording Products.'' It must be filed by any importer or manufacturer 
that distributed in the United States, during a given calendar or fiscal 
year, any digital audio recording device or digital audio recording 
medium. The annual statement shall cover the aggregate of the 
distribution of devices and media for the entire year corresponding to 
the calendar or fiscal year elected. The annual Statement of Account 
shall contain the information, oath, and certification prescribed in 
paragraphs (e)(2)(i) through (e)(7)(iii) of this section, and shall 
cover the entire accounting year, including the fourth quarter 
distribution, and shall also provide for the reconciliation of the 
aggregated accounting of digital audio recording devices and media for 
the reported accounting year.
    (2) Reconciliation. Any royalty payment due under sections 1003 and 
1004 of title 17 that was not previously paid with the filing party's 
first three quarterly Statements of Account, shall be reconciled in the 
annual statement. Reconciliation in the annual Statement of Account 
provides for adjustments for reductions, refunds, underpayments, 
overpayments, credits, and royalty payments paid in Quarters 1, 2, and 
3, and shall be computed in accordance with the instructions included in 
the annual Statement of Account. Errors that require reconciliation 
shall be corrected immediately upon discovery.
    (3) Accountant's opinion. Each annual Statement of Account or any 
amended annual Statement of Account shall be audited by the primary 
auditor as defined in paragraph (b)(7) of this section. An amendment may 
be submitted to the Office either as a result of responses to questions 
raised by a Licensing Division examiner or on the initiative of the 
manufacturing or importing party to correct an error in the original 
Statement of Account.
    (i) The audit shall be performed in accordance with generally 
accepted auditing standards (GAAS). The audit may be performed in 
conjunction with an annual audit of the manufacturing or importing 
party's financial statements.
    (ii) The CPA shall issue a report, the ``primary auditor's report,'' 
reflecting his or her opinion as to whether the annual statement 
presents fairly, in all material respects, the number of digital audio 
recording devices and media that were imported and distributed, or 
manufactured and distributed, by the manufacturing or importing party 
during the relevant year, and the amount of royalty payments applicable 
to them under 17 U.S.C. chapter 10, in accordance with that law and 
these regulations.
    (iii) The primary auditor's report shall be filed with the Copyright 
Office together with the annual Statement of Account, within two months 
after the end of the annual period for which the annual Statement of 
Account is prepared. The report may be qualified to the extent necessary 
and appropriate.
    (iv) The Copyright Office does not provide a specific form, or 
require a specific format, for the CPA's review; however, in addition to 
the above, certain items must be named as audited items. These include 
the variables necessary to complete Space C of the Statement of Account 
form. The CPA may place his or her opinion, which will serve as the 
``primary auditor's report,'' in the space provided on Form DART/A, or 
may attach a separate sheet or sheets containing the opinion.
    (v) The auditor's report shall be signed by an individual, or in the 
name of a partnership or a corporation, and shall include city and state 
of execution, certificate number, jurisdiction of certificate, and date 
of opinion. The certificate number and jurisdiction are not required if 
the report is signed in the name of a partnership or a corporation.
    (g) Copies of statements of account. A licensee shall file an 
original and one copy of the statement of account with the Licensing 
Division of the Copyright Office.
    (h) Royalty fee payment. (1) All royalty fees must be paid by 
electronic funds transfer, and must be received in the designated bank 
by the filing deadline for the relevant accounting period. The following 
information must be provided as part of the EFT and/or as part of the 
remittance advice as provided

[[Page 626]]

for in circulars issued by the Copyright Office:
    (i) Remitter's name and address;
    (ii) Name of a contact person, telephone number and extension, and 
email address;
    (iii) The actual or anticipated date that the EFT will be 
transmitted;
    (iv) Type of royalty payment (i.e., DART);
    (v) Total amount submitted via the EFT;
    (vi) Total amount to be paid by year and period;
    (vii) Number of Statements of Account that the EFT covers;
    (viii) ID numbers assigned by the Licensing Division;
    (ix) Legal name of the owner for each Statement of Account.
    (2) The remittance advice shall be attached to the Statement(s) of 
Account. In addition, a copy of the remittance advice shall be emailed 
or sent by facsimile to the Licensing Division.
    (3) The Office may waive the requirement for payment by electronic 
funds transfer as set forth in paragraph (1) of this section. To obtain 
a waiver, the remitter shall submit to the Licensing Division at least 
60 days prior to the royalty fee due date a certified statement setting 
forth the reasons explaining why payment by an electronic funds transfer 
would be virtually impossible or, alternatively, why it would impose a 
financial or other hardship on the remitter. The certified statement 
must be signed by a duly authorized representative of the entity making 
the payment. A waiver shall cover only a single payment period. Failure 
to obtain a waiver may result in the remittance being returned to the 
remitter.
    (i) Documentation. All filing parties shall keep and retain in their 
possession, for at least three years from the date of filing, all 
records and documents necessary and appropriate to support fully the 
information set forth in quarterly and annual statements that they file.
    (j) Corrections, supplemental payments, and refunds--(1) General. 
Upon compliance with the procedures and within the time limits set forth 
in this paragraph (i), corrections to quarterly and annual Statements of 
Account will be placed on record, and supplemental royalty fee payments 
will be received for deposit, or refunds without interest will be 
issued, in the following cases:
    (i) Where, with respect to the accounting period covered by the 
quarterly or annual Statement of Account, any of the information given 
in the statement filed in the Copyright Office is incorrect or 
incomplete; or
    (ii) Where, for any reason except that mentioned in paragraph (j)(2) 
of this section, calculation of the royalty fee payable for a particular 
accounting period was incorrect, and the amount deposited in the 
Copyright Office for that period was either too high or too low.
    (2) Corrections to quarterly or annual Statements of Account will 
not be placed on file, supplemental royalty fee payments will not be 
received for deposit, and refunds will not be issued, where the 
information in the Statements of Account, the royalty fee calculations, 
or the payments were correct as of the date on which the accounting 
period ended, but changes (for example, cases where digital audio 
recording media were exported) took place later.
    (3) Requests that corrections to annual or quarterly Statements of 
Account be accepted, that fee payments be accepted, or that refunds be 
issued shall be addressed to the Licensing Division of the Copyright 
Office, and shall meet the following conditions:
    (i) The request shall be made in writing and must clearly identify 
the manufacturing or importing party making the request, the accounting 
period in question, and the purpose of the request. A request for a 
refund must be received in the Copyright Office before the expiration of 
two months from the last day of the applicable Statement of Account 
filing period. Telephone or similar unsigned requests that meet these 
conditions may be permitted, where a follow-up written request detailing 
the same information is received by the Copyright Office within 14 days 
after the required 60-day period.
    (ii) The request must clearly identify the incorrect or incomplete 
information formerly filed and must provide the correct or additional 
information.

[[Page 627]]

    (iii) In the case where a royalty fee was miscalculated and the 
amount deposited with the Copyright Office was too large or too small, 
the request must be accompanied by an affidavit under the official seal 
of any officer authorized to administer oaths within the United States, 
or a statement in accordance with 28 U.S.C. 1746, made and signed in 
accordance with paragraph (e)(7) of this section. The affidavit or 
statement shall describe the reasons why the royalty fee was improperly 
calculated and include a detailed analysis of the proper royalty 
calculation.
    (iv) Following final processing, all requests will be filed with the 
original Statement of Account in the records of the Copyright Office. 
Nothing contained in this paragraph shall be considered to relieve 
manufacturing or importing parties of their full obligations under title 
17 of the United States Code, and the filing of a correction or 
supplemental payment shall have only such effect as may be attributed to 
it by a court of competent jurisdiction.
    (v)(A) The request must be accompanied by a filing fee in the amount 
prescribed in Sec.201.3(e) for each Statement of Account involved. 
Payment of this fee may be in the form of a personal or company check, 
or a certified check, cashier's check, or money order, payable to the 
Register of Copyrights. No request will be processed until the 
appropriate filing fees are received.
    (B) Requests that a supplemental royalty fee payment be deposited 
must be accompanied by a remittance in the full amount of such fee. 
Payment of the supplemental royalty fee must be in the form of a 
certified check, cashier's check, money order, or electronic payment 
payable to the Register of Copyrights. No such request will be processed 
until an acceptable remittance in the full amount of the supplemental 
royalty fee has been received.
    (vi) All requests submitted under paragraph (j) of this section must 
be signed by the manufacturing or importing party named in the Statement 
of Account, or the duly authorized agent of that party in accordance 
with paragraph (e)(7) of this section.
    (vii) A request for a refund is not necessary where the Licensing 
Division, during its examination of a Statement of Account or related 
document, discovers an error that has resulted in a royalty overpayment. 
In this case, the Licensing Division will forward the royalty refund to 
the manufacturing or importing party named in the Statement of Account. 
The Copyright Office will not pay interest on any royalty refunds.
    (k) Examination of Statements of Account by the Copyright Office. 
(1) Upon receiving a Statement of Account and royalty fee, the Copyright 
Office will make an official record of the actual date when such 
statement and fee were physically received in the Copyright Office. 
Thereafter, the Licensing Division will examine the statement for 
obvious errors or omissions appearing on the face of the documents and 
will require that any such obvious errors or omissions be corrected 
before final processing of the document is completed. If, as the result 
of communications between the Copyright Office and the manufacturer or 
importer, an additional fee is deposited or changes or additions are 
made in the Statement of Account, the date that additional deposit or 
information was actually received in the Office will be added to the 
official record.
    (2) Completion by the Copyright Office of the final processing of a 
Statement of Account and royalty fee deposit shall establish only the 
fact of such completion and the date or dates of receipt shown in the 
official record. It shall not be considered a determination that the 
Statement of Account was, in fact, properly prepared and accurate, that 
the correct amount of the royalty was deposited, that the statutory time 
limits for filing had been met, or that any other requirements of 17 
U.S.C. 1001 et. seq. were fulfilled.
    (l) Interest on late payments or underpayments. (1) Royalty payments 
submitted as a result of late payments or underpayments shall include 
interest, which shall begin to accrue on the first day after the close 
of the period for filing Statements of Account for all late payments or 
underpayments of royalties for the digital audio recording obligation 
occurring within that accounting period. The accrual period shall end on 
the date the electronic payment submitted by the remitter is received.

[[Page 628]]

In cases where a waiver of the electronic funds transfer requirement is 
approved by the Copyright Office, and royalties payments are either late 
or underpaid, the accrual period shall end on the date the payment is 
postmarked. If the payment is not received by the Copyright Office 
within five business days of its date, then the accrual period shall end 
on the date of the actual receipt by the Copyright Office.
    (2) The interest rate applicable to a specific accounting period 
shall be the Current Value of Funds rate in accordance with the Treasury 
Financial Manual, at 1 TFM 6-8025.40, in effect on the first business 
day after the close of the filing deadline for the relevant accounting 
period. The interest rate for a particular accounting period may be 
obtained by consulting the Federal Register for the applicable Current 
Value of Funds Rate, or by contacting the Licensing Division of the 
Copyright Office.
    (3) Interest is not required to be paid on any royalty underpayment 
or late payment from a particular accounting period if the interest 
charge is five dollars ($5.00) or less.
    (m) Confidentiality of Statements of Account. Public access to the 
Copyright Office files of Statements of Account for digital audio 
recording products shall not be provided. Access will only be granted to 
interested copyright parties in accordance with regulations prescribed 
by the Register of Copyrights pursuant to 17 U.S.C. 1003(c).

[59 FR 4589, Feb. 1, 1994, as amended at 64 FR 36575, July 7, 1999; 65 
FR 48914, Aug. 10, 2000; 70 FR 30367, May 26, 2005; 70 FR 38022, July 1, 
2005; 71 FR 45740, Aug. 10, 2006; 72 FR 33692, June 19, 2007; 73 FR 
29073, May 20, 2008; 82 FR 9358, Feb. 6, 2017; 83 FR 51841, Oct. 15, 
2018; 85 FR 19667, Apr. 8, 2020]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.201.28 was 
amended by removing ``Licensing Division'' from each place it appears 
and adding in its place ``Licensing Section'', effective July 22, 2021.



Sec.201.29  Access to, and confidentiality of, Statements of Account,
Verification Auditor's Reports, and other verification information 
filed in the Copyright Office for digital audio recording devices 
or media.

    (a) General. This section prescribes rules covering access to DART 
Statements of Account, including the Primary Auditor's Reports, filed 
under 17 U.S.C. 1003(c) and access to a Verifying Auditor's Report or 
other information that may be filed in the Office in a DART verification 
procedure as set out in Sec.201.30. It also prescribes rules to ensure 
confidential disclosure of these materials to appropriate parties.
    (b) Definitions. (1) Access includes inspection of and supervised 
making of notes on information contained in Statements of Account 
including Primary Auditor's Reports, Verification Auditor's Reports, and 
any other verification information.
    (2) Audit and Verification Information means the reports of the 
Primary Auditor and Verifying Auditor filed with the Copyright Office 
under Sec. Sec.201.28 and 201.30, and all information relating to a 
manufacturing or importing party.
    (3) DART Access Form means the form provided by the Copyright Office 
that must be completed and signed by any appropriate party seeking 
access to DART confidential material.
    (4) DART confidential material means the Quarterly and Annual 
Statements of Account, including the Primary Auditor's Report that is 
part of the Annual Statements of Account, and the Verifying Auditor's 
Report and any other verification information filed with the Copyright 
Office. It also includes photocopies of notes made by requestors who 
have had access to these materials that are retained by the Copyright 
Office.
    (5) Interested copyright party means a party as defined in 17 U.S.C. 
1001(7).
    (6) A Representative is someone, such as a lawyer or accountant, who 
is not an employee or officer of an interested copyright party or a 
manufacturing or importing party but is authorized to act on that 
party's behalf.
    (7) Statements of Account means Quarterly and Annual Statements of 
Account as required under 17 U.S.C. 1003(c) and defined in Sec.201.28.

[[Page 629]]

    (c) Confidentiality. The Copyright Office will keep all DART 
confidential materials in locked files and disclose them only in 
accordance with this section. Any person or entity provided with access 
to DART confidential material by the Copyright Office shall receive such 
information in confidence and shall use and disclose it only as 
authorized in 17 U.S.C. 1001 et. seq.
    (d) Persons allowed access to DART confidential material. Access to 
DART Statements of Account filed under 17 U.S.C. 1003(c) and to 
Verification Auditor's Reports or other verification information is 
limited to:
    (1) An interested copyright party as defined in Sec.201.29(b)(5) 
or an authorized representative of an interested copyright party, who 
has been qualified for access pursuant to paragraph (f)(2) of this 
section;
    (2) The Verifying Auditor authorized to conduct verification 
procedures under Sec.201.30;
    (3) The manufacturing or importing party who filed that Statement of 
Account or that party's authorized representative(s); and
    (4) Staff of the Copyright Office or the Library of Congress who 
require access in the performance of their duties under title 17 U.S.C. 
1001 et seq.;
    (e) Requests for access. An interested copyright party, 
manufacturing party, importing party, representative, or Verifying 
Auditor seeking access to any DART confidential material must complete 
and sign a ``DART Access Form.'' The requestor must submit a copy of the 
completed DART Access Form to the Licensing Specialist, Licensing 
Division. The form must be received in the Licensing Division at least 
five working days before the date an appointment is requested. The form 
may be faxed to the Licensing Division to expedite scheduling, but a 
copy of the form with the original signature must be filed with the 
Office.
    (1) A representative of an interested copyright party, a 
manufacturing party or an importing party shall submit an affidavit of 
his or her authority (e.g., in the form of a letter of authorization 
from the interested copyright party or the manufacturing or importing 
party).
    (2) An auditor selected to conduct a verification procedure under 
Sec.201.30 shall submit an affidavit of his or her selection to 
conduct the verification procedure.
    (3) DART Access Forms may be requested from, and upon completion 
returned to the address specified in Sec.201.1.
    (f) Criteria for access to DART confidential material. (1) A 
Verifying Auditor will be allowed access to any particular Statement of 
Account and Primary Auditor's Report required to perform his or her 
verification function;
    (2) Interested copyright parties as defined in paragraph (b)(5) of 
this section will be allowed access to any DART confidential material as 
defined in paragraph (b)(4) of this section for verification purposes, 
except that no interested copyright party owned or controlled by a 
manufacturing or importing party subject to royalty payment obligations 
under the Audio Home Recording Act, or who owns or controls such a 
manufacturing or importing party, may have access to DART confidential 
material relating to any other manufacturing or importing party. In such 
cases, a representative of the interested copyright party as defined in 
paragraph (b)(6) of this section may have access for that party, 
provided that these representatives do not disclose the confidential 
information contained in the Statement of Account or Primary Auditor's 
Report to his or her client.
    (3) Access to a Verifying Auditor's Report and any other 
verification material filed in the Office shall be limited to the 
interested copyright party(s) requesting the verification procedure and 
to the manufacturing or importing party whose Statement of Account was 
the subject of the verification procedure.
    (g) Denial of access. Any party who does not meet the criteria 
described in Sec.201.29(f) shall be denied access.
    (h) Content of DART Access Form. The DART Access Form shall include 
the following information:
    (1) Identification of the Statement of Account and Primary Auditor's 
Report, the Verification Auditor's Report and other verification 
materials, or

[[Page 630]]

notes prepared by requestors who earlier accessed the same items, to be 
accessed, by both the name of the manufacturing party or importing party 
and the quarter(s) and year(s) to be accessed.
    (2) The name of the interested copyright party, manufacturing party, 
importing party, or verification auditor on whose behalf the request is 
made, plus this party's complete address, including a street address 
(not a post office box number), a telephone number, and a fax number, if 
any.
    (3) If the request for access is by or for an interested copyright 
party, a statement indicating whether the copyright party is owned or 
controlled by a manufacturing or importing party subject to a royalty 
payment obligation, or whether the interested copyright party owns or 
controls a manufacturing or importing party subject to royalty payments.
    (4) The name, address, and telephone number of the person making the 
request for access and his/her relationship to the party on whose behalf 
the request is made.
    (5) The specific purpose for the request for access, for example, 
access is requested in order to verify a Statement of Account; in order 
to review the results of a verification audit; for the resolution of a 
dispute arising from such an audit; or in order for a manufacturing or 
importing party to review its own Statement of Account, Primary 
Auditor's Report, Verification Auditor's Report, or related information.
    (6) A statement that the information obtained from access to 
Statements of Account, Primary Auditor's Report, Verification Auditor's 
Report, and any other verification audit filings will be used only for a 
purpose permitted under the Audio Home Recording Act and the DART 
regulations.
    (7) The actual signature of the party or the representative of the 
party requesting access certifying that the information will be held in 
confidence and used only for the purpose specified by the Audio Home 
Recording Act and these regulations.

[60 FR 25998, May 16, 1995, as amended at 63 FR 30635, June 5, 1998; 64 
FR 36575, July 7, 1999; 73 FR 37839, July 2, 2008; 78 FR 42874, July 18, 
2013; 82 FR 9358, Feb. 6, 2017]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.201.29(e) 
introductory text was amended by removing ``Licensing Division'' from 
each place it appears and adding in its place ``Licensing Section'', 
effective July 22, 2021.



Sec.201.30  Verification of Statements of Account.

    (a) General. This section prescribes rules pertaining to the 
verification of information contained in the Statements of Account by 
interested copyright parties pursuant to section 1003(c) of title 17 of 
the United States Code.
    (b) Definitions--(1) Annual Statement of Account, generally accepted 
auditing standards (GAAS), and primary auditor have the same meaning as 
the definition in Sec.201.28 of this part.
    (2) Filer is a manufacturer or importer of digital devices or media 
who is required by 17 U.S.C. 1003 to file with the Copyright Office 
Quarterly and Annual Statements of Account and a primary auditor's 
report on the Annual Statement of Account.
    (3) Interested copyright party has the same meaning as the 
definition in Sec.201.29 of this part.
    (4) Verifying auditor is the person retained by interested copyright 
parties to perform a verification procedure. He or she is independent 
and qualified as defined in paragraphs (j)(2) and (j)(3) of this 
section.
    (5) Verification procedure is the process followed by the verifying 
auditor to verify the information reported on an Annual Statement of 
Account.
    (c) Purpose of verification. The purpose of verification is to 
determine whether there was any failure of the primary auditor to 
conduct the primary audit properly or to obtain a reliable result, or 
whether there was any error in the Annual Statement of Account.
    (d) Timing of verification procedure--(1) Requesting a verification 
procedure. No sooner than three months nor later

[[Page 631]]

than three years after the filing deadline of the Annual Statement of 
Account to be verified, any interested copyright party shall notify the 
Register of Copyrights of its interest in instituting a verification 
procedure. Such notification of interest shall also be served at the 
same time on the filer and the primary auditor identified in the Annual 
Statement of Account. Such notification shall include the year of the 
Annual Statement of Account to be verified, the name of the filer, 
information on how other interested copyright parties may contact the 
party interested in the verification including name, address, telephone 
number, facsimile number and electronic mail address, if any, and a 
statement establishing the party filing the notification as an 
interested copyright party. The notification of interest may apply to 
more than one Annual Statement of Account and more than one filer.
    (2) Coordination and selection of verifying auditor. The Copyright 
Office will publish in the Federal Register notice of having received a 
notification of interest to institute a verification procedure. 
Interested copyright parties have one month from the date of publication 
of the Federal Register notice to notify the party interested in 
instituting the verification procedure of their intent to join with it 
and to participate in the selection of the verifying auditor. Any 
dispute about the selection of the verifying auditor shall be resolved 
by the parties themselves.
    (3) Notification of the filer and primary auditor. As soon as the 
verifying auditor has been selected, and in no case later than two 
months after the publication in the Federal Register of the notice 
described in paragraph (d)(2) of this section, the joint interested 
copyright parties shall notify the Register of Copyrights, the filer, 
and the primary auditor identified in the Annual Statement of Account to 
be verified, that they intend or do not intend to initiate a 
verification procedure.
    (4) Commencement of the verification procedure. The verification 
procedure shall begin no sooner than one month after notice of intent to 
initiate a verification procedure was given to the filer and the primary 
auditor by the joint interested copyright parties. The joint interested 
copyright parties shall grant the filer or the primary auditor a 
postponement of the beginning of the verification procedure of up to one 
additional month if either one requests it. Verification procedures 
shall be conducted at reasonable times during normal business hours.
    (5) Anti-duplication rules. A filer shall be subject to no more than 
one verification procedure per calendar year. An Annual Statement of 
Account shall be subject to a verification procedure only once.
    (e) Scope of verification. The verifying auditor shall limit his or 
her examination to verifying the information required in the Annual 
Statement of Account. To the extent possible, the verifying auditor 
shall inspect the information contained in the primary auditor's report 
and the primary auditor's working papers. If the verifying auditor 
believes that access to the records, files, or other materials in the 
control of the filer is required according to GAAS, he or she may, after 
consultation with the primary auditor, require the production of these 
documents as well. The verifying auditor and the primary auditor shall 
act in good faith using reasonable professional judgment, with the 
intention of reaching a reasonable accommodation as to the necessity and 
scope of examination of any additional documents, but the decision to 
require the production of additional documents is solely that of the 
verifying auditor.
    (f) Verification report. Upon concluding the verification procedure, 
the verifying auditor shall render a report enumerating in reasonable 
detail the procedures performed by the verifying auditor and his or her 
findings. Such findings shall state whether there was any failure of the 
primary auditor to conduct properly the primary audit or obtain a 
reliable result, and whether there was any error in the Annual Statement 
of Account, itemized by amount and by the filer's elected fiscal year. 
If there was such failure or error, the report shall specify all 
evidence from which the verifying auditor reached such conclusions. Such 
evidence shall be listed and identified in

[[Page 632]]

an appendix to the report in sufficient detail to enable a third party 
to reasonably understand or interpret the evidence on which the 
verifying auditor based his or her conclusion. If there was no such 
failure or error, the report shall so state.
    (g) Distribution of report. Copies of the verifying auditor's report 
shall be subject to the confidentiality provisions of Sec.201.29 and 
shall be distributed as follows:
    (1) One copy, excluding the appendix, if applicable, shall be filed 
with the Register of Copyrights.
    (2) One copy, with the appendix, if applicable, shall be submitted 
to each of the interested copyright parties who retained the services of 
the verifying auditor and who are authorized to receive such information 
according to Sec.201.29.
    (3) One copy, with the appendix, if applicable, shall be submitted 
to the filer of the Annual Statement of Account.
    (4) One copy, with the appendix, if applicable, shall be submitted 
to the primary auditor.
    (h) Retention of report. The Register of Copyrights will retain his 
or her copy of the verifying auditor's report for three years following 
the date the copy of the verifying auditor's report is filed.
    (i) Costs of verification. The joint interested copyright parties 
who requested the verification procedure shall pay the fees of the 
verifying auditor and the primary auditor for their work performed in 
connection with the verification procedure, except, if the verification 
procedure results in a judicial determination or the filer's agreement 
that royalty payments were understated on the Annual Statement of 
Account, then,
    (1) if the amount is less than five percent (5%) of the amount 
stated on the Annual Statement of Account, that amount shall first be 
used to pay the fees of the verifying auditor and the primary auditor, 
and any remaining amount plus any applicable interest on the total 
amount shall be deposited, allocated by the filer's elected fiscal year, 
with the Register of Copyrights, or
    (2) if the amount is equal to or greater than five percent (5%) of 
the amount stated on the Annual Statement of Account, the filer shall 
pay the fees of the verifying auditor and the primary auditor, and, in 
addition, shall deposit the amount found to be due plus any applicable 
interest on the total amount, allocated by the filer's elected fiscal 
year, with the Register of Copyrights.
    (j) Independence and qualifications of verifying auditor. (1) The 
verifying auditor shall be qualified and independent as defined in this 
section. If the filer has reason to believe that the verifying auditor 
is not qualified or independent, it shall raise the matter with the 
joint interested copyright parties before the commencement of the 
verification procedure, and if the matter is not resolved, it may raise 
the issue with the American Institute of Certified Public Accountants' 
Professional Ethics Division and/or the verifying auditor's State Board 
of Accountancy while the verification procedure is being performed.
    (2) A verifying auditor shall be considered qualified if he or she 
is a certified public accountant or works under the supervision of a 
certified public accounting firm.
    (3) A verifying auditor shall be considered independent if:
    (i) He or she is independent as that term is used in the Code of 
Professional Conduct of the American Institute of Certified Public 
Accountants, including the Principles, Rules and Interpretations of such 
Code applicable generally to attest engagements (collectively, the 
``AICPA Code''); and
    (ii) He or she is independent as that term is used in the Statements 
on Auditing Standards promulgated by the Auditing Standards Board of the 
AICPA and Interpretations thereof issued by the Auditing Standards 
Division of the AICPA.

[61 FR 30813, June 18, 1996]



Sec.201.31  Procedures for closing out royalty payments accounts in 
accordance with the Audio Home Recording Act.

    (a) General. This section prescribes rules pertaining to the close 
out of royalty payments accounts in accordance with 17 U.S.C. 1005.
    (b) In the Register's discretion, four years after the close of any 
calendar

[[Page 633]]

year, the Register of Copyrights may close out the royalty payments 
account for that calendar year, including any sub-accounts, that are 
subject to a final distribution order under which royalty payments have 
been disbursed. Following closure of an account, the Register will treat 
any funds remaining in that account, or subsequent deposits that would 
otherwise be attributable to that calendar year, as attributable to the 
succeeding calendar year.

[83 FR 51841, Oct. 15, 2018]



Sec.201.32  [Reserved]



Sec.201.33  Procedures for filing Notices of Intent to Enforce a 
restored copyright under the Uruguay Round Agreements Act.

    (a) General. This section prescribes the procedures for submission 
of Notices of Intent to Enforce a Restored Copyright under the Uruguay 
Round Agreements Act, as required in 17 U.S.C. 104A(a). On or before May 
1, 1996, and every four months thereafter, the Copyright Office will 
publish in the Federal Register a list of works for which Notices of 
Intent to Enforce have been filed. It will maintain a list of these 
works. The Office will also make a more complete version of the 
information contained in the Notice of Intent to Enforce available on 
its website.
    (b) Definitions. (1) NAFTA work means a work restored to copyright 
on January 1, 1995, as a result of compliance with procedures contained 
in the North American Free Trade Agreement Implementation Act of 
December 8, 1993, Public Law No. 103-182.
    (2) Reliance party means any person who--
    (i) With respect to a particular work, engages in acts, before the 
source country of that work becomes an eligible country under the URAA, 
which would have violated 17 U.S.C. 106 if the restored work had been 
subject to copyright protection and who, after the source country 
becomes an eligible country, continues to engage in such acts;
    (ii) Before the source country of a particular work becomes an 
eligible country, makes or acquires one or more copies or phonorecords 
of that work; or
    (iii) As the result of the sale or other disposition of a derivative 
work, covered under 17 U.S.C. 104A(d)(3), or of significant assets of a 
person, described in 17 U.S.C. 104 A(d)(3) (A) or (B), is a successor, 
assignee or licensee of that person.
    (3) Restored work means an original work of authorship that--
    (i) Is protected under 17 U.S.C. 104A(a);
    (ii) Is not in the public domain in its source country through 
expiration of term of protection;
    (iii) Is in the public domain in the United States due to--
    (A) Noncompliance with formalities imposed at any time by U.S. 
copyright law, including failure of renewal, lack of proper notice, or 
failure to comply with any manufacturing requirements;
    (B) Lack of subject matter protection in the case of sound 
recordings fixed before February 15, 1972; or
    (C) Lack of national eligibility; and
    (iv) Has at least one author or rightholder who was, at the time the 
work was created, a national or domiciliary of an eligible country, and 
if published, was first published in an eligible country and not 
published in the United States during the 30-day period following 
publication in such eligible country.
    (4) Source country of a restored work is--
    (i) A nation other than the United States; and
    (ii) In the case of an unpublished work--
    (A) The eligible country in which the author or rightholder is a 
national or domiciliary, or, if a restored work has more than one author 
or rightholder, the majority of foreign authors or rightholders are 
nationals or domiciliaries of eligible countries; or
    (B) If the majority of authors or rightholders are not foreign, the 
nation other than the United States which has the most significant 
contacts with the work; and
    (iii) In the case of a published work--
    (A) The eligible country in which the work is first published; or
    (B) If the restored work is published on the same day in two or more 
eligible

[[Page 634]]

countries, the eligible country which has the most significant contacts 
with the work.
    (c) Forms. The Copyright Office does not provide forms for Notices 
of Intent to Enforce filed with the Copyright Office. It requests that 
filers of such notices follow the format set out in Appendix A of this 
section and give all of the information listed in paragraph (d) of this 
section. Notices of Intent to Enforce must be in English, legible, and 
submitted in a letter-sized document format.
    (d) Requirements for Notice of Intent to Enforce a Copyright 
Restored under the Uruguay Round Agreements Act. (1) Notices of Intent 
to Enforce should be mailed to the address specified in Sec.201.1.
    (2) The document should be clearly designated as ``Notice of Intent 
to Enforce a Copyright Restored under the Uruguay Round Agreements 
Act''.
    (3) Notices of Intent to Enforce must include:
    (i) Required information:
    (A) The title of the work, or if untitled, a brief description of 
the work;
    (B) An English translation of the title if title is in a foreign 
language;
    (C) Alternative titles if any;
    (D) Name of the copyright owner of the restored work, or of an owner 
of an exclusive right therein;
    (E) The address and telephone number where the owner of copyright or 
the exclusive right therein can be reached; and
    (F) The following certification signed and dated by the owner of 
copyright, or the owner of an exclusive right therein, or the owner's 
authorized agent:

    I hereby certify that for each of the work(s) listed above, I am the 
copyright owner, or the owner of an exclusive right, or the owner's 
authorized agent, the agency relationship having been constituted in a 
writing signed by the owner before the filing of this notice, and that 
the information given herein is true and correct to the best of my 
knowledge.

Signature_______________________________________________________________

Name (printed or typed)_________________________________________________

As agent for (if applicable)____________________________________________

Date:___________________________________________________________________

    (ii) Optional but essential information:
    (A) Type of work (painting, sculpture, music, motion picture, sound 
recording, book, etc.);
    (B) Name of author(s);
    (C) Source country;
    (D) Approximate year of publication;
    (E) Additional identifying information (e.g., for movies: director, 
leading actors, screenwriter, animator; for photographs or books: 
subject matter; for books: editor, publisher, contributors);
    (F) Rights owned by the party on whose behalf the Notice of Intent 
to Enforce is filed (e.g., the right to reproduce/distribute/publicly 
display/publicly perform the work, or to prepare a derivative work based 
on the work, etc.); and
    (G) Email address at which owner, exclusive rights holder, or agent 
thereof can be reached.
    (4) Notices of Intent to Enforce may cover multiple works provided 
that each work is identified by title, all the works are by the same 
author, all the works are owned by the identified copyright owner or 
owner of an exclusive right, and the rights owned by the party on whose 
behalf the Notice of Intent is filed are the same. In the case of 
Notices of Intent to Enforce covering multiple works, the notice must 
separately designate for each work covered the title of the work, or if 
untitled, a brief description of the work; an English translation of the 
title if the title is in a foreign language; alternative titles, if any; 
the type of work; the source country; the approximate year of 
publication; and additional identifying information.
    (5) Notices of Intent to Enforce works restored on January 1, 1996, 
may be submitted to the Copyright Office on or after January 1, 1996, 
through December 31, 1997.
    (e) Fee--(1) Amount. The filing fee for recording Notices of Intent 
to Enforce is prescribed in Sec.201.3(c).
    (2) Method of payment--(i) Checks, money orders, or bank drafts. The 
Copyright Office will accept checks, money orders, or bank drafts made 
payable to the U.S. Copyright Office. Remittances must be redeemable 
without service or exchange fees through a United States institution, 
must be payable in United States dollars, and must be imprinted with 
American Banking Association

[[Page 635]]

routing numbers. International money orders, and postal money orders 
that are negotiable only at a post office are not acceptable. CURRENCY 
WILL NOT BE ACCEPTED.
    (ii) Copyright Office Deposit Account. The Copyright Office 
maintains a system of Deposit Accounts for the convenience of those who 
frequently use its services. The system allows an individual or firm to 
establish a Deposit Account in the Copyright Office and to make advance 
deposits into that account. Deposit Account holders can charge copyright 
fees against the balance in their accounts instead of sending separate 
remittances with each request for service. For information on Deposit 
Accounts, see Circular 5 on the Copyright Office's website, or request a 
copy at the address specified in Sec.201.1(b).
    (iii) Credit cards. For URAA filings the Copyright Office will 
accept most major credit cards. Debit cards cannot be accepted for 
payment. With the NIE, a filer using a credit card must submit a 
separate cover letter stating the name of the credit card, the credit 
card number, the expiration date of the credit card, the total amount, 
and a signature authorizing the Office to charge the fees to the 
account. To protect the security of the credit card number, the filer 
must not write the credit card number on the Notice of Intent to 
Enforce.
    (f) Public access. Notices of Intent to Enforce filed with the 
Copyright Office are available for public inspection and copying in the 
Records Research and Certification Section. Some of the information 
contained in these records is available on the Office's website, 
including the title of the work or a brief description if the work is 
untitled and the name of the copyright owner or owner of an exclusive 
right.
    (g) NAFTA work. The copyright owner of a work restored under NAFTA 
by the filing of a NAFTA Statement of Intent to Restore with the 
Copyright Office prior to January 1, 1995, is not required to file a 
Notice of Intent to Enforce under this regulation.

  Appendix A to Sec.201.33--Notice of Intent To Enforce a Copyright 
         Restored under the Uruguay Round Agreements Act (URAA)

1. Title:_______________________________________________________________

     (If this work does not have a title, state ``No title.'') OR
     Brief description of work (for untitled works only): ________

________________________________________________________________________
2. English translation of title (if applicable):________________________
3. Alternative title(s) (if any):_______________________________________
4. Type of work:________________________________________________________

     (e.g. painting, sculpture, music, motion picture, sound recording, 
book)

5. Name of author(s):___________________________________________________
6. Source country:______________________________________________________
7. Approximate year of publication:_____________________________________
8. Additional identifying information:__________________________________

    (e.g. for movies; director, leading actors, screenwriter, animator, 
for photographs: subject matter; for books; editor, publisher, 
contributors, subject matter).

9. Name of copyright owner:_____________________________________________
    (Statements may be filed in the name of the owner of the restored 
copyright or the owner of an exclusive right therein.)
10. If you are not the owner of all rights, specify the rights you own:
________________________________________________________________________
    (e.g. the right to reproduce/distribute publicly display/publicly 
perform the work, or to prepare a derivative work based on the work)
11. Address at which copyright owner may be contacted:

________________________________________________________________________
________________________________________________________________________
    (Give the complete address, including the country and an 
``attention'' line, or ``in care of'' name, if necessary.)

12. Telephone number of owner:__________________________________________
13. Fax number of owner:________________________________________________
14. Certification and Signature:

    I hereby certify that, for each of the work(s) listed above, I am 
the copyright owner, or the owner of an exclusive right, or the owner's 
authorized agent, the agency relationship having been constituted in a 
writing signed by the owner before the filing of this notice, and that 
the information given herein is true and correct to the best of my 
knowledge.

Signature:______________________________________________________________
Name (printed or typed):________________________________________________
As agent for (if applicable):___________________________________________
Date:___________________________________________________________________

    Note: Notices of Intent to Enforce must be in English, except for 
the original title, and either typed or printed by hand legibly in dark, 
preferably black, ink. They should be

[[Page 636]]

on 8\1/2\ by 11 white paper of good quality, with 
at least a 1-inch (or 3 cm) margin.

[60 FR 50420, Sept. 29, 1995, as amended at 63 FR 30635, June 5, 1998; 
64 FR 12902, Mar. 16, 1999; 71 FR 31092, June 1, 2006; 73 FR 37839, July 
1, 2008; 78 FR 42874, July 18, 2013; 82 FR 9358, Feb. 6, 2017; 85 FR 
19667, Apr. 8, 2020]



Sec.201.34  Procedures for filing Correction Notices of Intent to
Enforce a Copyright Restored under the Uruguay Round Agreements Act.

    (a) General. This section prescribes the procedures for submission 
of corrections of Notices of Intent to Enforce a Copyright (NIEs) 
Restored under the Uruguay Round Agreements Act of December 8, 1994, as 
required by 17 U.S.C. 104A(e), as amended by Pub. L. 103-465, 108 Stat. 
4809, 4976 (1994).
    (b) Definitions. For purposes of this section, the following 
definitions apply.
    (1) Major error. A major error in filing a Notice of Intent to 
Enforce a Copyright Restored under the Uruguay Round Agreements Act is 
an error in the name of the copyright owner or rightholder, or in the 
title of the work (as opposed to its translation, if any) where such 
error fails to adequately identify the restored work or its owner 
through a reasonable search of the Copyright Office NIE records. 
Omission of, or incorrect information regarding, a written agency 
relationship also constitutes a major error.
    (2) Minor error. A minor error in filing a Notice of Intent to 
Enforce a Copyright Restored under the Uruguay Round Agreements Act is 
any error that is not a major error.
    (3) Restored work. For the definition of works restored under the 
URAA, see 37 CFR 201.33.
    (c) Forms. The Copyright Office does not provide forms for 
Correction Notices of Intent to Enforce filed with the Copyright Office. 
It requests that filers of such Correction NIEs follow the format set 
out in Appendix A of this section and give all information listed in 
paragraph (d) of this section. Correction NIEs must be in English, and 
should be typed or legibly printed by hand in dark, preferably black 
ink, on 8\1/2\ by 11 white paper of good quality 
with at least a 1 (or three cm) margin.
    (d) Requirements for Correction Notice of Intent to Enforce a 
Copyright Restored under the Uruguay Round Agreements Act. (1) A 
correction for a Notice of Intent to Enforce should be clearly 
designated as a ``Correction Notice of Intent to Enforce'' or 
``Correction NIE.''
    (2) Correction Notices of Intent to Enforce should be addressed to 
Attn: URAA/GATT, NIE and Registrations and mailed to the address 
specified in Sec.201.1.
    (3) A Correction NIE shall contain the following information:
    (i) The volume and document number of the previous NIE which is to 
be corrected;
    (ii) The title of the work as it appears on the previous NIE, 
including alternative titles, if they appear;
    (iii) The English translation of the title, if any, as it appears on 
the previous NIE;
    (iv) A statement of the erroneous information as it appears on the 
previous NIE;
    (v) A statement of the correct information as it should have 
appeared and an optional explanation of its correction; or
    (vi) A statement of the information to be added. This includes 
optional information such as:
    (A) Type of work;
    (B) Rights owned by the party on whose behalf the Correction Notice 
is filed;
    (C) Name of author;
    (D) Source country;
    (E) Year of publication;
    (F) Alternative titles;
    (G) An optional explanation of the added information.
    (vii) The name and address:
    (A) To which correspondence concerning the document should be sent; 
and
    (B) To which the acknowledgment of the recordation of the Correction 
NIE should be mailed; and
    (viii) A certification. The certification shall consist of:
    (A) A statement that, for each of the works named above, the person 
signing the Correction NIE is the copyright owner, or the owner of an 
exclusive right, or the owner's authorized agent, and that the 
information is correct to the best of that person's knowledge;
    (B) The typed or printed name of the person whose signature appears;

[[Page 637]]

    (C) The signature and date of signature; and
    (D) The telephone and fax number at which the owner, rightholder, or 
agent thereof can be reached.
    (4) A Correction NIE may cover multiple works in multiple NIE 
documents for one fee provided that: each work is identified by title; 
all the works are by the same author; all the works are owned by the 
same copyright owner or owner of an exclusive right. In the case of 
Correction NIEs, the notice must separately designate each title to be 
corrected, noting the incorrect information as it appeared on the 
previously filed NIE, as well as the corrected information. A single 
notice covering multiple titles need bear only a single certification.
    (5) Copies, phonorecords or supporting documents cannot be made part 
of the record of a Correction NIE and should not be submitted with the 
document.
    (6) Time for submitting Correction NIEs. (i) Major errors. The 
Copyright Office will accept a Correction NIE for a major error 
concerning a restored work during the 24-month period beginning on the 
date of restoration of the work, as provided for original NIEs in 
section 104A(d)(2)(A) of title 17.
    (ii) Minor errors. The Office will accept a Correction NIE for a 
minor error or omission concerning a restored work at any time after the 
original NIE has been filed, as provided in section 104A(e)(1)(A)(iii) 
of title 17.
    (e) Fee--(1) Amount. The filing fee for recording Correction NIEs is 
prescribed in Sec.201.3(c).
    (2) Method of payment. See 37 CFR 201.33(e)(1),(2).
    (f) Public access. Correction Notices of Intent to Enforce filed 
with the Copyright Office are available for public inspection and 
copying in the Records Research and Certification Section.

   Appendix A to Sec.201.34--Correction Notice of Intent To Enforce

                Correction of Notice of Intent To Enforce

1. Name of Copyright Owner (or owner of exclusive right) If this 
          correction notice is to cover multiple works, the author and 
          the rights owner must be the same for all works covered by the 
          notice.)

________________________________________________________________________
2. Title(s) (or brief description)
    (a) Work No. 1--______
    Volume and Document Number: ______
    English Translation: ______
    (b) Work No. 2 (if applicable)--______
    Volume and Document Number: ______
    English Translation: ______
    (c) Work No. 3 (if applicable)--______
    Volume and Document Number: ______
    English Translation: ______
    (d) Work No. 4 (if applicable)--______
    Volume and Document Number: ______
    English Translation: ______
3. Statement of incorrect information on earlier NIE:

________________________________________________________________________
4. Statement of correct (or previously omitted) information:

________________________________________________________________________
Give the following only if incorrect or omitted on earlier NIE:

    (a) Type of work ______
    (b) Rights owned ______
    (c) Name of author (of entire work) ______
    (d) Source Country ______
    (e) Year of Publication (Approximate if precise year is unknown) 
______
    (f) Alternative titles ______
5. Explanation of error:

________________________________________________________________________
6. Certification and Signature: I hereby certify that for each of the 
          work(s) listed above, I am the copyright owner, or the owner 
          of an exclusive right, or the owner's authorized agent, the 
          agency relationship having been constituted in a writing 
          signed by the owner before the filing of this notice, and that 
          the information given herein is true and correct to the best 
          of my knowledge.

________________________________________________________________________
Name and Address (typed or printed):

________________________________________________________________________
Telephone/Fax:

As agent for:

________________________________________________________________________
Date and Signature:

________________________________________________________________________

[62 FR 55739, Oct. 28, 1997, as amended at 71 FR 31092, June 1, 2006; 73 
FR 37839, July 2, 2008; 78 FR 42874, July 18, 2013; 82 FR 9359, Feb. 6, 
2017]



Sec.201.35  Schedules of pre-1972 sound recordings.

    (a) General. This section prescribes the rules under which rights 
owners, pursuant to 17 U.S.C. 1401(f)(5)(A), may file schedules listing 
their pre-1972 sound recordings with the Copyright Office to be eligible 
for statutory damages and/or attorneys' fees for violations of 17 U.S.C. 
1401(a). This section

[[Page 638]]

also prescribes the rules for recordation of documents pertaining to the 
transfer of ownership of pre-1972 sound recordings.
    (b) Definitions. For purposes of this section:
    (1) Unless otherwise specified, the terms used have the meanings set 
forth in 17 U.S.C. 1401.
    (2) A pre-1972 sound recording is a sound recording fixed before 
February 15, 1972.
    (3) For pre-1972 sound recordings of classical music, including 
opera:
    (i) The title of the pre-1972 sound recording means, to the extent 
applicable and known by the rights owner, any and all title(s) of the 
sound recording and underlying musical composition known to the rights 
owner, and the composer and opus or catalogue number(s) of the 
underlying musical composition; and
    (ii) The featured artist(s) of the pre-1972 sound recording means, 
to the extent applicable and known by the rights owner, the featured 
soloist(s), featured ensemble(s), featured conductor, and any other 
featured performer(s).
    (c) Form and submission. A rights owner seeking to comply with 17 
U.S.C. 1401(f)(5)(A) (or her authorized agent) must submit a schedule 
listing the owner's pre-1972 sound recordings, or amend such a schedule, 
using an appropriate form provided by the Copyright Office on its 
website and following the instructions for completion and submission 
provided on the Office's website or the form itself. The Office may 
reject any submission that fails to comply with these requirements.
    (d) Amendment or supplementation. A rights owner (or her authorized 
agent) may amend or supplement information regarding a pre-1972 sound 
recording included in a schedule filed under paragraph (c) of this 
section by or on behalf of the same rights owner. Information may be 
corrected if it was incorrect at the time the pre-1972 schedule was 
submitted to the Office, or supplemented to include information that was 
omitted at the time the schedule was submitted to the Office. For each 
recording included in a schedule filed under this paragraph, where the 
information specified in paragraph (f)(1) of this section does not 
change from the previously-filed schedule, the date the previously-filed 
schedule was indexed into the Office's public records remains operative 
for purposes of 17 U.S.C. 1401(f)(5)(A)(i)(II).
    (e) Removal of record. A rights owner (or her authorized agent) may 
remove information regarding a pre-1972 sound recording from the 
Office's database of schedules if the sound recording was included in a 
schedule filed under paragraph (c) of this section by or on behalf of 
the same rights owner, using an appropriate form provided by the 
Copyright Office on its website and following the instructions for 
completion and submission provided on the Office's website or the form 
itself. Removal may be made if there was a substantive defect in the 
pre-1972 schedule regarding the specific sound recording at the time the 
schedule was submitted to the Office, or, upon a showing of good cause, 
at the discretion of the Copyright Office. Once a pre-1972 sound 
recording has been removed from the Office's database of schedules of 
pre-1972 sound recordings, the sound recording is no longer considered 
indexed into the Office's records.
    (f) Content. A schedule of pre-1972 sound recordings filed under 
paragraphs (c) or (d) of this section shall contain the following:
    (1) For each sound recording listed, the right's owner name, sound 
recording title, and featured artist(s);
    (2) If known and practicable, for each sound recording listed, the 
International Standard Recording Code (``ISRC'');
    (3) A certification that the individual submitting the schedule of 
pre-1972 sound recordings has appropriate authority to submit the 
schedule and that all information submitted to the Office is true, 
accurate, and complete to the best of the individual's knowledge, 
information, and belief, and is made in good faith; and
    (4) For each sound recording listed, the rights owner may opt to 
include additional information as permitted and in the format specified 
by the Office's form or instructions, such as the alternate title, 
alternate artist name(s), album, version, label, or publication date.

[[Page 639]]

    (g) Transfer of rights ownership. If ownership of a pre-1972 sound 
recording changes after its inclusion in a schedule filed with the 
Office under this section, the Office will consider the schedule to be 
effective as to any successor in interest. A successor in interest may, 
but is not required, to file a new schedule under this section.
    (h) Legal sufficiency of schedules. The Copyright Office does not 
review schedules submitted under paragraphs (c) or (d) of this section 
for legal sufficiency, interpret their content, or screen them for 
errors or discrepancies. The Office's review is limited to whether the 
procedural requirements established by the Office (including payment of 
the proper filing fee) have been met. Rights owners are therefore 
cautioned to review and scrutinize schedules to assure their legal 
sufficiency before submitting them to the Office.
    (i) Filing date. The date of filing of a schedule of pre-1972 sound 
recordings is the date when a proper submission, including the 
prescribed fee, is received in the Copyright Office. The filing date may 
not necessarily be the same date that the schedule, for purposes of 17 
U.S.C. 1401(f)(5)(A)(i)(II), is indexed into the Office's public 
records.
    (j) Fee. The filing fee to submit a schedule of pre-1972 sound 
recordings pursuant to this section is prescribed in Sec.201.3(c).
    (k) Third-party notification. A person may request timely 
notification of filings made under this section by following the 
instructions provided by the Copyright Office on its website.
    (l) Recordation of transfers. The conditions prescribed in Sec.
201.4 of this chapter for recordation of transfers of copyright 
ownership are applicable to the recordation of documents relating to the 
transfer of ownership of pre-1972 sound recordings under 17 U.S.C. 
chapter 14.

[83 FR 52153, Oct. 16, 2018, as amended at 84 FR 10684, Mar. 22, 2019]



Sec.201.36  Notices of contact information for transmitting entities 
publicly performing pre-1972 sound recordings.

    (a) General. This section prescribes the rules under which 
transmitting entities may file contact information with the Copyright 
Office pursuant to 17 U.S.C. 1401(f)(5)(B).
    (b) Definitions. For purposes of this section:
    (1) Unless otherwise specified, the terms used have the meanings set 
forth in 17 U.S.C. 1401.
    (2) A pre-1972 sound recording is a sound recording fixed before 
February 15, 1972.
    (3) A transmitting entity is an entity that, as of October 11, 2018, 
publicly performs pre-1972 sound recordings by means of digital audio 
transmission.
    (c) Form and submission. A transmitting entity seeking to comply 
with 17 U.S.C. 1401(f)(5)(B) must submit contact information using an 
appropriate form specified by the Copyright Office on its website and 
following the instructions for completion and submission provided on the 
Office's website or the form itself. The Office may reject any 
submission that fails to comply with these requirements. No notice or 
amended notice received after April 9, 2019 will be accepted by the 
Office.
    (d) Content. A notice submitted under paragraph (c) of this section 
shall contain the following, in addition to any other information 
required on the Office's form or website:
    (1) The full legal name, email address, and physical street address 
of the transmitting entity to which rights owners should send 
notifications of claimed violations of 17 U.S.C. 1401(a). A post office 
box may not be substituted for the street address of a transmitting 
entity. Related or affiliated transmitting entities that are separate 
legal entities (e.g., corporate parents and subsidiaries) are considered 
separate transmitting entities, and each must file its own separate 
notice of contact information.
    (2) The website(s) and/or application(s) through which the 
transmitting entity publicly performs pre-1972 sound recordings by means 
of digital audio transmission.
    (3) A certification that the transmitting entity was publicly 
performing pre-1972 sound recordings by means of digital audio 
transmission as of October 11, 2018.
    (4) A certification that the individual submitting the notice has 
appropriate authority to submit the notice and

[[Page 640]]

that all information submitted to the Office is true, accurate, and 
complete to the best of the individual's knowledge, information, and 
belief, and is made in good faith.
    (5) The transmitting entity may opt to include alternate names for 
which the transmitting entity seeks application of 17 U.S.C. 
1401(f)(5)(B)(iii), such as names that the public would be likely to use 
to search for the transmitting entity in the Copyright Office's online 
directory of transmitting entities publicly performing pre-1972 sound 
recordings by means of digital audio transmission, including names under 
which the transmitting entity is doing business and other commonly used 
names. Separate legal entities are not considered alternate names.
    (e) Filing Date. The date of filing of a notice of contact 
information pursuant to this section is the date when a proper 
submission, including the prescribed fee, is received in the Copyright 
Office.
    (f) Fee. The filing fee to submit a notice of contact information 
pursuant to this section is prescribed in Sec.201.3(c).

[83 FR 52154, Oct. 16, 2018, as amended at 84 FR 10685, Mar. 22, 2019]



Sec.201.37  Noncommercial use of pre-1972 sound recordings.

    (a) General. This section prescribes the rules under which a user, 
desiring to make noncommercial use of a pre-1972 sound recording 
pursuant to 17 U.S.C. 1401(c), conducts a good faith, reasonable search 
to determine whether the sound recording is being commercially 
exploited, and if not, files a notice of noncommercial use with the 
Copyright Office. This section also prescribes the rules under which a 
rights owner of a pre-1972 sound recording identified in a notice of 
noncommercial use may file an opt-out notice opposing a proposed use of 
the sound recording, pursuant to 17 U.S.C. 1401(c)(1)(C).
    (b) Definitions. For purposes of this section:
    (1) Unless otherwise specified, the terms used have the meanings set 
forth in 17 U.S.C. 1401.
    (2) A pre-1972 sound recording is a sound recording fixed before 
February 15, 1972. A post-1972 remastered version of a pre-1972 sound 
recording that consists of mechanical contributions or contributions 
that are too minimal to be copyrightable qualifies as a pre-1972 sound 
recording for purposes of this section.
    (3) For pre-1972 sound recordings of classical music, including 
opera:
    (i) The title of the pre-1972 sound recording means, to the extent 
applicable and known by the user, any and all title(s) of the sound 
recording and underlying musical composition known to the user, and the 
composer and opus or catalogue number(s) of the underlying musical 
composition; and
    (ii) The featured artist(s) of the pre-1972 sound recording means, 
to the extent applicable and known by the user, the featured soloist(s); 
featured ensemble(s); featured conductor; and any other featured 
performer(s).
    (4) An Alaska Native or American Indian tribe is a tribe included in 
the U.S. Department of the Interior's list of federally recognized 
tribes, as published annually in the Federal Register.
    (c) Conducting a good faith, reasonable search. (1) Pursuant to 17 
U.S.C. 1401(c)(3)(A), a user desiring to make noncommercial use of a 
pre-1972 sound recording should progressively search for the sound 
recording in each of the categories below until the user finds the sound 
recording. If the user finds the sound recording in a search category, 
the user need not search the subsequent search categories. If the user 
does not find the pre-1972 sound recording after searching each of the 
categories below, her search is sufficient for purposes of the safe 
harbor in 17 U.S.C. 1401(c)(4), establishing that she made a good faith, 
reasonable search without finding commercial exploitation of the sound 
recording by or under the authority of the rights owner. The categories 
are:
    (i) Searching the Copyright Office's database of indexed schedules 
listing right owners' pre-1972 sound recordings (https://
www.copyright.gov/music-modernization/pre1972-soundrecordings/search-
soundrecordings.html);
    (ii) Searching at least one major search engine, namely Google, 
Yahoo!, or Bing, to determine whether the pre-1972 sound recording is 
being offered for sale in download form or as a new (not resale) 
physical product, or is available through a streaming service;

[[Page 641]]

    (iii) Searching at least one of the following streaming services: 
Amazon Music Unlimited, Apple Music, Spotify, or TIDAL;
    (iv) Searching YouTube, to determine whether the pre-1972 sound 
recording is offered under license by the sound recording rights owner 
(e.g., record label or distribution service);
    (v) Searching SoundExchange's repertoire database through the 
SoundExchange ISRC lookup tool (https://isrc.soundexchange.com/!/
search);
    (vi) Searching at least one major seller of physical product, namely 
Amazon.com, and if the pre-1972 sound recording is of classical music or 
jazz, searching a smaller online music store that specializes in product 
relative to that niche genre, namely: ArkivJazz, ArkivMusic, Classical 
Archives, or Presto; in either case, to determine whether the pre-1972 
sound recording is being offered for sale in download form or as a new 
(not resale) physical product; and
    (vii) For pre-1972 ethnographic sound recordings of Alaska Native or 
American Indian tribes, searching, if such contact information is known 
to the user, by contacting the relevant Alaska Native or American Indian 
tribe and the holding institution of the sound recording (such as a 
library or archive) to gather information to determine whether the sound 
recording is being commercially exploited. If this contact information 
is not previously known to the prospective user, the user should use the 
information provided by the U.S. Department of the Interior's Bureau of 
Indian Affairs' Tribal Leaders directory, which provides contact 
information for each federally recognized tribe.
    (2) A search under paragraph (c)(1) of this section must include 
searching the title of the pre-1972 sound recording and its featured 
artist(s). If the user knows any of the following attributes of the 
sound recording, and the source being searched has the capability to 
search any of these attributes, the search must also include searching: 
alternate artist name(s), alternate title(s), album title, and the 
International Standard Recording Code (``ISRC''). A user is encouraged, 
but not required, to search additional known attributes, such as the 
label or version. A user searching using a search engine should draw 
reasonable inferences from the search results, including following those 
links whose name or accompanying text suggest that commercial 
exploitation might be found there, and reading additional pages of 
results until two consecutive pages return no such suggestive links. A 
user need not read every web page returned in a search result.
    (3) A search under paragraph (c)(1) of this section must be 
conducted no later than 90 days of the user (or her authorized agent) 
filing a notice of noncommercial use under paragraph (d)(1) of this 
section to be sufficient for purposes of the safe harbor in 17 U.S.C. 
1401(c)(4).
    (4) For purposes of the safe harbor in 17 U.S.C. 1401(c)(4), a user 
cannot rely on:
    (i) A search conducted under paragraph (c)(1) of this section by a 
third party who is not the user's authorized agent; or
    (ii) A notice of noncommercial use filed under paragraph (d)(1) of 
this section by a third party (who is not the user's authorized agent).
    (5) A user is encouraged to save documentation (e.g., screenshots, 
list of search terms) of her search under paragraph (c)(1) of this 
section for at least three years in case her search is challenged.
    (d) Notices of noncommercial use--(1) Form and submission. A user 
seeking to comply with 17 U.S.C. 1401(c)(1) (or her authorized agent) 
must submit a notice of noncommercial use identifying the pre-1972 sound 
recording that the user intends to use and the nature of such use using 
an appropriate form and instructions provided by the Copyright Office on 
its website. The Office may reject any submission that fails to comply 
with the requirements of this section.
    (2) Content. A notice of noncommercial use shall contain the 
following:
    (i) The user's full legal name, and whether the user is an 
individual person or corporate entity, including whether the entity is a 
tax-exempt organization as defined under the Internal Revenue Code. 
Additional contact

[[Page 642]]

information, including an email address, may be optionally provided.
    (ii) The title and featured artist(s) of the pre-1972 sound 
recording desiring to be used.
    (iii) If any are known to the user, the current or last-known rights 
owner (e.g., record label), alternate artist name(s), alternate 
title(s), album title, and International Standard Recording Code 
(``ISRC'').
    (iv) The user may include additional optional information about the 
pre-1972 sound recording as permitted by the Office's form or 
instructions, such as the year of release.
    (v) A description of the proposed noncommercial use, including a 
summary of the project and its purpose, how the pre-1972 sound recording 
will be used in the project, the start and end dates of the use, and 
where the proposed use will occur (i.e., the U.S.-based territory of the 
use). The user may include additional optional information detailing the 
proposed use, such as the tentative title of the project, the playing 
time of the pre-1972 sound recording to be used as well as total playing 
time of the project, a description of corresponding visuals in the case 
of audiovisual uses, and whether and how the user will credit the sound 
recording title, featured artist, and/or rights owner in connection with 
the project.
    (vi) A certification that the user searched but did not find the 
pre-1972 sound recording in a search conducted under paragraph (c) of 
this section, or else conducted a good faith, reasonable search for, but 
did not find, the sound recording in the Copyright Office's database of 
indexed schedules listing right owners' pre-1972 sound recordings, or on 
services offering a comprehensive set of sound recordings for sale or 
streaming.
    (vii) A certification that the individual submitting the notice of 
noncommercial use has appropriate authority to submit the notice, that 
the user desiring to make noncommercial use of the pre-1972 sound 
recording (or the user's authorized agent) conducted a search under 
paragraph (c) of this section or else conducted a good faith, reasonable 
search under 17 U.S.C. 1401(c)(4), within the last 90 days without 
finding commercial exploitation of the sound recording, and that all 
information submitted to the Office is true, accurate, and complete to 
the best of the individual's knowledge, information, and belief, and is 
made in good faith.
    (3) Noncommercial use of a pre-1972 recording under this section is 
limited to use within the United States.
    (4) A notice of noncommercial use may not include proposed use for 
more than one pre-1972 sound recording unless all of the sound 
recordings include the same featured artist(s) and were released on the 
same pre-1972 album or other unit of publication. In the case of 
``greatest hits'' or compilation albums, all of the sound recordings 
listed on a notice must also share the same record label or other rights 
owner information, as listed on the notice.
    (5) The Copyright Office will assign each indexed notice of 
noncommercial use a unique identifier to identify the notice in the 
Office's public records.
    (6) Legal sufficiency. (i) The Copyright Office does not review 
notices of noncommercial use submitted under paragraph (d)(1) of this 
section for legal sufficiency. The Office's review is limited to whether 
the procedural requirements established by the Office (including payment 
of the proper filing fee) have been met. The fact that the Office has 
indexed a notice is not a determination by the Office of the notice's 
validity or legal effect. Indexing by the Copyright Office is without 
prejudice to any party claiming that the legal or formal requirements 
for making a noncommercial use of a pre-1972 sound recording have not 
been met, including before a court of competent jurisdiction. Users are 
therefore cautioned to review and scrutinize notices of noncommercial 
use to assure their legal sufficiency before submitting them to the 
Office.
    (ii) If a rights owner does not file an opt-out notice under 
paragraph (e) of this section, when the term of use specified in the 
notice of noncommercial use ends, the user must cease noncommercial use 
of the pre-1972 sound recording for purposes of remaining in the safe 
harbor in 17 U.S.C. 1401(c)(4). Should the user desire to requalify for 
the safe harbor with respect to that same recording, the user must 
conduct

[[Page 643]]

a new search and file a new notice of noncommercial use under paragraphs 
(c) and (d) of this section, respectively.
    (7) Filing date. The date of filing of a notice of noncommercial use 
is the date when a proper submission, including the prescribed fee, is 
received in the Copyright Office. The filing date may not necessarily be 
the same date that the notice, for purposes of 17 U.S.C. 1401(c)(1)(C), 
is indexed into the Office's public records.
    (8) Fees. The filing fee to submit a notice of noncommercial use 
pursuant to this section is prescribed in Sec.201.3(c).
    (9) Third-party notification. A person may request timely 
notification of filings made under paragraph (d)(1) of this section by 
following the instructions provided by the Copyright Office on its 
website.
    (e) Opt-out notices--(1) Form and submission. A rights owner seeking 
to comply with 17 U.S.C. 1401(c)(1)(C) (or her authorized agent) must 
file a notice opting out of a proposed noncommercial use of a pre-1972 
sound recording filed under paragraph (d)(1) of this section using an 
appropriate form provided by the Copyright Office on its website and 
following the instructions for completion and submission provided on the 
Office's website or the form itself. The Office may reject any 
submission that fails to comply with the requirements of this section, 
or any relevant instructions or guidance provided by the Office.
    (2) Content. An opt-out notice use shall contain the following:
    (i) The user's name, rights owner's name, sound recording title, 
featured artist(s), an affirmative ``yes'' statement that the rights 
owner is opting out of the proposed use, and the unique identifier 
assigned to the notice of noncommercial use by the Copyright Office. 
Additional contact information for the rights owner, including an email 
address, may be optionally provided.
    (ii) A certification that the individual submitting the opt-out 
notice has appropriate authority to submit the notice and that all 
information submitted to the Office is true, accurate, and complete to 
the best of the individual's knowledge, information, and belief, and is 
made in good faith.
    (iii) Submission of an opt-out notice does not constitute agreement 
by the rights owner or the individual submitting the opt-out notice that 
the proposed use is in fact noncommercial. The submitter may choose to 
comment upon whether the rights owner agrees that the proposed use is 
noncommercial use, but failure to do so does not constitute agreement 
that the proposed use is in fact noncommercial.
    (3) Where a pre-1972 sound recording has multiple rights owners, 
only one rights owner must file an opt-out notice for purposes of 17 
U.S.C. 1401(c)(5).
    (4) If a rights owner files a timely opt-out notice under paragraph 
(e)(1) of this section, a user must wait one year before filing another 
notice of noncommercial use proposing the same or similar use of the 
same pre-1972 sound recording(s).
    (5) Legal sufficiency. The Copyright Office does not review opt-out 
notices submitted under paragraph (e)(1) of this section for legal 
sufficiency. The Office's review is limited to whether the procedural 
requirements established by the Office (including payment of the proper 
filing fee) have been met. Rights owners are therefore cautioned to 
review and scrutinize opt-out notices to assure their legal sufficiency 
before submitting them to the Office.
    (6) Filing date. The date of filing of an opt-out notice is the date 
when a proper submission, including the prescribed fee, is received in 
the Copyright Office.
    (7) Fee. The filing fee to submit an opt-out notice pursuant to this 
section is prescribed in Sec.201.3(c).
    (f) Fraudulent filings. If the Register becomes aware of abuse or 
fraudulent filings under this section by or from a certain filer or 
user, she shall have the discretion to impose civil penalties up to 
$1,000 per instance of fraud or abuse, and/or other penalties to deter 
additional false or fraudulent filings from that filer, including 
potentially rejecting future submissions from that filer for up to one 
year.

[84 FR 14255, Apr. 9, 2019]



Sec.201.38  Designation of agent to receive notification of claimed 
infringement.

    (a) General. This section prescribes the rules pursuant to which 
service

[[Page 644]]

providers may designate agents to receive notifications of claimed 
infringement pursuant to section 512 of title 17 of the United States 
Code. Any service provider seeking to comply with section 512(c)(2) of 
the statute must:
    (1) Designate an agent by making available through its service, 
including on its website in a location accessible to the public, and by 
providing to the Copyright Office, the service provider and designated 
agent information required by paragraph (b) of this section;
    (2) Maintain the currency and accuracy of the information required 
by paragraph (b) both on its website and with the Office by timely 
updating such information when it has changed; and
    (3) Comply with the electronic registration requirements in 
paragraph (c) to designate an agent with the Office.
    (b) Information required to designate an agent. To designate an 
agent, a service provider must make available through its service, 
including on its website in a location accessible to the public, and 
provide to the Copyright Office in accordance with paragraph (c) of this 
section, the following information:
    (1)(i) The full legal name and physical street address of the 
service provider. Related or affiliated service providers that are 
separate legal entities (e.g., corporate parents and subsidiaries) are 
considered separate service providers, and each must have its own 
separate designation.
    (ii) A post office box may not be substituted for the street address 
for the service provider, except in exceptional circumstances (e.g., 
where there is a demonstrable threat to an individual's personal safety 
or security, such that it may be dangerous to publicly publish a street 
address where such individual can be located) and, upon written request 
by the service provider, the Register of Copyrights determines that the 
circumstances warrant a waiver of this requirement. To obtain a waiver, 
the service provider must make a written request submitted either by 
email, to [email protected], or by signed letter, addressed to 
the ``U.S. Copyright Office, Office of the General Counsel'' and sent to 
the address for time-sensitive requests set forth in Sec.201.1(c)(1). 
Requests must contain the following information: The name of the service 
provider; the post office box address that the service provider wishes 
to use; a detailed statement providing the reasons supporting the 
request, with explanation of the specific threat(s) to an individual's 
personal safety or security; and an email address for any responsive 
correspondence from the Office. There is no fee associated with making 
this request. If the request is approved, the service provider may 
display the post office box address on its website and will receive 
instructions from the Office as to how to complete the Office's 
electronic registration process.
    (2) All alternate names that the public would be likely to use to 
search for the service provider's designated agent in the Copyright 
Office's online directory of designated agents, including all names 
under which the service provider is doing business, website names and 
addresses (i.e., URLs), software application names, and other commonly 
used names. Separate legal entities are not considered alternate names.
    (3) The name of the agent designated to receive notifications of 
claimed infringement and, if applicable, the name of the agent's 
organization. The designated agent may be an individual (e.g., ``Jane 
Doe''), a specific position or title held by an individual (e.g., 
``Copyright Manager''), a specific department within the service 
provider's organization or within a third-party entity (e.g., 
``Copyright Compliance Department''), or a third-party entity generally 
(e.g., ``ACME Takedown Service''). Only a single agent may be designated 
for each service provider.
    (4) The physical mail address (street address or post office box), 
telephone number, and email address of the agent designated to receive 
notifications of claimed infringement.
    (c) Electronic registration with the Copyright Office. Service 
providers designating an agent with the Copyright Office must do so 
electronically by establishing an account with and then utilizing the 
applicable online registration system made available through the 
Copyright Office's website. Designations, amendments, and resubmissions 
submitted to the Office in paper or any other form will not be accepted.

[[Page 645]]

All electronic registrations must adhere to the following requirements:
    (1) Registration information. All required fields in the online 
registration system must be completed in order for the designation to be 
registered with the Copyright Office. In addition to the information 
required by paragraph (b) of this section, the person designating the 
agent with the Office must provide the following for administrative 
purposes, and which will not be displayed in the Office's public 
directory and need not be displayed by the service provider on its 
website:
    (i) The first name, last name, telephone number, and email address 
of a representative of the service provider who will serve as the 
primary point of contact for communications with the Office.
    (ii) A telephone number and email address for the service provider 
for communications with the Office.
    (2) Attestation. For each designation and any subsequent amendment 
or resubmission of such designation, the person designating the agent, 
or amending or resubmitting such designation, must attest that:
    (i) The information provided to the Office is true, accurate, and 
complete to the best of his or her knowledge; and
    (ii) He or she has been given authority to make the designation, 
amendment, or resubmission on behalf of the service provider.
    (3) Amendment. All service providers must ensure the currency and 
accuracy of the information contained in designations submitted to the 
Office by timely updating information when it has changed. A service 
provider may amend a designation previously registered with the Office 
at any time to correct or update information.
    (4) Periodic renewal. A service provider's designation will expire 
and become invalid three years after it is registered with the Office, 
unless the service provider renews such designation by either amending 
it to correct or update information or resubmitting it without 
amendment. Either amending or resubmitting a designation, as 
appropriate, begins a new three-year period before such designation must 
be renewed.
    (d) Fees. The Copyright Office's general fee schedule, located at 
section 201.3 of title 37 of the Code of Federal Regulations, sets forth 
the applicable fee for a service provider to designate an agent with the 
Copyright Office to receive notifications of claimed infringement and to 
amend or resubmit such a designation.
    (e) Transitional provisions. (1) As of December 1, 2016, any 
designation of an agent pursuant to 17 U.S.C. 512(c)(2) must be made 
electronically through the Copyright Office's online registration 
system.
    (2) A service provider that has designated an agent with the Office 
under the previous version of this section, which was effective between 
November 3, 1998 and November 30, 2016, and desires to remain in 
compliance with section 512(c)(2) of title 17, United States Code, must 
submit a new designation electronically using the online registration 
system by December 31, 2017. Any designation not made through the online 
registration system will expire and become invalid after December 31, 
2017.
    (3) During the period beginning with the effective date of this 
section, December 1, 2016, through December 31, 2017 (the ``transition 
period''), the Copyright Office will maintain two directories of 
designated agents: the directory consisting of paper designations made 
pursuant to the prior interim regulations (the ``old directory''), and 
the directory consisting of designations made electronically through the 
online registration system (the ``new directory''). During the 
transition period, a compliant designation in either the old directory 
or the new directory will satisfy the service provider's obligation 
under section 512(c)(2) of title 17, United States Code to designate an 
agent with the Copyright Office.

[81 FR 75707, Nov. 1, 2016, as amended at 82 FR 9358, Feb. 6, 2017; 82 
FR 21697, May 10, 2017; 85 FR 11295, Feb. 27, 2020]



Sec.201.39  Notice to Libraries and Archives of Normal Commercial 
Exploitation or Availability at Reasonable Price.

    (a) General. This section prescribes rules under which copyright 
owners or

[[Page 646]]

their agents may provide notice to qualified libraries and archives 
(including a nonprofit educational institution that functions as such) 
that a published work in its last 20 years of copyright protection is 
subject to normal commercial exploitation, or that a copy or phonorecord 
of the work can be obtained at a reasonable price, for purposes of 
section 108(h)(2) of title 17 of the United States Code.
    (b) Format. The Copyright Office provides a required format for a 
Notice to Libraries and Archives of Normal Commercial Exploitation or 
Availability at Reasonable Price, and for continuation sheets for group 
notices. The required format is set out in Appendix A to this section, 
and is available from the Copyright Office website (http://lcweb.loc.gov 
/copyright). The Copyright Office does not provide printed forms. The 
Notice shall be in English (except for an original title, which may be 
in another language), typed or printed legibly in dark ink, and shall be 
provided on 8\1/2\ x 11 inch white paper with a one-inch margin.
    (c) Required content. A ``Notice to Libraries and Archives of Normal 
Commercial Exploitation or Availability at Reasonable Price'' shall be 
identified as such by prominent caption or heading, and shall include 
the following:
    (1) The acronym NLA in capital, and preferably bold, letters in the 
top right-hand corner of the page;
    (2) A check-box just below the acronym NLA indicating whether 
continuation sheets for additional works are attached;
    (3) The title of the work, or if untitled, a brief description of 
the work;
    (4) The author(s) of the work;
    (5) The type of work (e.g., music, motion picture, book, photograph, 
illustration, map, article in a periodical, painting, sculpture, sound 
recording, etc.);
    (6) The edition, if any (e.g., first edition, second edition, 
teacher's edition) or version, if any (e.g., orchestral arrangement, 
translation, French version). If there is no information relating to the 
edition or version of the work, the notice should so state;
    (7) The year of first publication;
    (8) The year the work first secured federal copyright through 
publication with notice or registration as an unpublished work;
    (9) The copyright renewal registration number (except this 
information is not required for foreign works in which copyright is 
restored pursuant to 17 U.S.C. 104A);
    (10) The name of the copyright owner (or the owner of exclusive 
rights);
    (11) If the copyright owner is not the owner of all rights, a 
specification of the rights owned (e.g., the right to reproduce/
distribute/publicly display/publicly perform the work or to prepare a 
derivative work);
    (12) The name, address, telephone number, fax number (if any) and e-
mail address (if any) of the person or entity that the Copyright Office 
should contact concerning the Notice;
    (13) The full legal name, address, telephone number, fax number (if 
any) and e-mail address (if any) of the person or entity that Libraries 
and Archives may contact concerning the work's normal commercial 
exploitation or availability at reasonable price; and
    (14) A declaration made under penalty of perjury that the work 
identified is subject to normal commercial exploitation, or that a copy 
or phonorecord of the work is available at a reasonable price.
    (d) Additional content. A Notice to Libraries and Archives of Normal 
Commercial Exploitation or Availability at Reasonable Price may include 
the following:
    (1) The original copyright registration number of the work; and
    (2) Additional information concerning the work's normal commercial 
exploitation or availability at a reasonable price.
    (e) Signature. The Notice to Libraries and Archives of Normal 
Commercial Exploitation or Availability at Reasonable Price shall 
include the signature of the copyright owner or its agent. The signature 
shall be accompanied by the printed or typewritten name and title of the 
person signing the Notice, and by the date of signature.
    (f) Multiple works. A Notice to Libraries and Archives may be filed 
for more than one work. The first work shall be identified using the 
format required for all Notices to Libraries and Archives.

[[Page 647]]

Each additional work in the group must be identified on a separate 
continuation sheet. The required format for the continuation sheet is 
set out in Appendix B to this section, and is available from the 
Copyright Office website (http://lcweb.loc.gov/ copyright). A group 
filing is permitted provided that:
    (1) All the works are by the same author;
    (2) All the works are owned by the same copyright owner or owner of 
the exclusive rights therein. If the claimant is not owner of all 
rights, the claimant must own the same rights with respect to all works 
in the group;
    (3) All the works first secured federal copyright in the same year, 
through either publication with notice or registration as unpublished 
works;
    (4) All the works were first published in the same year;
    (5) The person or entity that the Copyright Office should contact 
concerning the Notice is the same for all the works; and
    (6) The person or entity that Libraries and Archives may contact 
concerning the work's normal commercial exploitation or availability at 
reasonable price is the same for all the works.
    (g) Filing--(1) Method of filing. The Notice to Libraries and 
Archives of Normal Commercial Exploitation or Availability at Reasonable 
Price should be addressed to NLA, in the manner prescribed in Sec.
201.1.
    (2) Amount. The filing fee for recording Notice to Libraries and 
Archives is prescribed in Sec.201.3(d).
    (3) Method of payment--(i) Checks, money orders, or bank drafts. The 
Copyright Office will accept checks, money orders, or bank drafts made 
payable to the U.S. Copyright Office. Remittances must be redeemable 
without service or exchange fees through a United States institution, 
must be payable in United States dollars, and must be imprinted with 
American Banking Association routing numbers. Postal money orders that 
are negotiable only at a post office and international money orders are 
not acceptable. CURRENCY IS NOT ACCEPTED.
    (ii) Copyright Office Deposit Account. The Copyright Office 
maintains a system of Deposit Accounts for the convenience of those who 
frequently use its services. The system allows an individual or firm to 
establish a Deposit Account in the Copyright Office and to make advance 
deposits into that account. Deposit Account holders can charge copyright 
fees against the balance in their accounts instead of sending separate 
remittances with each request for service. For information on Deposit 
Accounts, see Circular 5 on the Copyright Office's website, or request a 
copy at the address specified in Sec.201.1(b).

 Appendix A to Sec.201.39--Required Format of Notice to Libraries and 
Archives of Normal Commercial Exploitation or Availability at Reasonable 
                                  Price

NLA
[squ] Check box if continuation sheets for additional works are 
          attached.

 Notice to Libraries and Archives of Normal Commercial Exploitation or 
                    Availability at Reasonable Price

    1. Title of the work (or, if untitled, a brief description of the 
work): ____________________.
    2. Author(s) of the work: ____________________.
    3. Type of work (e.g. music, motion picture, book, photograph, 
illustration, map, article in a periodical, painting, sculpture, sound 
recording, etc.): ____________________.
    4. Edition, if any (e.g., first edition, second edition, teacher's 
edition) or version, if any (e.g., orchestral arrangement, English 
translation of French text). If there is no information available 
relating to the edition or version of the work, the Notice should state, 
``No information available'': ____________________.
    5. Year of first publication: __________.
    6. Year the work first secured federal copyright through publication 
with notice or registration as an unpublished work: __________.
    7. Copyright renewal registration number (not required for foreign 
works restored under 17 U.S.C. 104A): __________.
    8. Full legal name of the copyright owner (or the owner of exclusive 
rights): __________.
    9. The person or entity identified in space 8 owns:
[squ] all rights.
[squ] the following rights (e.g., the right to reproduce/distribute/
          publicly display/publicly perform the work or to prepare a 
          derivative work): __________.
    10. Person or entity that the Copyright Office should contact 
concerning the Notice:
[squ] Name:_____________________________________________________________
[squ] Address:__________________________________________________________
[squ] Telephone:________________________________________________________
[squ] Fax number (if any):______________________________________________
[squ] E-mail address (if any):__________________________________________

[[Page 648]]

    11. Person or entity that libraries and archives may contact 
concerning the work's normal commercial exploitation or availability at 
a reasonable price:
[squ] Name:_____________________________________________________________
[squ] Address:__________________________________________________________
[squ] Telephone:________________________________________________________
[squ] Fax number (if any):______________________________________________
[squ] E-mail address (if any):__________________________________________

                     Additional Content (OPTIONAL):

    12. Original copyright registration number: ____________________
    13. Additional information concerning the work's normal commercial 
exploitation or availability at a reasonable price: ____________________

                              Declaration:

    I declare under penalty of perjury under the laws of the United 
States:
[squ] that each work identified in this notice is subject to normal 
          commercial exploitation.
[squ] that a copy or phonorecord of each work identified in this notice 
          is available at a reasonable price.
Signature:______________________________________________________________
Date:___________________________________________________________________
[squ] Typed or printed name:____________________________________________
[squ] Title:____________________________________________________________

   Appendix B to Sec.201.39--Required Format for Continuation Sheet

NLA CON
Page ____of ____Pages.

 Continuation Sheet for NLA Notice to Libraries and Archives of Normal 
       Commercial Exploitation or Availability at Reasonable Price

    1. Title of the work (or, if untitled, a brief description of the 
work): ____________________.
    2. Type of work (e.g. music, motion picture, book, photograph, 
illustration, map, article in a periodical, painting, sculpture, sound 
recording, etc.): ____________________.
    3. Edition, if any (e.g., first edition, second edition, teacher's 
edition) or version, if any (e.g., orchestral arrangement, English 
translation of French text). If there is no information available 
relating to the edition or version of the work, the Notice should state, 
``No information available'': ____________________.
    4. Copyright renewal registration number (not required for foreign 
works restored under 17 U.S.C. 104A): ____________________.

                     Additional Content (OPTIONAL):

    5. Original copyright registration number: ____________________.
    6. Additional information concerning the work's normal commercial 
exploitation or availability at a reasonable price: 
____________________.

[63 FR 71787, Dec. 30, 1998, as amended at 66 FR 34373, June 28, 2001; 
71 FR 31092, June 1, 2006; 73 FR 37839, July 2, 2008; 78 FR 42874, July 
18, 2013; 82 FR 9359, Feb. 6, 2017; 85 FR 19667, Apr. 8, 2020]



Sec.201.40  Exemptions to prohibition against circumvention.

    (a) General. This section prescribes the classes of copyrighted 
works for which the Librarian of Congress has determined, pursuant to 17 
U.S.C. 1201(a)(1)(C) and (D), that noninfringing uses by persons who are 
users of such works are, or are likely to be, adversely affected. The 
prohibition against circumvention of technological measures that control 
access to copyrighted works set forth in 17 U.S.C. 1201(a)(1)(A) shall 
not apply to such users of the prescribed classes of copyrighted works.
    (b) Classes of copyrighted works. Pursuant to the authority set 
forth in 17 U.S.C. 1201(a)(1)(C) and (D), and upon the recommendation of 
the Register of Copyrights, the Librarian has determined that the 
prohibition against circumvention of technological measures that 
effectively control access to copyrighted works set forth in 17 U.S.C. 
1201(a)(1)(A) shall not apply to persons who engage in noninfringing 
uses of the following classes of copyrighted works:
    (1) Motion pictures (including television shows and videos), as 
defined in 17 U.S.C. 101, where the motion picture is lawfully made and 
acquired on a DVD protected by the Content Scramble System, on a Blu-ray 
disc protected by the Advanced Access Content System, or via a digital 
transmission protected by a technological measure, and the person 
engaging in circumvention under paragraph (b)(1)(i) and (b)(1)(ii)(A) 
and (B) of this section reasonably believes that non-circumventing 
alternatives are unable to produce the required level of high-quality 
content, or the circumvention is undertaken using screen-capture 
technology that appears to be offered to the public as enabling the 
reproduction of motion pictures after content has been lawfully acquired 
and decrypted, where circumvention is undertaken solely in order to make 
use of short portions of

[[Page 649]]

the motion pictures in the following instances:
    (i) For the purpose of criticism or comment:
    (A) For use in documentary filmmaking, or other films where the 
motion picture clip is used in parody or for its biographical or 
historically significant nature;
    (B) For use in noncommercial videos (including videos produced for a 
paid commission if the commissioning entity's use is noncommercial); or
    (C) For use in nonfiction multimedia e-books.
    (ii) For educational purposes:
    (A) By college and university faculty and students or kindergarten 
through twelfth-grade (K-12) educators and students (where the K-12 
student is circumventing under the direct supervision of an educator), 
including of accredited general educational development (GED) programs, 
for the purpose of criticism, comment, teaching, or scholarship;
    (B) By faculty of massive open online courses (MOOCs) offered by 
accredited nonprofit educational institutions to officially enrolled 
students through online platforms (which platforms themselves may be 
operated for profit), in film studies or other courses requiring close 
analysis of film and media excerpts, for the purpose of criticism or 
comment, where the MOOC provider through the online platform limits 
transmissions to the extent technologically feasible to such officially 
enrolled students, institutes copyright policies and provides copyright 
informational materials to faculty, students, and relevant staff 
members, and applies technological measures that reasonably prevent 
unauthorized further dissemination of a work in accessible form to 
others or retention of the work for longer than the course session by 
recipients of a transmission through the platform, as contemplated by 17 
U.S.C. 110(2); or
    (C) By educators and participants in nonprofit digital and media 
literacy programs offered by libraries, museums, and other nonprofit 
entities with an educational mission, in the course of face-to-face 
instructional activities, for the purpose of criticism or comment, 
except that such users may only circumvent using screen-capture 
technology that appears to be offered to the public as enabling the 
reproduction of motion pictures after content has been lawfully acquired 
and decrypted.
    (2)(i) Motion pictures (including television shows and videos), as 
defined in 17 U.S.C. 101, where the motion picture is lawfully acquired 
on a DVD protected by the Content Scramble System, on a Blu-ray disc 
protected by the Advanced Access Content System, or via a digital 
transmission protected by a technological measure, where:
    (A) Circumvention is undertaken by a disability services office or 
other unit of a kindergarten through twelfth-grade educational 
institution, college, or university engaged in and/or responsible for 
the provision of accessibility services to students, for the purpose of 
adding captions and/or audio description to a motion picture to create 
an accessible version as a necessary accommodation for a student or 
students with disabilities under an applicable disability law, such as 
the Americans With Disabilities Act, the Individuals with Disabilities 
Education Act, or Section 504 of the Rehabilitation Act;
    (B) The educational institution unit in paragraph (b)(2)(i)(A) of 
this section has, after a reasonable effort, determined that an 
accessible version cannot be obtained at a fair price or in a timely 
manner; and
    (C) The accessible versions are provided to students or educators 
and stored by the educational institution in a manner intended to 
reasonably prevent unauthorized further dissemination of a work.
    (ii) For purposes of this paragraph (b)(2), ``audio description'' 
means an oral narration that provides an accurate rendering of the 
motion picture.
    (3) Literary works, distributed electronically, that are protected 
by technological measures that either prevent the enabling of read-aloud 
functionality or interfere with screen readers or other applications or 
assistive technologies:
    (i) When a copy of such a work is lawfully obtained by a blind or 
other person with a disability, as such a person is defined in 17 U.S.C. 
121; provided, however, that the rights owner is remunerated, as 
appropriate, for the

[[Page 650]]

price of the mainstream copy of the work as made available to the 
general public through customary channels; or
    (ii) When such work is a nondramatic literary work, lawfully 
obtained and used by an authorized entity pursuant to 17 U.S.C. 121.
    (4) Literary works consisting of compilations of data generated by 
medical devices that are wholly or partially implanted in the body or by 
their corresponding personal monitoring systems, where such 
circumvention is undertaken by a patient for the sole purpose of 
lawfully accessing the data generated by his or her own device or 
monitoring system and does not constitute a violation of applicable law, 
including without limitation the Health Insurance Portability and 
Accountability Act of 1996, the Computer Fraud and Abuse Act of 1986 or 
regulations of the Food and Drug Administration, and is accomplished 
through the passive monitoring of wireless transmissions that are 
already being produced by such device or monitoring system.
    (5) Computer programs that enable the following types of lawfully 
acquired wireless devices to connect to a wireless telecommunications 
network, when circumvention is undertaken solely in order to connect to 
a wireless telecommunications network and such connection is authorized 
by the operator of such network:
    (i) Wireless telephone handsets (i.e., cellphones);
    (ii) All-purpose tablet computers;
    (iii) Portable mobile connectivity devices, such as mobile hotspots, 
removable wireless broadband modems, and similar devices; and
    (iv) Wearable wireless devices designed to be worn on the body, such 
as smartwatches or fitness devices.
    (6) Computer programs that enable smartphones and portable all-
purpose mobile computing devices to execute lawfully obtained software 
applications, where circumvention is accomplished for the sole purpose 
of enabling interoperability of such applications with computer programs 
on the smartphone or device, or to permit removal of software from the 
smartphone or device. For purposes of this paragraph (b)(6), a 
``portable all-purpose mobile computing device'' is a device that is 
primarily designed to run a wide variety of programs rather than for 
consumption of a particular type of media content, is equipped with an 
operating system primarily designed for mobile use, and is intended to 
be carried or worn by an individual.
    (7) Computer programs that enable smart televisions to execute 
lawfully obtained software applications, where circumvention is 
accomplished for the sole purpose of enabling interoperability of such 
applications with computer programs on the smart television.
    (8) Computer programs that enable voice assistant devices to execute 
lawfully obtained software applications, where circumvention is 
accomplished for the sole purpose of enabling interoperability of such 
applications with computer programs on the device, or to permit removal 
of software from the device, and is not accomplished for the purpose of 
gaining unauthorized access to other copyrighted works. For purposes of 
this paragraph (b)(8), a ``voice assistant device'' is a device that is 
primarily designed to run a wide variety of programs rather than for 
consumption of a particular type of media content, is designed to take 
user input primarily by voice, and is designed to be installed in a home 
or office.
    (9) Computer programs that are contained in and control the 
functioning of a lawfully acquired motorized land vehicle such as a 
personal automobile, commercial vehicle, or mechanized agricultural 
vehicle, except for programs accessed through a separate subscription 
service, when circumvention is a necessary step to allow the diagnosis, 
repair, or lawful modification of a vehicle function, where such 
circumvention does not constitute a violation of applicable law, 
including without limitation regulations promulgated by the Department 
of Transportation or the Environmental Protection Agency, and is not 
accomplished for the purpose of gaining unauthorized access to other 
copyrighted works.
    (10) Computer programs that are contained in and control the 
functioning of a lawfully acquired smartphone or home appliance or home 
system, such as a refrigerator, thermostat, HVAC, or electrical system, 
when circumvention

[[Page 651]]

is a necessary step to allow the diagnosis, maintenance, or repair of 
such a device or system, and is not accomplished for the purpose of 
gaining access to other copyrighted works. For purposes of this 
paragraph (b)(10):
    (i) The ``maintenance'' of a device or system is the servicing of 
the device or system in order to make it work in accordance with its 
original specifications and any changes to those specifications 
authorized for that device or system; and
    (ii) The ``repair'' of a device or system is the restoring of the 
device or system to the state of working in accordance with its original 
specifications and any changes to those specifications authorized for 
that device or system.
    (11)(i) Computer programs, where the circumvention is undertaken on 
a lawfully acquired device or machine on which the computer program 
operates, or is undertaken on a computer, computer system, or computer 
network on which the computer program operates with the authorization of 
the owner or operator of such computer, computer system, or computer 
network, solely for the purpose of good-faith security research and does 
not violate any applicable law, including without limitation the 
Computer Fraud and Abuse Act of 1986.
    (ii) For purposes of this paragraph (b)(11), ``good-faith security 
research'' means accessing a computer program solely for purposes of 
good-faith testing, investigation, and/or correction of a security flaw 
or vulnerability, where such activity is carried out in an environment 
designed to avoid any harm to individuals or the public, and where the 
information derived from the activity is used primarily to promote the 
security or safety of the class of devices or machines on which the 
computer program operates, or those who use such devices or machines, 
and is not used or maintained in a manner that facilitates copyright 
infringement.
    (12)(i) Video games in the form of computer programs embodied in 
physical or downloaded formats that have been lawfully acquired as 
complete games, when the copyright owner or its authorized 
representative has ceased to provide access to an external computer 
server necessary to facilitate an authentication process to enable 
gameplay, solely for the purpose of:
    (A) Permitting access to the video game to allow copying and 
modification of the computer program to restore access to the game for 
personal, local gameplay on a personal computer or video game console; 
or
    (B) Permitting access to the video game to allow copying and 
modification of the computer program to restore access to the game on a 
personal computer or video game console when necessary to allow 
preservation of the game in a playable form by an eligible library, 
archives, or museum, where such activities are carried out without any 
purpose of direct or indirect commercial advantage and the video game is 
not distributed or made available outside of the physical premises of 
the eligible library, archives, or museum.
    (ii) Video games in the form of computer programs embodied in 
physical or downloaded formats that have been lawfully acquired as 
complete games, that do not require access to an external computer 
server for gameplay, and that are no longer reasonably available in the 
commercial marketplace, solely for the purpose of preservation of the 
game in a playable form by an eligible library, archives, or museum, 
where such activities are carried out without any purpose of direct or 
indirect commercial advantage and the video game is not distributed or 
made available outside of the physical premises of the eligible library, 
archives, or museum.
    (iii) Computer programs used to operate video game consoles solely 
to the extent necessary for an eligible library, archives, or museum to 
engage in the preservation activities described in paragraph 
(b)(12)(i)(B) or (b)(12)(ii) of this section.
    (iv) For purposes of this paragraph (b)(12), the following 
definitions shall apply:
    (A) For purposes of paragraph (b)(12)(i)(A) and (b)(12)(ii) of this 
section, ``complete games'' means video games that can be played by 
users without accessing or reproducing copyrightable content stored or 
previously stored on an external computer server.
    (B) For purposes of paragraph (b)(12)(i)(B) of this section, 
``complete

[[Page 652]]

games'' means video games that meet the definition in paragraph 
(b)(12)(iv)(A) of this section, or that consist of both a copy of a game 
intended for a personal computer or video game console and a copy of the 
game's code that was stored or previously stored on an external computer 
server.
    (C) ``Ceased to provide access'' means that the copyright owner or 
its authorized representative has either issued an affirmative statement 
indicating that external server support for the video game has ended and 
such support is in fact no longer available or, alternatively, server 
support has been discontinued for a period of at least six months; 
provided, however, that server support has not since been restored.
    (D) ``Local gameplay'' means gameplay conducted on a personal 
computer or video game console, or locally connected personal computers 
or consoles, and not through an online service or facility.
    (E) A library, archives, or museum is considered ``eligible'' when 
the collections of the library, archives, or museum are open to the 
public and/or are routinely made available to researchers who are not 
affiliated with the library, archives, or museum.
    (13)(i) Computer programs, except video games, that have been 
lawfully acquired and that are no longer reasonably available in the 
commercial marketplace, solely for the purpose of lawful preservation of 
a computer program, or of digital materials dependent upon a computer 
program as a condition of access, by an eligible library, archives, or 
museum, where such activities are carried out without any purpose of 
direct or indirect commercial advantage and the program is not 
distributed or made available outside of the physical premises of the 
eligible library, archives, or museum.
    (ii) For purposes of the exemption in paragraph (b)(13)(i) of this 
section, a library, archives, or museum is considered ``eligible'' if--
    (A) The collections of the library, archives, or museum are open to 
the public and/or are routinely made available to researchers who are 
not affiliated with the library, archives, or museum;
    (B) The library, archives, or museum has a public service mission;
    (C) The library, archives, or museum's trained staff or volunteers 
provide professional services normally associated with libraries, 
archives, or museums;
    (D) The collections of the library, archives, or museum are composed 
of lawfully acquired and/or licensed materials; and
    (E) The library, archives, or museum implements reasonable digital 
security measures as appropriate for the activities permitted by this 
paragraph (b)(13).
    (14) Computer programs that operate 3D printers that employ 
microchip-reliant technological measures to limit the use of feedstock, 
when circumvention is accomplished solely for the purpose of using 
alternative feedstock and not for the purpose of accessing design 
software, design files, or proprietary data.
    (c) Persons who may initiate circumvention. To the extent authorized 
under paragraph (b) of this section, the circumvention of a 
technological measure that restricts wireless telephone handsets or 
other wireless devices from connecting to a wireless telecommunications 
network may be initiated by the owner of any such handset or other 
device, by another person at the direction of the owner, or by a 
provider of a commercial mobile radio service or a commercial mobile 
data service at the direction of such owner or other person, solely in 
order to enable such owner or a family member of such owner to connect 
to a wireless telecommunications network, when such connection is 
authorized by the operator of such network.

[65 FR 64574, Oct. 27, 2000, as amended at 68 FR 62018, Oct. 31, 2003; 
71 FR 68479, Nov. 27, 2006; 74 FR 55139, Oct. 27, 2009; 75 FR 43839, 
July 27, 2010; 75 FR 47465, Aug. 6, 2010; 77 FR 65278, Oct. 26, 2012; 79 
FR 50553, Aug. 25, 2014; 80 FR 65961, Oct. 28, 2015; 83 FR 54028, Oct. 
26, 2018]



PART 202_PREREGISTRATION AND REGISTRATION OF CLAIMS TO COPYRIGHT--
Table of Contents



Sec.
202.1 Material not subject to copyright.

[[Page 653]]

202.2 Copyright notice.
202.3 Registration of copyright.
202.4 Group registration.
202.5 Reconsideration Procedure for Refusals to Register.
202.6 Supplementary registration.
202.7-202.9 [Reserved]
202.10 Pictorial, graphic, and sculptural works.
202.11 Architectural works
202.12 Restored copyrights.
202.13 Secure tests.
202.14-202.15 [Reserved]
202.16 Preregistration of copyrights.
202.17 Renewals.
202.18 Access to electronic works.
202.19 Deposit of published copies or phonorecords for the Library of 
          Congress.
202.20 Deposit of copies and phonorecords for copyright registration.
202.21 Deposit of identifying material instead of copies.
202.22 Acquisition and deposit of unpublished audio and audiovisual 
          transmission programs.
202.23 Full-term retention of copyright deposits.
202.24 Deposit of published electronic works available only online.

Appendix A to Part 202--Technical Guidelines Regarding Sound Physical 
          Condition
Appendix B to Part 202--``Best Edition'' of Published Copyrighted Works 
          for the Collections of the Library of Congress

    Authority: 17 U.S.C. 408(f), 702

    Editorial Note: Nomenclature changes to part 202 appear at 76 FR 
27898, May 13, 2011.



Sec.202.1  Material not subject to copyright.

    The following are examples of works not subject to copyright and 
applications for registration of such works cannot be entertained:
    (a) Words and short phrases such as names, titles, and slogans; 
familiar symbols or designs; mere variations of typographic 
ornamentation, lettering or coloring; mere listing of ingredients or 
contents;
    (b) Ideas, plans, methods, systems, or devices, as distinguished 
from the particular manner in which they are expressed or described in a 
writing;
    (c) Blank forms, such as time cards, graph paper, account books, 
diaries, bank checks, scorecards, address books, report forms, order 
forms and the like, which are designed for recording information and do 
not in themselves convey information;
    (d) Works consisting entirely of information that is common property 
containing no original authorship, such as, for example: Standard 
calendars, height and weight charts, tape measures and rulers, schedules 
of sporting events, and lists or tables taken from public documents or 
other common sources.
    (e) Typeface as typeface.

[24 FR 4956, June 18, 1959, as amended at 38 FR 3045, Feb. 1, 1973; 57 
FR 6202, Feb. 21, 1992]



Sec.202.2  Copyright notice.

    (a) General. (1) With respect to a work published before January 1, 
1978, copyright was secured, or the right to secure it was lost, except 
for works seeking ad interim copyright, at the date of publication, 
i.e., the date on which copies are first placed on sale, sold, or 
publicly distributed, depending upon the adequacy of the notice of 
copyright on the work at that time. The adequacy of the copyright notice 
for such a work is determined by the copyright statute as it existed on 
the date of first publication.
    (2) If before January 1, 1978, publication occurred by distribution 
of copies or in some other manner, without the statutory notice or with 
an inadequate notice, as determined by the copyright statute as it 
existed on the date of first publication, the right to secure copyright 
was lost. In such cases, copyright cannot be secured by adding the 
notice to copies distributed at a later date.
    (3) Works first published abroad before January 1, 1978, other than 
works for which ad interim copyright has been obtained, must have borne 
an adequate copyright notice. The adequacy of the copyright notice for 
such works is determined by the copyright statute as it existed on the 
date of first publication abroad.
    (b) Defects in notice. Where the copyright notice on a work 
published before January 1, 1978, does not meet the requirements of 
title 17 of the United States Code as it existed on December 31, 1977, 
the Copyright Office will reject an application for copyright 
registration. Common defects in the notice include, among others the 
following:

[[Page 654]]

    (1) The notice lacks one or more of the necessary elements (i.e., 
the word ``Copyright,'' the abbreviation ``Copr.'', or the symbol 
(copyright), or, in the case of a sound recording, the symbol [copysr] ; 
the name of the copyright proprietor, or, in the case of a sound 
recording, the name, a recognizable abbreviation of the name, or a 
generally known alternative designation, of the copyright owner; and, 
when required, the year date of publication);
    (2) The elements of the notice are so dispersed that a necessary 
element is not identified as a part of the notice; in the case of a 
sound recording, however, if the producer is named on the label or 
container, and if no other name appears in conjunction with the notice, 
the producer's name will be considered a part of the notice;
    (3) The notice is not in one of the positions prescribed by law;
    (4) The notice is in a foreign language;
    (5) The name in the notice is that of someone who had no authority 
to secure copyright in that person's name;
    (6)(i) The year date in the copyright notice is later than the date 
of the year in which copyright was actually secured, including the 
following cases:
    (A) Where the year date in the notice is later than the date of 
actual publication;
    (B) Where copyright was first secured by registration of a work in 
unpublished form, and copies of the same work as later published without 
change in substance bear a copyright notice containing a year date later 
than the year of unpublished registration; or
    (C) Where a book or periodical published abroad, for which ad 
interim copyright has been obtained, is later published in the United 
States without change in substance and contains a year date in the 
copyright notice later than the year of first publication abroad.
    (ii) Provided, however, that in each of the three types of cases 
described in paragraphs (b)(6)(i)(A) through (C) of this section, if the 
copyright was actually secured not more than one year earlier than the 
year date in the notice, registration may be considered as a doubtful 
case;
    (7) A notice is permanently covered so that it cannot be seen 
without tearing the work apart;
    (8) A notice is illegible or so small that it cannot be read without 
the aid of a magnifying glass: Provided, however, That where the work 
itself requires magnification for its ordinary use (e.g., a microfilm, 
microcard or motion picture) a notice which will be readable when so 
magnified, will not constitute a reason for rejection of the claim;
    (9) A notice is on a detachable tag and will eventually be detached 
and discarded when the work is put in use;
    (10) A notice is on the wrapper or container which is not a part of 
the work and which will eventually be removed and discarded when the 
work is put to use; the notice may be on a container which is designed 
and can be expected to remain with the work; and
    (11) The notice is restricted or limited exclusively to an 
uncopyrightable element, either by virtue of its position on the work, 
by the use of asterisks, or by other means.
    (c) Methods of affixation and positions of the copyright notice on 
various types of works--(1) General. (i) This paragraph specifies 
examples of methods of affixation and positions of the copyright notice 
on various types of works that will satisfy the notice requirement of 
section 401(c) of title 17 of the United States Code, as amended by 
Public Law 94-553. A notice considered ``acceptable'' under this 
regulation shall be considered to satisfy the requirement of that 
section that it be ``affixed to the copies in such manner and location 
as to give reasonable notice of the claim of copyright.'' As provided by 
that section, the examples specified in this regulation shall not be 
considered exhaustive of methods of affixation and positions giving 
reasonable notice of the claim of copyright.
    (ii) The provisions of this paragraph are applicable to copies 
publicly distributed on or after December 1, 1981. This paragraph does 
not establish any rules concerning the form of the notice or the legal 
sufficiency of particular notices, except with respect to methods of 
affixation and positions of notice. The adequacy or legal sufficiency of 
a copyright notice is determined by the

[[Page 655]]

law in effect at the time of first publication of the work.
    (2) Definitions. For the purposes of this paragraph:
    (i) In the case of a work consisting preponderantly of leaves on 
which the work is printed or otherwise reproduced on both sides, a 
``page'' is one side of a leaf; where the preponderance of the leaves 
are printed on one side only, the terms ``page'' and ``leaf'' mean the 
same.
    (ii) A work is published in book form if the copies embodying it 
consist of multiple leaves bound, fastened, or assembled in a 
predetermined order, as, for example, a volume, booklet, pamphlet, or 
multipage folder. For the purpose of this paragraph, a work need not 
consist of textual matter in order to be considered published in ``book 
form.''
    (iii) A title page is a page, or two consecutive pages facing each 
other, appearing at or near the front of the copies of a work published 
in book form, on which the complete title of the work is prominently 
stated and on which the names of the author or authors, the name of the 
publisher, the place of publication, or some combination of them, are 
given.
    (iv) The meaning of the terms front, back, first, last, and 
following, when used in connection with works published in book form, 
will vary in relation to the physical form of the copies, depending upon 
the particular language in which the work is written.
    (v) In the case of a work published in book form with a hard or soft 
cover, the front page and back page of the copies are the outsides of 
the front and back covers; where there is no cover, the ``front page,'' 
and ``back page'' are the pages visible at the front and back of the 
copies before they are opened.
    (vi) A masthead is a body of information appearing in approximately 
the same location in most issues of a newspaper, magazine, journal, 
review, or other periodical or serial, typically containing the title of 
the periodical or serial, information about the staff, periodicity of 
issues, operation, and subscription and editorial policies, of the 
publication.
    (vii) A single-leaf work is a work published in copies consisting of 
a single leaf, including copies on which the work is printed or 
otherwise reproduced on either one side or on both sides of the leaf, 
and also folders which, without cutting or tearing the copies, can be 
opened out to form a single leaf. For the purpose of this paragraph, a 
work need not consist of textual matter in order to be considered a 
``single-leaf work.''
    (viii) A machine-readable copy is a copy from which the work cannot 
ordinarily be visually perceived except with the aid of a machine or 
device, such as magnetic tapes or disks, punched cards, or the like. 
Works published in a form requiring the use of a machine or device for 
purposes of optical enlargement (such as film, filmstrips, slide films, 
and works published in any variety of microform) and works published in 
visually perceptible form but used in connection with optical scanning 
devices, are not within this category.
    (3) Manner of affixation and position generally. (i) In all cases 
dealt with in this paragraph, the acceptability of a notice depends upon 
its being permanently legible to an ordinary user of the work under 
normal conditions of use, and affixed to the copies in such manner and 
position that, when affixed, it is not concealed from view upon 
reasonable examination.
    (ii) Where, in a particular case, a notice does not appear in one of 
the precise locations prescribed in this paragraph but a person looking 
in one of those locations would be reasonably certain to find a notice 
in another somewhat different location, that notice will be acceptable 
under this paragraph.
    (4) Works published in book form. In the case of works published in 
book form, a notice reproduced on the copies in any of the following 
positions is acceptable:
    (i) The title page, if any;
    (ii) The page immediately following the title page, if any;
    (iii) Either side of the front cover, if any; or, if there is no 
front cover, either side of the front leaf of the copies;
    (iv) Either side of the back cover, if any; or, if there is no back 
cover, either side of the back leaf of the copies;
    (v) The first page of the main body of the work;

[[Page 656]]

    (vi) The last page of the main body of the work;
    (vii) Any page between the front page and the first page of the main 
body of the work, if:
    (A) There are no more than ten pages between the front page and the 
first page of the main body of the work; and
    (B) The notice is reproduced prominently and is set apart from other 
matter on the page where it appears;
    (viii) Any page between the last page of the main body of the work 
and back page, if:
    (A) There are no more than ten pages between the last page of the 
main body of the work and the back page; and
    (B) The notice is reproduced prominently and is set apart from the 
other matter on the page where it appears.
    (ix) In the case of a work published as an issue of a periodical or 
serial, in addition to any of the locations listed in paragraphs 
(c)(4)(i) through (viii) of this section, a notice is acceptable if it 
is located:
    (A) As a part of, or adjacent to, the masthead;
    (B) On the page containing the masthead if the notice is reproduced 
prominently and is set apart from the other matter appearing on the 
page; or
    (C) Adjacent to a prominent heading, appearing at or near the front 
of the issue, containing the title of the periodical or serial and any 
combination of the volume and issue number and date of the issue.
    (x) In the case of a musical work, in addition to any of the 
locations listed in paragraphs (c)(4)(i) through (ix) of this section, a 
notice is acceptable if it is located on the first page of music.
    (5) Single-leaf works. In the case of single-leaf works, a notice 
reproduced on the copies anywhere on the front or back of the leaf is 
acceptable.
    (6) Contributions to collective works. For a separate contribution 
to a collective work to be considered to ``bear its own notice of 
copyright,'' as provided by 17 U.S.C. 404, a notice reproduced on the 
copies in any of the following positions is acceptable:
    (i) Where the separate contribution is reproduced on a single page, 
a notice is acceptable if it appears:
    (A) Under the title of the contribution on that page;
    (B) Adjacent to the contribution; or
    (C) On the same page if, through format, wording, or both, the 
application of the notice to the particular contribution is made clear;
    (ii) Where the separate contribution is reproduced on more than one 
page of the collective work, a notice is acceptable if it appears:
    (A) Under a title appearing at or near the beginning of the 
contribution;
    (B) On the first page of the main body of the contribution;
    (C) Immediately following the end of the contribution; or
    (D) On any of the pages where the contribution appears, if:
    (1) The contribution is reproduced on no more than twenty pages of 
the collective work;
    (2) The notice is reproduced prominently and is set apart from other 
matter on the page where it appears; and
    (3) Through format, wording, or both, the application of the notice 
to the particular contribution is made clear;
    (iii) Where the separate contribution is a musical work, in addition 
to any of the locations listed in paragraphs (c)(6)(i) and (ii) of this 
section, a notice is acceptable if it is located on the first page of 
music of the contribution;
    (iv) As an alternative to placing the notice on one of the pages 
where a separate contribution itself appears, the contribution is 
considered to ``bear its own notice'' if the notice appears clearly in 
juxtaposition with a separate listing of the contribution by title, or 
if the contribution is untitled, by a description reasonably identifying 
the contribution:
    (A) On the page bearing the copyright notice for the collective work 
as a whole, if any; or
    (B) In a clearly identified and readily-accessible table of contents 
or listing of acknowledgements appearing near the front or back of the 
collective work as a whole.
    (7) Works reproduced in machine-readable copies. For works 
reproduced in machine-readable copies, each of the following constitutes 
an example of acceptable methods of affixation and position of notice:

[[Page 657]]

    (i) A notice embodied in the copies in machine-readable form in such 
a manner that on visually perceptible printouts it appears either with 
or near the title, or at the end of the work;
    (ii) A notice that is displayed at the user's terminal at sign on;
    (iii) A notice that is continuously on terminal display; or
    (iv) A legible notice reproduced durably, so as to withstand normal 
use, on a gummed or other label securely affixed to the copies or to a 
box, reel, cartridge, cassette, or other container used as a permanent 
receptacle for the copies.
    (8) Motion pictures and other audiovisual works. (i) The following 
constitute examples of acceptable methods of affixation and positions of 
the copyright notice on motion pictures and other audiovisual works: A 
notice that is embodied in the copies by a photomechanical or electronic 
process, in such a position that it ordinarily would appear whenever the 
work is performed in its entirety, and that is located:
    (A) With or near the title;
    (B) With the cast, credits, and similar information;
    (C) At or immediately following the beginning of the work; or
    (D) At or immediately preceding the end of the work.
    (ii) In the case of an untitled motion picture or other audiovisual 
work whose duration is sixty seconds or less, in addition to any of the 
locations listed in paragraph (c)(8)(i) of this section, a notice that 
is embodied in the copies by a photomechanical or electronic process, in 
such a position that it ordinarily would appear to the projectionist or 
broadcaster when preparing the work for performance, is acceptable if it 
is located on the leader of the film or tape immediately preceding the 
beginning of the work.
    (iii) In the case of a motion picture or other audiovisual work that 
is distributed to the public for private use, the notice may be affixed, 
in addition to the locations specified in paragraph (c)(8)(i) of this 
section, on the housing or container, if it is a permanent receptacle 
for the work.
    (9) Pictorial, graphic, and sculptural works. The following 
constitute examples of acceptable methods of affixation and positions of 
the copyright notice on various forms of pictorial, graphic, and 
sculptural works:
    (i) Where a work is reproduced in two-dimensional copies, a notice 
affixed directly or by means of a label cemented, sewn, or otherwise 
attached durably, so as to withstand normal use, of the front or back of 
the copies, or to any backing, mounting, matting, framing, or other 
material to which the copies are durably attached, so as to withstand 
normal use, or in which they are permanently housed, is acceptable.
    (ii) Where a work is reproduced in three-dimensional copies, a 
notice affixed directly or by means of a label cemented, sewn, or 
otherwise attached durably, so as to withstand normal use, to any 
visible portion of the work, or to any base, mounting, framing, or other 
material on which the copies are durably attached, so as to withstand 
normal use, or in which they are permanently housed, is acceptable.
    (iii) Where, because of the size or physical characteristics of the 
material in which the work is reproduced in copies, it is impossible or 
extremely impracticable to affix a notice to the copies directly or by 
means of a durable label, a notice is acceptable if it appears on a tag 
that is of durable material, so as to withstand normal use, and that is 
attached to the copy with sufficient durability that it will remain with 
the copy while it is passing through its normal channels of commerce.
    (iv) Where a work is reproduced in copies consisting of sheet-like 
or strip material bearing multiple or continuous reproductions of the 
work, the notice may be applied:
    (A) To the reproduction itself;
    (B) To the margin, selvage, or reverse side of the material at 
frequent and regular intervals; or
    (C) If the material contains neither a selvage nor a reverse side, 
to tags or labels, attached to the copies and to any spools, reels, or 
containers housing them in such a way that a notice is visible while the 
copies are passing through their normal channels of commerce.

[[Page 658]]

    (v) If the work is permanently housed in a container, such as a game 
or puzzle box, a notice reproduced on the permanent container is 
acceptable.

[24 FR 4956, June 18, 1959; 24 FR 6163, July 31, 1959, as amended at 37 
FR 3055, Feb. 11, 1972; 46 FR 33249, June 29, 1981; 46 FR 34329, July 1, 
1981; 60 FR 34168, June 30, 1995; 66 FR 34373, June 28, 2001; 66 FR 
40322, Aug. 2, 2001; 77 FR 18707, Mar. 28, 2012; 77 FR 20988, Apr. 9, 
2012; 82 FR 9359, Feb. 6, 2017; 82 FR 42736, Sept. 12, 2017]



Sec.202.3  Registration of copyright.

    (a) General. (1) This section prescribes conditions for the 
registration of copyright, and the application to be made for 
registration under sections 408 and 409 of title 17 of the United States 
Code.
    (2) For the purposes of this section, the terms audiovisual work, 
compilation, copy, derivative work, device, fixation, literary work, 
motion picture, phonorecord, pictorial, graphic and sculptural works, 
process, sound recording, and their variant forms, have the meanings set 
forth in section 101 of title 17. The term author includes an employer 
or other person for whom a work is ``made for hire'' under section 101 
of title 17.
    (3) For the purposes of this section, a copyright claimant is 
either:
    (i) The author of a work;
    (ii) A person or organization that has obtained ownership of all 
rights under the copyright initially belonging to the author. \1\
---------------------------------------------------------------------------

    \1\ This category includes a person or organization that has 
obtained, from the author or from an entity that has obtained ownership 
of all rights under the copyright initially belonging to the author, the 
contractual right to claim legal title to the copyright in an 
application for copyright registration.
---------------------------------------------------------------------------

    (b) Administrative classification and application forms--(1) Classes 
of works. For the purpose of registration, the Register of Copyrights 
has prescribed the classes of works in which copyright may be claimed. 
These classes, and examples of works which they include, are as follows:
    (i) Class TX: Nondramatic literary works. This class includes all 
published and unpublished nondramatic literary works. Examples: Fiction; 
nonfiction; poetry; textbooks; reference works; directories; catalogs; 
advertising copy; and compilations of information.
    (ii) Class PA: Works of the performing arts. This class includes all 
published and unpublished works prepared for the purpose of being 
performed directly before an audience or indirectly by means of a device 
or process. Examples: Musical works, including any accompanying words; 
dramatic works, including any accompanying music; pantomimes and 
choreographic works; and motion pictures and other audiovisual works.
    (iii) Class VA: Works of the visual arts. This class includes all 
published and unpublished pictorial, graphic, and sculptural works. 
Examples: Two dimensional and three dimensional works of the fine, 
graphic, and applied arts; photographs; prints and art reproductions; 
maps, globes, and charts; technical drawings, diagrams, and models; and 
pictorial or graphic labels and advertisements. This class also includes 
published and unpublished architectural works.
    (iv) Class SR: Sound recordings. This class includes all published 
and unpublished sound recordings fixed on and after February 15, 1972. 
Claims to copyright in literary, dramatic, and musical works embodied in 
phonorecords may also be registered in this class under paragraph (b)(4) 
of this section if:
    (A) Registration is sought on the same application for both a 
recorded literary, dramatic, or musical work and a sound recording;
    (B) The recorded literary, dramatic, or musical work and the sound 
recording are embodied in the same phonorecord; and
    (C) The same claimant is seeking registration of both the recorded 
literary, dramatic, or musical work and the sound recording.
    (v) Class SE: Serials. A serial is a work issued or intended to be 
issued in successive parts bearing numerical or chronological 
designations and intended to be continued indefinitely. This class 
includes periodicals (including newspapers); annuals; and the journals, 
proceedings, transactions, etc. of societies.
    (2) Submission of application for registration. For purposes of 
registration,

[[Page 659]]

an applicant may submit an application for registration of individual 
works and certain groups of works electronically through the Copyright 
Office's website, or by using the printed forms prescribed by the 
Register of Copyrights.
    (i) Online applications. An applicant may submit a claim through the 
Office's electronic registration system using the Standard Application, 
the Single Application, or the applications designated in Sec.202.4.
    (A) The Standard Application may be used to register a work under 
sections 408(a) and 409 of title 17, including a work by one author, a 
joint work, a work made for hire, a derivative work, a collective work, 
or a compilation. The Standard Application may also be used to register 
a unit of publication under paragraph (b)(4) of this section, or a sound 
recording and a literary, dramatic, or musical work under paragraphs 
(b)(1)(iv)(A) through (C) of this section.
    (B)(1) The Single Application may be used only to register one work 
by one author. All of the content appearing in the work must be created 
by the same individual. The work must be owned by the author who created 
it, and the author and the claimant must be the same individual.
    (2) The Single Application may be used to register one sound 
recording and one musical work, dramatic work, or literary work if the 
conditions set forth in paragraphs (b)(1)(iv)(A) through (C) and 
(b)(2)(i)(B)(1) of this section have been met.
    (3) The following categories of works may not be registered using 
the Single Application: collective works, databases, websites, 
architectural works, choreographic works, works made for hire, works by 
more than one author, works with more than one owner, or works eligible 
for registration under Sec.202.4 or paragraph (b)(4) or (5) of this 
section.
    (C) An online application requires a payment of the filing fee 
through an electronic funds transfer, credit or debit card, or through a 
Copyright Office deposit account.
    (D) Deposit materials in support of an online application may be 
submitted electronically in a digital format (if eligible) along with 
the application and filing fee, or an applicant may send physical copies 
or phonorecords as necessary to satisfy the best edition requirements, 
by mail to the Copyright Office, using the required shipping slip 
generated during the online registration process.
    (ii) Paper applications. (A) An applicant may submit an application 
using one of the printed forms prescribed by the Register of Copyrights. 
Each form corresponds to one of the administrative classes set forth in 
paragraph (b)(1) of this section. These forms are designated ``Form 
TX,'' ``Form PA,'' ``Form VA,'' ``Form SR,'' and ``Form SE.'' These 
forms may be used to register a work under sections 408(a) and 409 of 
title 17, including a work by one author, a joint work, a work made for 
hire, a derivative work, a collective work, or a compilation.
    (B) Copies of the printed forms are available on the Copyright 
Office's website (www.copyright.gov) and upon request to the Copyright 
Public Information Office, Library of Congress. Printed form 
applications may be completed and submitted by completing a printed 
version or using a PDF version of the applicable Copyright Office 
application form and mailing it together with the other required 
elements, i.e., physically tangible deposit copies and/or materials, and 
the required filing fee, all elements being placed in the same package 
and sent by mail or hand-delivered to the Copyright Office.
    (C) A continuation sheet (Form CON) is appropriate only in the case 
when a printed form application is used and where additional space is 
needed by the applicant to provide all relevant information concerning a 
claim to copyright. An application may include more than one 
continuation sheet.
    (iii) Application class. Applications should be submitted in the 
class most appropriate to the nature of the authorship in which 
copyright is claimed. In the case of contributions to collective works, 
applications should be submitted in the class representing the 
copyrightable authorship in the contribution. In the case of derivative 
works, applications should be submitted in the class most appropriately

[[Page 660]]

representing the copyrightable authorship involved in recasting, 
transforming, adapting, or otherwise modifying the preexisting work. In 
cases where a work contains elements of authorship in which copyright is 
claimed that fall into two or more classes, the application should be 
submitted in the class most appropriate to the predominant type of 
authorship in the work as a whole. However, in any case where 
registration is sought for a work consisting of or including a sound 
recording in which copyright is claimed, the application shall be 
submitted for registration in Class SR.
    (3) [Reserved]
    (4) Registration as one work. For the purpose of registration on one 
application and upon the payment of one filing fee, the following shall 
be considered one work: In the case of published works, all 
copyrightable elements that are otherwise recognizable as self-contained 
works, that are included in the same unit of publication, and in which 
the copyright claimant is the same.
    (5) Group registration of related works: Automated databases. (i) 
Pursuant to the authority granted by section 408(c)(1) of title 17 of 
the United States Code, the Register of Copyrights has determined that, 
on the basis of one application, deposit, and filing fee, a group 
registration may be made for automated databases and their updates or 
other derivative versions that are original works of authorship, if, 
where a database (or updates or other revisions thereof), if 
unpublished, is (or are) fixed, or if published is (or are) published 
only in the form of machine-readable copies, all of the following 
conditions are met:
    (A) All of the updates or other revisions are owned by the same 
copyright claimant;
    (B) All of the updates or other revisions have the same general 
title;
    (C) All of the updates or other revisions are similar in their 
general content, including their subject;
    (D) All of the updates or other revisions are similar in their 
organization;
    (E) Each of the updates or other revisions as a whole, if published 
before March 1, 1989, bears a statutory copyright notice as first 
published and the name of the owner of copyright in each work (or an 
abbreviation by which the name can be recognized, or a generally known 
alternative designation of the owner) was the same in each notice;
    (F) Each of the updates or other revisions if published was first 
published, or if unpublished was first created, within a three-month 
period in the same calendar year; and
    (G) The deposit accompanying the application complies with Sec.
202.20(c)(2)(vii)(D).
    (ii) A group registration may be made on one application for both a 
database published on one date, or if unpublished, created on one date, 
and also for its copyrightable revisions, including updates covering a 
three-month period in the same calendar year. An application for group 
registration of automated databases under section 408(c)(1) of title 17 
and this subsection shall consist of:
    (A) A form that best reflects the subject matter of the material in 
the database as set forth in paragraph (b)(2)(ii)(A) of this section, 
completed in accordance with the instructions provided by the Copyright 
Office on its website or in materials published by the Office. 
Applications for group registration of an automated database consisting 
predominantly of photographs may be submitted electronically only after 
consultation and with the permission and under the direction of the 
Visual Arts Division.
    (B) The appropriate filing fee, as required in Sec.201.3(c); and
    (C) The deposit required by Sec.202.20(c)(2)(vii)(D).
    (6)-(10) [Reserved]
    (11) One registration per work. As a general rule only one copyright 
registration can be made for the same version of a particular work. 
However:
    (i) Where a work has been registered as unpublished, another 
registration may be made for the first published edition of the work, 
even if it does not represent a new version;
    (ii) Where someone other than the author is identified as copyright 
claimant in a registration, another registration for the same version 
may be made

[[Page 661]]

by the author in his or her own name as copyright claimant;\2\
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    \2\ An author includes an employer or other person for whom a work 
is ``made for hire'' under 17 U.S.C. 101. This paragraph does not permit 
an employee or other person working ``for hire'' under that section to 
make a later registration in his or her own name. In the case of authors 
of a joint work, this paragraph does permit a later registration by one 
author in his or her own name as copyright claimant, where an earlier 
registration identifies only another author as claimant.
---------------------------------------------------------------------------

    (iii) Where an applicant for registration alleges that an earlier 
registration for the same version is unauthorized and legally invalid, a 
registration may be made by that applicant.
    (c) Application for registration. (1) As a general rule, an 
application for copyright registration may be submitted by any author or 
other copyright claimant of a work, the owner of any exclusive right in 
a work, or the duly authorized agent of any such author, other claimant, 
or owner. A Single Application, however, may be submitted only by the 
author/claimant or by a duly authorized agent of the author/claimant, 
provided that the agent is identified in the application as the 
correspondent.
    (2) All applications shall include the information required by the 
particular form, and shall be accompanied by the appropriate filing fee, 
as required in Sec.201.3(c) of this chapter, and the deposit required 
under 17 U.S.C. 408 and Sec.202.20, Sec.202.21, or Sec.202.4, as 
appropriate.
    (3) All applications submitted for registration shall include a 
certification.
    (i) As a general rule, the application may be certified by an 
author, claimant, an owner of exclusive rights, or a duly authorized 
agent of the author, claimant, or owner of exclusive rights. A Single 
Application, however, may be certified only by the author/claimant or by 
a duly authorized agent of the author/claimant.
    (ii) For online applications, the certification shall include the 
typed name of a party identified in paragraph (c)(3)(i) of this section. 
For paper applications, the certification shall include the typed, 
printed, or handwritten signature of a party identified in paragraph 
(c)(3)(i) of this section, and if the signature is handwritten it shall 
be accompanied by the typed or printed name of that party.
    (iii) The declaration shall state that the information provided 
within the application is correct to the best of the certifying party's 
knowledge.
    (iv) For online applications, the date of the certification shall be 
automatically assigned by the electronic registration system on the date 
the application is received by the Copyright Office. For paper 
applications, the certification shall include the month, day, and year 
that the certification was signed by the certifying party.
    (v) An application for registration of a published work will not be 
accepted if the date of certification is earlier than the date of 
publication given in the application.
    (4) In the case of applications for registration made under 
paragraphs (b)(4) through (5) of this section or under Sec.202.4, the 
``year of creation,'' ``year of completion,'' or ``year in which 
creation of this work was completed'' means the latest year in which the 
creation of any copyrightable element was completed.

(Pub. L. 94-553; secs. 408, 409, 410, 702)

[43 FR 966, Jan. 5, 1978]

    Editorial Note: For Federal Register citations affecting Sec.
202.3, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.govinfo.gov.



Sec.202.4  Group registration.

    (a) General. This section prescribes conditions for issuing a 
registration for a group of related works under section 408(c) of title 
17 of the United States Code.
    (b) Definitions. (1) For purposes of this section, unless otherwise 
specified, the terms used have the meanings set forth in Sec. Sec.
202.3, 202.13, and 202.20.
    (2) For purposes of this section, the term Library means the Library 
of Congress.
    (3) For purposes of this section, a periodical is a collective work 
that is issued or intended to be issued on an established schedule in 
successive issues that are intended to be continued indefinitely. In 
most cases, each

[[Page 662]]

issue will bear the same title, as well as numerical or chronological 
designations.
    (c) Group registration of unpublished works. Pursuant to the 
authority granted by 17 U.S.C. 408(c)(1), the Register of Copyrights has 
determined that a group of unpublished works may be registered in Class 
TX, PA, VA, or SR with one application, the required deposit, and the 
filing fee required by Sec.201.3(c) of this chapter, if the following 
conditions are met:
    (1) All the works in the group must be unpublished, and they must be 
registered in the same administrative class.
    (2) Generally, the applicant may include up to ten works in the 
group. If the conditions set forth in Sec.202.3(b)(1)(iv)(A) through 
(C) have been met, the applicant may include up to ten sound recordings 
and ten musical works, literary works, or dramatic works in the group.
    (3) The group may include individual works, joint works, or 
derivative works, but may not include compilations, collective works, 
databases, or websites.
    (4) The applicant must provide a title for each work in the group.
    (5) All the works must be created by the same author or the same 
joint authors, and the author and claimant information for each work 
must be the same.
    (6) The works may be registered as anonymous works, pseudonymous 
works, or works made for hire if they are identified in the application 
as such.
    (7) The applicant must identify the authorship that each author or 
joint author contributed to the works, and the authorship statement for 
each author or joint author must be the same. Claims in the selection, 
coordination, or arrangement of the group as a whole will not be 
permitted on the application.
    (8) The applicant must complete and submit the online application 
designated for a group of unpublished works. The application may be 
submitted by any of the parties listed in Sec.202.3(c)(1).
    (9) The applicant must submit one complete copy or phonorecord of 
each work. Each work must be contained in a separate electronic file 
that complies with Sec.202.20(b)(2)(iii). The files must be submitted 
in one of the electronic formats approved by the Office, they must be 
assembled in an orderly form, and they must be uploaded to the 
electronic registration system. The file size for each uploaded file 
must not exceed 500 megabytes; the files may be compressed to comply 
with this requirement.
    (10) In an exceptional case, the Copyright Office may waive the 
online filing requirement set forth in paragraph (c)(8) of this section 
or may grant special relief from the deposit requirement under Sec.
202.20(d), subject to such conditions as the Associate Register and 
Director of the Office of Registration Policy and Practice may impose on 
the applicant.
    (d) Group registration of serials. Pursuant to the authority granted 
by 17 U.S.C. 408(c)(1), the Register of Copyrights has determined that a 
group of serial issues may be registered with one application, the 
required deposit, and the filing fee required by Sec.201.3(c) of this 
chapter, if the following conditions are met:
    (1) Eligible works. (i) All the issues in the group must be serials.
    (ii) The group must include at least two issues.
    (iii) Each issue in the group must be an all-new collective work 
that has not been previously published, each issue must be fixed and 
distributed as a discrete, self-contained collective work, and the claim 
in each issue must be limited to the collective work.
    (iv) Each issue in the group must be a work made for hire, and the 
author and claimant for each issue must be the same person or 
organization.
    (v) The serial generally must be published at intervals of a week or 
longer. All of the issues must be published within three months, under 
the same continuing title, within the same calendar year, and the 
applicant must specify the date of publication for each issue in the 
group.
    (2) Application. The applicant must complete and submit the online 
application designated for a group of serial

[[Page 663]]

issues. The application may be submitted by any of the parties listed in 
Sec.202.3(c)(1).
    (3) Deposit. The applicant must submit one complete copy of each 
issue that is included in the group. Copies submitted under this 
paragraph (d)(3) will be considered solely for the purpose of 
registration under 17 U.S.C. 408, and will not satisfy the mandatory 
deposit requirement under 17 U.S.C. 407. The issues must be submitted in 
digital form, and each issue must be contained in a separate electronic 
file. The applicant must use the file-naming convention and submit 
digital files in accordance with instructions specified on the Copyright 
Office's website. The files must be submitted in Portable Document 
Format (PDF), they must be assembled in an orderly form, and they must 
be uploaded to the electronic registration system as individual 
electronic files (i.e., not .zip files). The files must be viewable and 
searchable, contain embedded fonts, and be free from any access 
restrictions (such as those implemented through digital rights 
management) that prevent the viewing and examination of the work. The 
file size for each uploaded file must not exceed 500 megabytes, but 
files may be compressed to comply with the requirement in this paragraph 
(d)(3).
    (4) Exceptional cases. In an exceptional case, the Copyright Office 
may waive the online filing requirement set forth in paragraph (d)(2) of 
this section or may grant special relief from the deposit requirement 
under Sec.202.20(d), subject to such conditions as the Associate 
Register of Copyrights and Director of the Office of Registration Policy 
and Practice may impose on the applicant.
    (e) Group registration of newspapers. Pursuant to the authority 
granted by 17 U.S.C. 408(c)(1), the Register of Copyrights has 
determined that a group of newspaper issues may be registered with one 
application, the required deposit, and the filing fee required by Sec.
201.3(c) of this chapter, if the following conditions are met:
    (1) Issues must be newspapers. All the issues in the group must be 
newspapers. For purposes of this section, a newspaper is a periodical 
(as defined in paragraph (b)(3) of this section) that is mainly designed 
to be a primary source of written information on current events, either 
local, national, or international in scope. A newspaper contains a broad 
range of news on all subjects and activities and is not limited to any 
specific subject matter. Newspapers are intended either for the general 
public or for a particular ethnic, cultural, or national group.
    (2) Requirements for newspaper issues. Each issue in the group must 
be an all-new collective work that has not been previously published 
(except where earlier editions of the same newspaper are included in the 
deposit together with the final edition), each issue must be fixed and 
distributed as a discrete, self-contained collective work, and the claim 
in each issue must be limited to the collective work.
    (3) Author and claimant. Each issue in the group must be a work made 
for hire, and the author and claimant for each issue must be the same 
person or organization.
    (4) Time period covered. All the issues in the group must be 
published under the same continuing title, and they must be published 
within the same calendar month and bear issue dates within that month. 
The applicant must identify the earliest and latest date that the issues 
were published.
    (5) Application. The applicant must complete and submit the online 
application designated for a group of newspaper issues. The application 
may be submitted by any of the parties listed in Sec.202.3(c)(1).
    (6) Deposit. (i) The applicant must submit one complete copy of the 
final edition of each issue published in the calendar month designated 
in the application. Each submission may also include earlier editions of 
the same newspaper issue, provided that they were published on the same 
date as the final edition. Each submission may also include local 
editions of the newspaper issue that were published within the same 
metropolitan area, but may not include national or regional editions 
that were distributed outside that metropolitan area.
    (ii) The issues must be submitted in a digital form, and each issue 
must be contained in a separate electronic file. The applicant must use 
the file-naming convention and submit digital files in

[[Page 664]]

accordance with instructions specified on the Copyright Office's 
website. The files must be submitted in Portable Document Format (PDF), 
they must be assembled in an orderly form, and they must be uploaded to 
the electronic registration system as individual electronic files (i.e., 
not .zip files). The files must be viewable and searchable, contain 
embedded fonts, and be free from any access restrictions (such as those 
implemented through Digital Rights Management (DRM)). The file size for 
each uploaded file must not exceed 500 megabytes, but files may be 
compressed to comply with this requirement.
    (f) Group registration of newsletters. Pursuant to the authority 
granted by 17 U.S.C. 408(c)(1), the Register of Copyrights has 
determined that a group of newsletter issues may be registered with one 
application, the required deposit, and the filing fee required by Sec.
201.3(c) of this chapter, if the following conditions are met:
    (1) Eligible works. (i) All the issues in the group must be 
newsletters. For purposes of this section, a newsletter is a serial that 
is published and distributed by mail, electronic media, or other medium, 
including paper, email, or download. The newsletter must contain news or 
information that is chiefly of interest to a special group, such as 
trade and professional associations, colleges, schools, or churches. 
Newsletters are typically distributed through subscriptions, but are not 
distributed through newsstands or other retail outlets.
    (ii) The group must include at least two issues.
    (iii) Each issue in the group must be an all-new issue or an all-new 
collective work that has not been previously published, and each issue 
must be fixed and distributed as a discrete, self-contained work.
    (iv) The author and claimant for each issue must be the same person 
or organization.
    (v) All the issues in the group must be published under the same 
continuing title, they must be published within the same calendar month 
and bear issue dates within that month, and the applicant must identify 
the earliest and latest date that the issues were published during that 
month.
    (2) Application. The applicant must complete and submit the online 
application designated for a group of newsletter issues. The application 
may be submitted by any of the parties listed in Sec.202.3(c)(1).
    (3) Deposit. The applicant must submit one complete copy of each 
issue that is included in the group. The issues must be submitted in 
digital form, and each issue must be contained in a separate electronic 
file. The applicant must use the file-naming convention and submit 
digital files in accordance with instructions specified on the Copyright 
Office's website. The files must be submitted in Portable Document 
Format (PDF), they must be assembled in an orderly form, and they must 
be uploaded to the electronic registration system as individual 
electronic files (i.e., not .zip files). The files must be viewable and 
searchable, contain embedded fonts, and be free from any access 
restrictions (such as those implemented through digital rights 
management) that prevent the viewing and examination of the work. The 
file size for each uploaded file must not exceed 500 megabytes, but 
files may be compressed to comply with this requirement. Copies 
submitted under this paragraph will be considered solely for the purpose 
of registration under 17 U.S.C. 408, and will not satisfy the mandatory 
deposit requirement under 17 U.S.C. 407.
    (4) Exceptional cases. In an exceptional case, the Copyright Office 
may waive the online filing requirement set forth in paragraph (f)(2) of 
this section or may grant special relief from the deposit requirement 
under Sec.202.20(d), subject to such conditions as the Associate 
Register of Copyrights and Director of the Office of Registration Policy 
and Practice may impose on the applicant.
    (g) Group registration of contributions to periodicals. Pursuant to 
the authority granted by 17 U.S.C. 408(c)(2), the Register of Copyrights 
has determined that a group of contributions to periodicals may be 
registered in Class TX or Class VA with one application, one filing fee, 
and the required deposit, if the following conditions are met:

[[Page 665]]

    (1) All the contributions in the group must be created by the same 
individual.
    (2) The copyright claimant must be the same person or organization 
for all the contributions.
    (3) The contributions must not be works made for hire.
    (4) Each work must be first published as a contribution to a 
periodical, and all the contributions must be first published within a 
twelve-month period (e.g., January 1, 2015 through December 31, 2015; 
February 1, 2015 through January 31, 2016).
    (5) If any of the contributions were first published before March 1, 
1989, those works must bear a separate copyright notice, the notice must 
contain the copyright owner's name (or an abbreviation by which the name 
can be recognized, or a generally known alternative designation for the 
owner), and the name that appears in each notice must be the same.
    (6) The applicant must complete and submit the online application 
designated for a group of contributions to periodicals. The application 
must identify each contribution that is included in the group, including 
the date of publication for each contribution and the periodical in 
which it was first published. The application may be submitted by any of 
the parties listed in Sec.202.3(c)(1). The application should be filed 
in Class TX if a majority of the contributions predominantly consist of 
text, and the application should be filed in Class VA if a majority of 
the contributions predominantly consist of photographs, illustrations, 
artwork, or other works of the visual arts.
    (7) The appropriate filing fee, as required by Sec.201.3(c) of 
this chapter, must be included with the application or charged to an 
active deposit account.
    (8) The applicant must submit one copy of each contribution that is 
included in the group, either by submitting the entire issue of the 
periodical where the contribution was first published, the entire 
section of the newspaper where it was first published, or the specific 
page(s) from the periodical where the contribution was first published. 
The contributions must be contained in separate electronic files that 
comply with Sec.202.20(b)(2)(iii). The files must be submitted in a 
PDF, JPG, or other electronic format approved by the Office, and they 
must be uploaded to the electronic registration system, preferably in a 
.zip file containing all the files. The file size for each uploaded file 
must not exceed 500 megabytes; the files may be compressed to comply 
with this requirement.
    (9) In an exceptional case, the Copyright Office may waive the 
online filing requirement set forth in paragraph (g)(6) of this section 
or may grant special relief from the deposit requirement under Sec.
202.20(d), subject to such conditions as the Associate Register of 
Copyrights and Director of the Office of Registration Policy and 
Practice may impose on the applicant.
    (h) Group registration of unpublished photographs. Pursuant to the 
authority granted by 17 U.S.C. 408(c)(1), the Register of Copyrights has 
determined that a group of unpublished photographs may be registered in 
Class VA with one application, the required deposit, and the filing fee 
required by Sec.201.3(c) of this chapter, if the following conditions 
are met:
    (1) All the works in the group must be photographs.
    (2) The group must include no more than 750 photographs, and the 
application must specify the total number of photographs that are 
included in the group.
    (3) All the photographs must be created by the same author.
    (4) The copyright claimant for all the photographs must be the same 
person or organization.
    (5) The photographs may be registered as works made for hire if all 
the photographs are identified in the application as such.
    (6) All the photographs must be unpublished.
    (7) The applicant must provide a title for the group as a whole
    (8) The applicant must complete and submit the online application 
designated for a group of unpublished photographs. The application may 
be submitted by any of the parties listed in Sec.202.3(c)(1).
    (9) The applicant must submit one copy of each photograph in one of 
the following formats: JPEG, GIF, or

[[Page 666]]

TIFF. The photographs may be uploaded to the electronic registration 
system together with the required numbered list, preferably in a .zip 
file containing all the photographs. The file size for each uploaded 
file must not exceed 500 megabytes; the photographs may be compressed to 
comply with this requirement. Alternatively, the photographs and the 
required numbered list may be saved on a physical storage device, such 
as a flash drive, CD-R, or DVD-R, and delivered to the Copyright Office 
together with the required shipping slip generated by the electronic 
registration system.
    (10) The applicant must submit a sequentially numbered list 
containing a title and file name for each photograph in the group 
(matching the corresponding file names for each photograph specified in 
paragraph (h)(9) of this section). The title and file name for a 
particular photograph may be the same. The numbered list must be 
contained in an electronic file in Excel format (.xls), Portable 
Document Format (PDF), or other electronic format approved by the 
Office, and the file name for the list must contain the title of the 
group and the case number assigned to the application by the electronic 
registration system (e.g., ``Title Of Group Case Number 
16283927239.xls'').
    (11) In an exceptional case, the Copyright Office may waive the 
online filing requirement set forth in paragraph (h)(8) of this section 
or may grant special relief from the deposit requirement under Sec.
202.20(d), subject to such conditions as the Associate Register of 
Copyrights and Director of the Office of Registration Policy and 
Practice may impose on the applicant.
    (i) Group registration of published photographs. Pursuant to the 
authority granted by 17 U.S.C. 408(c)(1), the Register of Copyrights has 
determined that a group of published photographs may be registered in 
Class VA with one application, the required deposit, and the filing fee 
required by Sec.201.3(c) of this chapter, if the following conditions 
are met:
    (1) All the works in the group must be photographs.
    (2) The group must include no more than 750 photographs, and the 
application must specify the total number of photographs that are 
included in the group.
    (3) All the photographs must be created by the same author.
    (4) The copyright claimant for all the photographs must be the same 
person or organization.
    (5) The photographs may be registered as works made for hire if all 
the photographs are identified in the application as such.
    (6) All the photographs must be published within the same calendar 
year, and the applicant must specify the earliest and latest date that 
the photographs were published during the year.
    (7) The applicant must provide a title for the group as a whole.
    (8) The applicant must complete and submit the online application 
designated for a group of published photographs. The application may be 
submitted by any of the parties listed in Sec.202.3(c)(1).
    (9) The applicant must submit one copy of each photograph in one of 
the following formats: JPEG, GIF, or TIFF. The photographs may be 
uploaded to the electronic registration system together with the 
required numbered list, preferably in a .zip file containing all the 
photographs. The file size for each uploaded file must not exceed 500 
megabytes; the photographs may be compressed to comply with this 
requirement. Alternatively, the photographs and the required numbered 
list may be saved on a physical storage device, such as a flash drive, 
CD-R, or DVD-R, and delivered to the Copyright Office together with the 
required shipping slip generated by the electronic registration system.
    (10) The applicant must submit a sequentially numbered list 
containing the title, file name, and month and year of publication for 
each photograph in the group (matching the corresponding file names for 
each photograph specified in paragraph (i)(9) of this section). The 
title and file name for a particular photograph may be the same. The 
numbered list must be contained in an electronic file in Excel format 
(.xls), Portable Document Format (PDF), or other electronic format 
approved by the Office, and the file name for the list must contain the 
title of

[[Page 667]]

the group and the case number assigned to the application by the 
electronic registration system (e.g., ``Title Of Group Case Number 
16283927239.xls'').
    (11) In an exceptional case, the Copyright Office may waive the 
online filing requirement set forth in paragraph (i)(8) of this section 
or may grant special relief from the deposit requirement under Sec.
202.20(d), subject to such conditions as the Associate Register of 
Copyrights and Director of the Office of Registration Policy and 
Practice may impose on the applicant.
    (j) Group registration of short online literary works. Pursuant to 
the authority granted by 17 U.S.C. 408(c)(2), the Register of Copyrights 
has determined that a group of literary works may be registered in Class 
TX with one application, the required deposit, and the filing fee 
required by Sec.201.3(c) if the following conditions are met:
    (1) The group may include up to 50 short online literary works, and 
the application must specify the total number of short online literary 
works that are included in the group. For purposes of this section, a 
short online literary work is a work consisting of text that contains at 
least 50 words and no more than 17,500 words, such as a poem, short 
story, article, essay, column, blog entry, or social media post. The 
work must be published as part of a website or online platform, 
including online newspapers, social media websites, and social 
networking platforms. The group may not include computer programs, 
audiobooks, podcasts, or emails. Claims in any form of authorship other 
than ``text'' or claims in the selection, coordination, or arrangement 
of the group as a whole will not be permitted on the application.
    (2) All of the works must be published within a three-calendar-month 
period, and the application must identify the earliest and latest date 
that the works were published.
    (3) All the works must be created by the same individual, or jointly 
by the same individuals, and each creator must be named as the copyright 
claimant or claimants for each work in the group.
    (4) The works must not be works made for hire.
    (5) The applicant must provide a title for each work and a title for 
the group as a whole.
    (6) The applicant must complete and submit the online application 
designated for a group of short online literary works. The application 
may be submitted by any of the parties listed in Sec.202.3(c)(1).
    (7) The applicant must submit one complete copy of each work. The 
works must be assembled in an orderly form with each work in a separate 
digital file. The file name for each work must match the title as 
submitted on the application. All of the works must be submitted in one 
of the electronic formats approved by the Office, and must be uploaded 
to the electronic registration system in a .ZIP file. The file size for 
each uploaded .ZIP file must not exceed 500 megabytes.
    (8) The applicant must submit a sequentially numbered list 
containing a title/file name for each work in the group. The list must 
also include the publication date and word count for each work. The 
numbered list must be contained in an electronic file in Excel format 
(.xls), Portable Document Format (PDF), or other electronic format 
approved by the Office, and the file name for the list must contain the 
title of the group and the case number assigned to the application by 
the electronic registration system (e.g., ``Title Of Group Case Number 
16283927239.xls'').
    (9) In an exceptional case, the Copyright Office may waive the 
online filing requirement set forth in paragraph (j)(6) of this section 
or may grant special relief from the deposit requirement under Sec.
202.20(d), subject to such conditions as the Associate Register of 
Copyrights and Director of the Office of Registration Policy and 
Practice may impose on the applicant.
    (k) Group registration of works on an album. Pursuant to the 
authority granted by 17 U.S.C. 408(c)(1), the Register of Copyrights has 
determined that a group of two or more musical works, or two or more 
sound recordings and any associated literary, pictorial, or graphic 
works, may be registered with one application, the required deposit, and 
the filing fee required by Sec.201.3 of

[[Page 668]]

this chapter, if the following conditions are met:
    (1) Eligible works. (i) All of the works in the group must be 
contained on the same album. For the purposes of this section, an album 
is a single physical or electronic unit of distribution containing at 
least two musical works and/or sound recordings embodied in a 
phonorecord, including any associated literary, pictorial, or graphic 
works distributed with the unit.
    (ii) The group may include:
    (A) Up to twenty musical works; or
    (B) Up to twenty sound recordings and any associated literary, 
pictorial, or graphic works included with the same album.
    (iii) The applicant must provide a title for the album and a title 
for each musical work or sound recording claimed in the group.
    (iv) All of the works in the group must be created by the same 
author or the works must have a common joint author, and the copyright 
claimant or co-claimants for each work must all be the same person(s) or 
organization. The works may be registered as works made for hire if they 
are identified in the application as such.
    (v) As a general rule, all of the works must be first published on 
the same album, the date and nation of publication for each work must be 
specified in the application, and the nation of publication for each 
work must be the same. A musical work or sound recording that was 
previously published as an individual work only (e.g., as a single) may 
be included in the claim if the date of first publication for that work 
is listed separately in the application.
    (2) Application. If the group consists of sound recordings and, as 
applicable, any associated literary, pictorial, or graphic works, the 
applicant must complete and submit the application designated for 
``sound recordings from an album.'' If the group consists of musical 
works, the applicant must complete and submit the application designated 
for ``musical works from an album.'' The application may be submitted by 
any of the parties listed in Sec.202.3(c)(1).
    (3) Deposit. (i) For claims in works first published in the United 
States submitted with the application for ``sound recordings from an 
album,'' the applicant must submit two complete phonorecords containing 
the best edition of each recording, and two complete copies of any 
associated literary, pictorial, or graphic works that are included in 
the group. For claims in works first published outside the United States 
submitted with this application, the applicant must submit one complete 
phonorecord of the work either as first published or of the best 
edition. A phonorecord will be considered complete if it satisfies the 
requirements set forth in Sec.202.19(b)(2). The deposit may be 
submitted in a digital form if the album has been distributed solely in 
a digital format, and if the requirements set forth in paragraph 
(k)(3)(iii) of this section have been met.
    (ii) For claims submitted with the application for ``musical works 
from an album,'' the applicant must submit one complete phonorecord of 
each musical work that is included in the group.
    (iii) The deposit may be submitted in a digital form if the 
following requirements have been met. Each work must be contained in a 
separate electronic file. The files must be assembled in an orderly 
form, they must be submitted in one of the electronic formats approved 
by the Office, and they must be uploaded to the electronic registration 
system as individual electronic files (not .zip files). The file size 
for each uploaded file must not exceed 500 megabytes; the files may be 
compressed to comply with this requirement. The file name for each work 
must match the title as submitted on the application.
    (4) Special relief. In an exceptional case, the Copyright Office may 
waive the online filing requirement set forth in paragraph (k)(2) of 
this section or may grant special relief from the deposit requirement 
under Sec.202.20(d), subject to such conditions as the Associate 
Register of Copyrights and Director of the Office of Registration Policy 
and Practice may impose on the applicant.
    (l)-(n) [Reserved]
    (o) Secure test items. Pursuant to the authority granted by 17 
U.S.C. 408(c)(1), the Register of Copyrights has determined that a group 
of test items may

[[Page 669]]

be registered in Class TX with one application, one filing fee, and 
identifying material, if the conditions set forth in Sec.202.13(c) and 
(d) have been met.
    (p) Refusal to register. The Copyright Office may refuse 
registration if the applicant fails to satisfy the requirements for 
registering a group of related works under this section or Sec.
202.3(b)(5).
    (q) Cancellation. If the Copyright Office issues a registration for 
a group of related works and subsequently determines that the 
requirements for that group option have not been met, and if the 
claimant fails to cure the deficiency after being notified by the 
Office, the registration may be cancelled in accordance with Sec.201.7 
of this chapter.
    (r) The scope of a group registration. When the Office issues a 
group registration under paragraph (d), (e), or (f) of this section, the 
registration covers each issue in the group and each issue is registered 
as a separate work or a separate collective work (as the case may be). 
When the Office issues a group registration under paragraph (c), (g), 
(h), (i), (j), (k), or (o) of this section, the registration covers each 
work in the group and each work is registered as a separate work. For 
purposes of registration, the group as a whole is not considered a 
compilation, a collective work, or a derivative work under section 101, 
103(b), or 504(c)(1) of title 17 of the United States Code.

[82 FR 29413, June 29, 2017, as amended at 82 FR 52228, Nov. 13, 2017; 
83 FR 2547, Jan. 18, 2018; 83 FR 4146, Jan. 30, 2018; 83 FR 61549, Nov. 
30, 2018; 84 FR 3699, Feb. 13, 2019; 84 FR 3698, Feb. 13, 2019; 84 FR 
60918, 60919, Nov. 12, 2019; 85 FR 31982, May 28, 2020; 85 FR 37346, 
June 22, 2020; 86 FR 10825, Feb. 23, 2021]



Sec.202.5  Reconsideration Procedure for Refusals to Register.

    (a) General. This section prescribes rules pertaining to procedures 
for administrative review of the Copyright Office's refusal to register 
a claim to copyright, a mask work, or a vessel design upon a finding by 
the Office that the application for registration does not satisfy the 
legal requirements of title 17 of the United States Code. If an 
applicant's initial claim is refused, the applicant is entitled to 
request that the initial refusal to register be reconsidered.
    (b) First reconsideration. Upon receiving a written notification 
from the Registration Program explaining the reasons for a refusal to 
register, an applicant may request that the Registration Program 
reconsider its initial decision to refuse registration, subject to the 
following requirements:
    (1) An applicant must request in writing that the Registration 
Program reconsider its decision. A request for reconsideration must 
include the reasons the applicant believes registration was improperly 
refused, including any legal arguments in support of those reasons and 
any supplementary information. The Registration Program will base its 
decision on the applicant's written submissions.
    (2) The fee set forth in Sec.201.3(d) of this chapter must 
accompany the first request for reconsideration.
    (3) The first request for reconsideration and the applicable fee 
must be postmarked, dispatched by a commercial carrier, courier, or 
messenger, or otherwise received by the Office, no later than three 
months from the date that appears in the written notice from the 
Registration Program of its decision to refuse registration. When the 
ending date for the three-month time period falls on a weekend or a 
Federal holiday, the ending day of the three-month period shall be 
extended to the next Federal work day.
    (4) If the Registration Program decides to register an applicant's 
work in response to the first request for reconsideration, it will 
notify the applicant in writing of the decision and the work will be 
registered. However, if the Registration Program again refuses to 
register the work, it will send the applicant a written notification 
stating the reasons for refusal within four months of the date on which 
the first request for reconsideration is received by the Registration 
Program. When the ending date for the four-month time period falls on a 
weekend or a Federal holiday, the ending day of the four-month period 
shall be extended to the next Federal work day. Failure by the 
Registration Program to send the written

[[Page 670]]

notification within the four-month period shall not result in 
registration of the applicant's work.
    (c) Second reconsideration. Upon receiving written notification of 
the Registration Program's decision to refuse registration in response 
to the first request for reconsideration, an applicant may request that 
the Review Board reconsider the Registration Program's refusal to 
register, subject to the following requirements:
    (1) An applicant must request in writing that the Review Board 
reconsider the Registration Program's decision to refuse registration. 
The second request for reconsideration must include the reasons the 
applicant believes registration was improperly refused, including any 
legal arguments in support of those reasons and any supplementary 
information, and must address the reasons stated by the Registration 
Program for refusing registration upon first reconsideration. The Board 
will base its decision on the applicant's written submissions.
    (2) The fee set forth in Sec.201.3(d) of this chapter must 
accompany the second request for reconsideration.
    (3) The second request for reconsideration and the applicable fee 
must be postmarked, dispatched by a commercial carrier, courier, or 
messenger, or otherwise received by the Office no later than three 
months from the date that appears in the Registration Program's written 
notice of its decision to refuse registration after the first request 
for reconsideration. When the ending date for the three-month time 
period falls on a weekend or a Federal holiday, the ending day of the 
three-month period shall be extended to the next Federal work day.
    (4) If the Review Board decides to register an applicant's work in 
response to a second request for reconsideration, it will notify the 
applicant in writing of the decision and the work will be registered. If 
the Review Board upholds the refusal to register the work, it will send 
the applicant a written notification stating the reasons for refusal.
    (d) Submission of reconsiderations. (1) All submissions for 
reconsideration should be mailed to the address specified in Sec.
201.1(c) of this chapter.
    (2) The first page of the written request must contain the Copyright 
Office control number and clearly indicate either ``FIRST 
RECONSIDERATION'' or ``SECOND RECONSIDERATION,'' as appropriate, on the 
subject line.
    (e) Suspension or waiver of time requirements. For any particular 
request for reconsideration, the provisions relating to the time 
requirements for submitting a request under this section may be 
suspended or waived, in whole or in part, by the Register of Copyrights 
upon a showing of good cause. Such suspension or waiver shall apply only 
to the request at issue and shall not be relevant with respect to any 
other request for reconsideration from that applicant or any other 
applicant.
    (f) Composition of the Review Board. The Review Board shall consist 
of three members; the first two members are the Register of Copyrights 
and the General Counsel or their respective designees. The third member 
will be designated by the Register.
    (g) Final agency action. A decision by the Review Board in response 
to a second request for reconsideration constitutes final agency action.

[69 FR 77636, Dec. 28, 2004, as amended at 70 FR 7177, Feb. 11, 2005; 73 
FR 37839, July 2, 2008; 78 FR 42875, July 18, 2013; 81 FR 62373, Sept. 
9, 2016; 82 FR 9359, Feb. 6, 2017; 82 FR 21697, May 10, 2017; 85 FR 
19668, Apr. 8, 2020]



Sec.202.6  Supplementary registration.

    (a) General. This section prescribes conditions relating to the 
filing of an application for supplementary registration under section 
408(d) of title 17 of the United States Code to correct an error in a 
copyright registration or to amplify the information given in a 
registration. No correction or amplification of the information in a 
basic registration will be made except pursuant to the provisions of 
this section. As an exception, where it is discovered that a basic 
registration contains an error caused by the Copyright Office's own 
action, the Office will take appropriate measures to rectify its 
mistake.
    (b) Definitions. (1) A basic registration means any of the 
following:
    (i) A copyright registration made under sections 408, 409, and 410 
of title 17 of the United States Code;

[[Page 671]]

    (ii) A renewal registration made under section 304 of title 17 of 
the United States Code; or
    (iii) A copyright registration or a renewal registration made under 
title 17 of the United States Code as it existed before January 1, 1978.
    (2) A supplementary registration means a registration issued under 
section 408(d) of title 17 of the United States Code and the provisions 
of this section.
    (c) Persons entitled to file an application for supplementary 
registration. Supplementary registration can be made only if a basic 
copyright registration for the same work has already been completed. 
After a basic registration has been completed, any author or other 
copyright claimant of the work, or the owner of any exclusive right in 
the work, or the duly authorized agent of any such author, other 
claimant, or owner, who wishes to correct or amplify the information 
given in the basic registration for the work may file an application for 
supplementary registration.
    (d) Basis for issuing a supplementary registration. (1) 
Supplementary registration may be made either to correct or to amplify 
the information in a basic registration.
    (2) A correction is appropriate if information in the basic 
registration was incorrect at the time that basic registration was made.
    (3) An amplification is appropriate:
    (i) To supplement or clarify the information that was required by 
the application for the basic registration and should have been 
provided, such as the identity of a co-author or co-claimant, but was 
omitted at the time the basic registration was made; or
    (ii) To reflect changes in facts, other than those relating to 
transfer, license, or ownership of rights in the work, that occurred 
since the basic registration was made.
    (4) Supplementary registration is not appropriate:
    (i) To reflect a change in ownership that occurred on or after the 
effective date of the basic registration or to reflect the division, 
allocation, licensing, or transfer of rights in a work;
    (ii) To correct errors in statements or notices on the copies or 
phonorecords of a work, or to reflect changes in the content of a work; 
or
    (iii) To correct or amplify the information set forth in a basic 
registration that has been cancelled under Sec.201.7 of this chapter.
    (5) If an error or omission in a basic renewal registration is 
extremely minor, and does not involve the identity of the renewal 
claimant or the legal basis of the claim, supplementary registration may 
be made at any time. In an exceptional case, however, supplementary 
registration may be made to correct the name of the renewal claimant and 
the legal basis of the claim if clear, convincing, and objective 
documentation is submitted to the Copyright Office which proves that an 
inadvertent error was made in failing to designate the correct living 
statutory renewal claimant in the basic renewal registration.
    (6) In general, the Copyright Office will not issue a supplementary 
registration for a basic registration made under title 17 of the United 
States Code as it existed before January 1, 1978. In an exceptional 
case, the Copyright Office may issue a supplementary registration for 
such a registration, if the correction or amplification is supported by 
clear, convincing, and objective documentation.
    (e) Application for supplementary registration. (1) To seek a 
supplementary registration for a work registered in Class TX, PA, VA, 
SR, or SE, an unpublished collection, or a unit of publication 
registered under Sec.202.3, or a group of related works registered 
under Sec.202.4, an applicant must complete and submit the online 
application designated for supplementary registration.
    (2) To seek a supplementary registration for a group of unpublished 
works registered under Sec.202.4(c), a group of short online literary 
works registered under Sec.202.4(j), or a group of works published on 
the same album registered under Sec.202.4(k), an applicant must 
complete and submit the online application designated for supplementary 
registration after consultation with and under the direction of the 
Office of Registration Policy & Practice.

[[Page 672]]

    (3) To seek a supplementary registration for a database that 
consists predominantly of photographs registered under Sec.
202.3(b)(5), an applicant must complete and submit the online 
application designated for supplementary registration after consultation 
with and under the direction of the Visual Arts Division.
    (4) To seek a supplementary registration for a restored work 
registered under Sec.202.12, a database that does not consist 
predominantly of photographs registered under Sec.202.3(b)(5), or a 
renewal registration, an applicant must complete and submit an 
application using Form CA.
    (5) Before submitting the application, the applicant must sign a 
certification stating that the applicant reviewed a copy of the 
certificate of registration for the basic registration that will be 
corrected or amplified by the supplementary registration. To obtain a 
copy of the certificate, the applicant may submit a written request to 
the Records Research and Certification Section using the procedure set 
forth in Chapter 2400 of the Compendium of U.S. Copyright Office 
Practices, Third Edition.
    (6) The appropriate filing fee, as required by Sec.201.3(c) of 
this chapter, must be included with the application or charged to an 
active deposit account. At the Office's discretion, the applicant may be 
required to pay an additional fee to make a copy of the certificate of 
registration for the basic registration that will be corrected or 
amplified by the supplementary registration.
    (7) Copies, phonorecords, or supporting documents cannot be made 
part of the record for a supplementary registration and should not be 
submitted with the application.
    (8) In an exceptional case, the Copyright Office may waive the 
requirements set forth in paragraph (e)(1) or (2)of this section, 
subject to such conditions as the Associate Register and Director of the 
Office of Registration Policy and Practice may impose on the applicant.
    (f) Effect of supplementary registration. (1) When the Copyright 
Office completes a supplementary registration, it will issue a 
certificate of supplementary registration bearing a new registration 
number in the appropriate class. The Office will cross-reference the 
records for the basic registration and the supplementary registration by 
placing a note in each record that identifies the registration number 
and effective date of registration for the related registration.
    (2) As provided in section 408(d) of title 17 of the United States 
Code, the information contained in a supplementary registration augments 
but does not supersede that contained in the basic registration. The 
basic registration will not be expunged or cancelled.

[82 FR 27427, June 15, 2017, as amended at 82 FR 42738, Sept. 12, 2017; 
83 FR 61550, Nov. 30, 2018; 85 FR 19668, Apr. 8, 2020; 85 FR 37347, June 
22, 2020; 86 FR 10826, Feb. 23, 2021]



Sec. Sec.202.7-202.9  [Reserved]



Sec.202.10  Pictorial, graphic, and sculptural works.

    (a) In order to be acceptable as a pictorial, graphic, or sculptural 
work, the work must embody some creative authorship in its delineation 
or form. The registrability of such a work is not affected by the 
intention of the author as to the use of the work or the number of 
copies reproduced. The availability of protection or grant of protection 
under the law for a utility or design patent will not affect the 
registrability of a claim in an original work of pictorial, graphic, or 
sculptural authorship.
    (b) A claim to copyright cannot be registered in a print or label 
consisting solely of trademark subject matter and lacking copyrightable 
matter. While the Copyright Office will not investigate whether the 
matter has been or can be registered at the Patent and Trademark Office, 
it will register a properly filed copyright claim in a print or label 
that contains the requisite qualifications for copyright even though 
there is a trademark on it. However, registration of a claim to 
copyright does not give the claimant rights available by trademark 
registrations at the Patent and Trademark Office.

[46 FR 33249, June 29, 1981, as amended at 60 FR 15606, Mar. 24, 1995; 
61 FR 5445, Feb. 12, 1996]

[[Page 673]]



Sec.202.11  Architectural works.

    (a) General. This section prescribes rules pertaining to the 
registration of architectural works.
    (b) Definitions. (1) For the purposes of this section, the term 
building means humanly habitable structures that are intended to be both 
permanent and stationary, such as houses and office buildings, and other 
permanent and stationary structures designed for human occupancy, 
including but not limited to churches, museums, gazebos, and garden 
pavilions.
    (2) Unless otherwise specified, all other terms have the meanings 
set forth in Sec. Sec.202.3 and 202.20.
    (c) Registration--(1) Original design. In general, an original 
design of a building embodied in any tangible medium of expression, 
including a building, architectural plans, or drawings, may be 
registered as an architectural work.
    (2) Publication. Publication of an architectural work occurs when 
underlying plans or drawings of the building or other copies of the 
building design are distributed or made available to the general public 
by sale or other transfer of ownership, or by rental, lease, or lending. 
Construction of a building does not itself constitute publication for 
purposes of registration, unless multiple copies are constructed.
    (3) Registration limited to one architectural work. For published 
and unpublished architectural works, an application may cover only one 
architectural work. Multiple architectural works may not be registered 
using one application. For works such as tract housing, one house model 
constitutes one work, including all accompanying floor plan options, 
elevations, and styles that are applicable to that particular model. 
Where dual copyright claims exist in technical drawings and the 
architectural work depicted in the drawings, any claims with respect to 
the technical drawings and architectural work must be registered 
separately.
    (4) Online application. (i) The applicant must complete and submit 
the Standard Application. The application should identify the title of 
the building. If the architectural work was embodied in unpublished 
plans or drawings on or before December 1, 1990, and if the building was 
constructed before January 1, 2003, the application should also provide 
the date that the construction was completed.
    (ii) In an exceptional case, the Copyright Office may waive the 
online filing requirement set forth in paragraph (c)(4)(i) of this 
section, subject to such conditions as the Associate Register and 
Director of the Office of Registration Policy and Practice may impose on 
the applicant.
    (5) Deposit requirements. (i) For designs of constructed or 
unconstructed buildings, the applicant must submit one complete copy in 
visually perceptible form of the most finished form of an architectural 
drawing showing the overall form of the building (i.e., exterior 
elevations of the building when viewed from the front, rear, and sides), 
and any interior arrangements of spaces and/or design elements in which 
copyright is claimed (i.e., walls or other permanent structures that 
divide the interior into separate rooms and spaces). The deposit should 
disclose the name(s) of the architect(s) and draftsperson(s) and the 
building site, if known. For designs of constructed buildings, the 
applicant also must submit identifying material in the form of 
photographs complying with Sec.202.21, which clearly show several 
exterior and interior views of the architectural work being registered.
    (ii) The deposit may be submitted in any form that allows the 
Copyright Office to access, perceive, and examine the entire 
copyrightable content of the work being registered, including by 
uploading the complete copy and identifying material in an acceptable 
file format to the Office's electronic registration system. Deposits 
uploaded to the electronic registration system will be considered solely 
for the purpose of registration under section 408 of title 17 of the 
United States Code, and will not satisfy the mandatory deposit 
requirement under section 407 of title 17 of the United States Code.
    (d) Works excluded. The following structures, features, or works 
cannot be registered:
    (1) Structures other than buildings. Structures other than 
buildings, such as bridges, cloverleafs, dams, walkways, tents, 
recreational vehicles, mobile homes, and boats.

[[Page 674]]

    (2) Standard features. Standard configurations of spaces, and 
individual standard features, such as windows, doors, and other staple 
building components.
    (3) Pre-December 1, 1990 building designs--(i) Published building 
designs. The designs of buildings where the plans or drawings of the 
building were published before December 1, 1990, or the buildings were 
constructed or otherwise published before December 1, 1990.
    (ii) Unpublished building designs. The designs of buildings that 
were unconstructed and embodied in unpublished plans or drawings on 
December 1, 1990, and remained unconstructed on December 31, 2002.

[57 FR 45310, Oct. 1, 1992, as amended at 68 FR 38630, June 30, 2003; 84 
FR 16785, Apr. 23, 2019]



Sec.202.12  Restored copyrights.

    (a) General. This section prescribes rules pertaining to the 
registration of foreign copyright claims which have been restored to 
copyright protection under section 104A of 17 U.S.C., as amended by the 
Uruguay Round Agreements Act, Public Law 103-465.
    (b) Definitions. (1) For the purposes of this section, restored work 
and source country, have the definition given in 17 U.S.C. 104(A)(g)(6) 
and (8) and Sec.201.33(b) of this chapter.
    (2) Descriptive statement for a work embodied solely in machine-
readable format is a separate written statement giving the title of the 
work, nature of the work (for example: computer program, database, 
videogame, etc.), plus a brief description of the contents or subject 
matter of the work.
    (c) Registration--(1) Application. Applications for registration for 
single works restored to copyright protection under the URAA should be 
made on Form GATT. Copies of this form may be obtained from the Office's 
website or by contacting the Public Information Office at (202) 707-
3000. Applicants should submit the completed application with the 
appropriate filing fee and deposit copies and materials required by 
paragraph (c)(3) of this section in the same package by mail or 
electronically, in accordance with instructions for submission and 
payment provided on the Office's website or Form GATT itself.
    (2) Fee--(i) Amount. The filing fee for registering a copyright 
claim in a restored work is prescribed in Sec.201.3(c).
    (ii) Method of payment--(A) Checks, money orders, or bank drafts. 
The Copyright Office will accept checks, money orders, or bank drafts 
made payable to the U.S. Copyright Office. Remittances must be 
redeemable without service or exchange fees through a United States 
institution, must be payable in United States dollars, and must be 
imprinted with American Banking Association routing numbers. In 
addition, international money orders, and postal money orders that are 
negotiable only at a post office are not acceptable. CURRENCY WILL NOT 
BE ACCEPTED.
    (B) Copyright Office Deposit Account. The Copyright Office maintains 
a system of Deposit Accounts for the convenience of those who frequently 
use its services. The system allows an individual or firm to establish a 
Deposit Account in the Copyright Office and to make advance deposits 
into that account. Deposit Account holders can charge copyright fees 
against the balance in their accounts instead of sending separate 
remittances with each request for service. For information on Deposit 
Accounts, visit the Copyright Office website or write to the address 
specified in Sec.201.1 of this chapter and request a copy of Circular 
5.
    (C) Credit cards. For GATT registrations the Copyright Office will 
accept most major credit cards. Debit cards cannot be accepted for 
payment. With the registration application, an applicant using a credit 
card must submit a separate cover letter stating the name of the credit 
card, the credit card number, the expiration date of the credit card, 
the total amount authorized and a signature authorizing the Office to 
charge the fees to the account. To protect the security of the credit 
card number, the applicant must not write the credit card number on the 
registration application.
    (3) Deposit--(i) General. The deposit for a work registered as a 
restored work under 17 U.S.C. 104A, except for those works listed in 
paragraphs (c)(3)(ii) through (iv) of this section,

[[Page 675]]

should consist of one copy or phonorecord which best represents the 
copyrightable content of the restored work. In descending order of 
preference, the deposit should be:
    (A) The work as first published;
    (B) A reprint or re-release of the work as first published;
    (C) A photocopy or identical reproduction of the work as first 
published; or
    (D) A revised version which includes a substantial amount of the 
copyrightable content of the restored work with an indication in writing 
of the percentage of the restored work appearing in the revision.
    (ii) Previously registered works. No deposit is needed for works 
previously registered in the Copyright Office.
    (iii) Works embodied solely in machine-readable format. For works 
embodied only in machine-readable formats, the deposit requirements are 
as follows:
    (A) One machine-readable copy and a descriptive statement of the 
work; or
    (B) Representative excerpts of the work, such as printouts; or, if 
the claim extends to audiovisual elements in the work, a videotape of 
what appears on the screen.
    (iv) Pictorial, graphic and sculptural works. With the exception of 
3-dimensional works of art, the general deposit preferences specified 
under paragraph (c)(3)(i) of this section shall govern. For 3-
dimensional works of art, the preferred deposit is one or more 
photographs of the work, preferably in color.
    (v) Special relief. An applicant who is unable to submit any of the 
preferred deposits may submit an alternative deposit under a grant of 
special relief under Sec.202.20(d). In such a case, the applicant 
should indicate in writing why the deposit preferences cannot be met, 
and submit alternative identifying materials clearly showing some 
portion of the copyrightable contents of the restored work which is the 
subject of registration.
    (vi) Motion pictures. If the deposit is a film print (16 or 35 mm), 
the applicant should contact the Performing Arts Division of the 
Registration Program for delivery instructions. The telephone number is: 
(202) 707-6040; the fax number is: (202) 707-1236.
    (d) Works excluded. Works which are not copyrightable subject matter 
under title 17 of the U.S. Code, other than sound recordings fixed 
before February 15, 1972, shall not be registered as restored works.

[60 FR 50422, Sept. 29, 1995, as amended at 64 FR 12902, Mar. 16, 1999; 
64 FR 29522, June 1, 1999; 71 FR 31092, June 1, 2006; 72 FR 36888, July 
6, 2007; 73 FR 37839, July 2, 2008; 78 FR 42875, July 18, 2013; 82 FR 
9359, Feb. 6, 2017; 85 FR 19668, Apr. 8, 2020]



Sec.202.13  Secure tests.

    (a) General. This section prescribes rules pertaining to the 
registration of secure tests or a group of test items prepared for use 
in a secure test.
    (b) Definitions. For purposes of this section--
    (1) A secure test is a nonmarketed test administered under 
supervision at specified centers on scheduled dates, all copies of which 
are accounted for and either destroyed or returned to restricted locked 
storage or secure electronic storage following each administration. A 
test otherwise meeting the requirements of this paragraph shall be 
considered a secure test if it normally is administered at specified 
centers but is being administered online during the national emergency 
concerning the COVID-19 pandemic, provided the test administrator 
employs measures to maintain the security and integrity of the test that 
it reasonably determines to be substantially equivalent to the security 
and integrity provided by in-person proctors.
    (2) A test is nonmarketed if copies of the test are not sold, but 
instead are distributed and used in such a manner that the test sponsor 
or publisher retains ownership and control of the copies.
    (3) A test is administered under supervision if test proctors or the 
equivalent supervise the administration of the test.
    (4) A specified center is a place where test takers are physically 
assembled at the same time.
    (5) A test item is comprised of a question (or ``stem''), the 
correct answer to that question, any incorrect answer choices (or 
``distractors''), and any associated material, such as a narrative 
passage or diagram, and each item

[[Page 676]]

shall be considered one work. A single narrative, diagram, or other 
prefatory material, followed by multiple sets of related questions and 
correct or incorrect answers shall together be considered one item.
    (c) Deposit requirements. Pursuant to the authority granted by 17 
U.S.C. 408(c)(1), the Register of Copyrights has determined that a 
secure test or a group of test items prepared for use in a secure test 
may be registered with identifying material, and the filing and 
examination fees required by Sec.201.3(c) and (d), if the following 
conditions are met:
    (1) The applicant must complete and submit a Standard Application. 
The application may be submitted by any of the parties listed in Sec.
202.3(c)(1).
    (2) In case of a secure test, the applicant must submit a redacted 
copy of the entire test. In the case of a group of test items prepared 
for use in a secure test, the applicant must submit a redacted copy of 
each test item. In all cases the redacted copy must contain a sufficient 
amount of visible content to reasonably identify the work(s). In 
addition, the applicant must complete and submit the secure test 
questionnaire that is posted on the Copyright Office's website. The 
questionnaire and the redacted copy must be contained in separate 
electronic files, and each file must be uploaded to the electronic 
registration system in Portable Document Format (PDF). The Copyright 
Office will review these materials to determine if the work(s) qualify 
for an examination under secure conditions. If they appear to be 
eligible, the Copyright Office will contact the applicant to schedule an 
appointment to examine an unredacted copy of the work(s). The 
examination may be conducted in-person or through remote access as 
directed by the instructions provided on the Office's website.
    (3) On the appointed date, the applicant must provide the following 
materials to the Copyright Office:
    (i) A copy of the completed application.
    (ii) The appropriate examination fee, as required by Sec.201.3(d) 
of this chapter.
    (iii) A copy of the redacted version of the work(s) that was 
uploaded to the electronic registration system.
    (iv) A signed declaration confirming that the redacted copy 
specified in paragraph (c)(3)(iii) of this section is identical to the 
redacted copy that was uploaded to the electronic registration system.
    (v) In the case of a secure test, the applicant must provide an 
unredacted copy of the entire test. In the case of a group of test items 
prepared for use in a secure test, the applicant must provide an 
unredacted copy of all the test items. The applicant shall include the 
following information in the metadata of an unredacted electronic file:
    (A) The date of the examination; and
    (B) The service request number generated by the electronic 
registration system.
    (4) The Copyright Office will examine the copies specified in 
paragraphs (c)(3)(iii) and (v) of this section under secure conditions. 
The Office will retain the signed declaration and the redacted copy that 
was uploaded to the electronic registration system. If the examination 
is conducted in-person, the Office will stamp the date of the 
appointment on the copies and will return them to the applicant when the 
examination is complete.
    (d) Group registration requirements. The Copyright Office may 
register a group of test items if the following conditions have been 
met:
    (1) All the test items must be prepared for use in a secure test, 
and the name of the secure test must be identified in the title of the 
group.
    (2) The group may contain an unlimited amount of works, but the 
applicant must identify the individual works included within the group 
by numbering each test item in the deposit.
    (3) The applicant must provide a title for the group as a whole, and 
must append the term ``GRSTQ'' to the beginning of the title.
    (4) The group must contain only unpublished works, or works 
published within the same three-calendar-month period and the 
application must identify the earliest date that the works were 
published.
    (5) All the works in the group must have the same author or authors, 
and the copyright claimant for each work

[[Page 677]]

must be the same. Claims in the selection, coordination, or arrangement 
of the group as a whole will not be permitted on the application. Each 
item in the group must be separately copyrightable or must be excluded 
from the group.

[82 FR 26854, June 12, 2017, as amended at 82 FR 52228, Nov. 13, 2017; 
85 FR 27298, May 8, 2020; 86 FR 10177, Feb. 19, 2021]



Sec. Sec.202.14-202.15  [Reserved]



Sec.202.16  Preregistration of copyrights.

    (a) General. This section prescribes rules pertaining to the 
preregistration of copyright claims in works eligible for 
preregistration under 17 U.S.C. 408(f).
    (b) Definitions. For the purposes of this section--
    (1) A work is in a class of works that the Register of Copyrights 
has determined has had a history of infringement prior to authorized 
commercial release if it falls within one of the following classes of 
works:
    (i) Motion pictures;
    (ii) Sound recordings;
    (iii) Musical compositions;
    (iv) Literary works being prepared for publication in book form;
    (v) Computer programs (including videogames); or
    (vi) Advertising or marketing photographs.
    (2) A work is being prepared for commercial distribution if:
    (i) The claimant, in a statement certified by the authorized 
preregistering party, has a reasonable expectation that the work will be 
commercially distributed to the public; and
    (ii) Preparation of the work has commenced and at least some portion 
of the work has been fixed in a tangible medium of expression, as 
follows:
    (A) For a motion picture, filming of the motion picture must have 
commenced;
    (B) For a sound recording, recording of the sounds must have 
commenced;
    (C) For a musical composition, at least some of the musical 
composition must have been fixed either in the form of musical notation 
or in a copy or phonorecord embodying a performance of some or all of 
the work;
    (D) For a literary work being prepared for publication in book form, 
the actual writing of the text of the work must have commenced;
    (E) For a computer program, at least some of the computer code 
(either source code or object code) must have been fixed; and
    (F) For an advertising or marketing photograph, the photograph (or, 
in the case of a group of photographs intended for simultaneous 
publication, at least one of the photographs) must have been taken.
    (3) A work eligible for preregistration is a work that is:
    (i) Unpublished;
    (ii) Being prepared for commercial distribution; and
    (iii) In a class of works that the Register of Copyrights has 
determined has had a history of infringement prior to authorized 
commercial release.
    (c) Preregistration--(1) General. A work eligible for 
preregistration may be preregistered by submitting an application and 
fee to the Copyright Office pursuant to the requirements set forth in 
this section.
    (2) Works excluded. Works that are not copyrightable subject matter 
under title 17 of the U.S. Code may not be preregistered in the 
Copyright Office.
    (3) Application. An application for preregistration must be 
submitted electronically on the Copyright Office website at: http://
www.copyright.gov.
    (4) Unit of publication. For the purpose of preregistration on one 
application and upon payment of one filing fee, all copyrightable 
elements that are otherwise recognizable as self-contained works, that 
are to be included and first published in the same unit of publication, 
and in which the copyright claimant is the same, shall be considered one 
work eligible for preregistration.
    (5) Fee--(i) Amount. The filing fee for preregistration is 
prescribed in Sec.201.3(c).
    (ii) Method of payment--(A) Copyright Office deposit account. The 
Copyright Office maintains a system of Deposit Accounts for the 
convenience of those who frequently use its services and for those who 
file applications electronically. The system allows an individual or 
firm to establish a Deposit Account

[[Page 678]]

in the Copyright Office and to make advance deposits in that account. 
Deposit Account holders can charge preregistration fees against the 
balance in their accounts instead of using credit cards for each request 
of service. For information on Deposit Accounts, please download a copy 
of Circular 5, ``How to Open and Maintain a Deposit Account in the 
Copyright Office,'' or write the Register of Copyrights, Copyright 
Office, Library of Congress, Washington, D.C. 20559.
    (B) Credit cards, debit cards and electronic funds transfer. The 
online preregistration filing system will provide options for payment by 
means of credit or debit cards and by means of electronic funds 
transfers. Applicants will be redirected to the Department of Treasury's 
Pay.gov website to make payments with credit or debit cards, or directly 
from their bank accounts by means of ACH debit transactions.
    (C) No refunds. The preregistration filing fee is not refundable.
    (6) Description. No deposit of the work being preregistered should 
be submitted with an application for preregistration. The 
preregistration applicant should submit a detailed description, of not 
more than 2,000 characters (approximately 330 words), of the work as 
part of the application. The description should be based on information 
available at the time of the application sufficient to reasonably 
identify the work. Generally, the Copyright Office will not review 
descriptions for adequacy, but in an action for infringement of a 
preregistered work, the court may evaluate the adequacy of the 
description to determine whether the preregistration actually describes 
the work that is alleged to be infringed, taking into account the 
information available to the applicant at the time of preregistration 
and taking into account the legitimate interest of the applicant in 
protecting confidential information.
    (i) For motion pictures, the identifying description should include 
the following information to the extent known at the time of filing: The 
subject matter, a summary or outline, the director, the primary actors, 
the principal location of filming, and any other information that would 
assist in identifying the particular work being preregistered.
    (ii) For sound recordings, the identifying description should 
include the following information to the extent known at the time of 
filing: the subject matter of the work or works recorded, the performer 
or performing group, the genre of the work recorded (e.g., classical, 
pop, musical comedy, soft rock, heavy metal, gospel, rap, hip-hop, 
blues, jazz), the titles of the musical compositions being recorded, the 
principal recording location, the composer(s) of the recorded musical 
compositions embodied on the sound recording, and any other information 
that would assist in identifying the particular work being 
preregistered.
    (iii) For musical compositions, the identifying description should 
include the following information to the extent known at the time of 
filing: The subject matter of the lyrics, if any; the genre of the work 
(e.g., classical, pop, musical comedy, soft rock, heavy metal, gospel, 
rap, hip-hop, blues, jazz); the performer, principal recording location, 
record label, motion picture, or other information relating to any sound 
recordings or motion pictures that are being prepared for commercial 
distribution and will include the musical composition; and any other 
detail or characteristic that may assist in identifying the particular 
musical composition.
    (iv) For literary works in book form, the identifying description 
should include to the extent known at the time of filing: The genre of 
the book (e.g., biography, novel, history, etc.), and should include a 
brief summary of the work including, the subject matter (e.g., a 
biography of President Bush, a history of the war in Iraq, a fantasy 
novel); a description (where applicable) of the plot, primary 
characters, events, or other key elements of the content of the work; 
and any other salient characteristics of the book (e.g., whether it is a 
later edition or revision of a previous work, as well as any other 
detail which may assist in identifying the literary work in book form).
    (v) For computer programs (including videogames), the identifying 
description should include to the extent

[[Page 679]]

known at the time of filing: The nature, purpose and function of the 
computer program, including the programming language in which it is 
written and any particular organization or structure in which the 
program has been created; the form in which it is expected to be 
published (e.g., as an online-only product; whether there have been 
previous versions and identification of such previous versions); the 
identities of persons involved in the creation of the computer program; 
and, if the work is a videogame, also the subject matter of the 
videogame and the overall object, goal, or purpose of the game, its 
characters, if any, and the general setting and surrounding found in the 
game.
    (vi) For advertising or marketing photographs, the description 
should include the subject matter depicted in the photograph or 
photographs, including information such as the particular product, 
event, public figure, or other item or occurrence which the photograph 
is intended to advertise or market. To the extent possible and 
applicable, the description for photographs should give additional 
details which will assist in identifying the particular photographs, 
such as the party for whom such advertising photographs are taken; the 
approximate time periods during which the photographs are taken; the 
approximate number of photos which may be included in the grouping; any 
events associated with the photographs; and the location and physical 
setting or surrounding depicted in the photographs. The description may 
also explain the general presentation (e.g., the lighting, background 
scenery, positioning of elements of the subject matter as it is seen in 
the photographs), and should provide any locations and events, if 
applicable, associated with the photographs.
    (7) Review of preregistration information. The Copyright Office will 
conduct a limited review of applications for preregistration, in order 
to ascertain whether the application describes a work that is in a class 
of works that the Register of Copyrights has determined has had a 
history of infringement prior to authorized commercial release. However, 
a work will not be preregistered unless an applicant has provided all of 
the information requested on the application and has certified that all 
of the information provided on the application is correct to the best of 
the applicant's knowledge.
    (8) Certification. The person submitting an application for 
preregistration must certify on the application that he or she is the 
author, copyright claimant, or owner of exclusive rights, or the 
authorized agent of the author, copyright claimant, or owner of 
exclusive rights, of the work submitted for this preregistration; that 
the information given in this application is correct to the best of his 
or her knowledge; that the work is being prepared for commercial 
distribution; and that he or she has a reasonable expectation that the 
work will be commercially distributed to the public.
    (9) Effective date of preregistration. The effective date of a 
preregistration is the day on which an application and fee for 
preregistration of a work, which the Copyright Office later notifies the 
claimant has been preregistered or which a court of competent 
jurisdiction has concluded was acceptable for preregistration, have been 
received in the Copyright Office.
    (10) Notification of preregistration. Upon completion of the 
preregistration, the Copyright Office will email an official 
notification of the preregistration to the person who submitted the 
application.
    (11) Certification of preregistration. A certified copy of the 
official notification may be obtained in physical form from the Records 
Research and Certification Section of the Office of Public Information 
and Education at the address specified in Sec.201.1 of this chapter.
    (12) Public record of preregistration. The preregistration record 
also will be made available to the public on the Copyright Office 
website at: http://www.copyright.gov.
    (13) Effect of preregistration. Preregistration of a work offers 
certain advantages to a copyright owner pursuant to 17 U.S.C. 408(f), 
411 and 412. However, preregistration of a work does not constitute 
prima facie evidence of the validity of the copyright or of the facts 
stated in the application for preregistration or in the preregistration 
record. The fact that a

[[Page 680]]

work has been preregistered does not create any presumption that the 
Copyright Office will register the work upon submission of an 
application for registration.
    (14) Petition for recognition of a new class of works. At any time 
an interested party may petition the Register of Copyrights for a 
determination as to whether a particular class of works has had a 
history of copyright infringement prior to authorized release that would 
justify inclusion of that class of works among the classes of works 
eligible for preregistration.

[70 FR 61906, Oct. 27, 2005, as amended at 71 FR 31092, June 1, 2006; 73 
FR 37839, July 2, 2008; 78 FR 42875, July 18, 2013; 82 FR 9360, Feb. 6, 
2017; 83 FR 66629, Dec. 27, 2018]



Sec.202.17  Renewals.

    (a) General. (1) This section concerns renewal for copyrights 
originally secured from January 1, 1964, through December 31, 1977, 
either by publication with the required copyright notice or by 
registration as an unpublished work. Renewal registration for these 
works is optional. As provided in Pub. L. No. 102-307, 106 Stat. 264, 
enacted June 26, 1992, renewal registration made during the last year of 
the original 28-year term of copyright differs in legal effect from 
renewal registration made during the 67-year extended renewal term. In 
the latter instance, the copyright is renewed automatically at the 
expiration of the original 28-year term. In the former instance, renewal 
by registration during the last year of the original 28-year term vested 
the renewal copyright in the statutory claimant living on the date of 
registration.
    (2) Works for which copyright was secured before 1964 are governed 
by the provisions of 17 U.S.C. 304(a) in effect prior to the 1992 date 
of enactment of Pub. L. No. 102-307. The copyrights in such works could 
have been renewed by registration only within the last calendar year of 
the original 28-year term of copyright protection. If renewal 
registration was not made during that period of time, copyright 
protection was lost when the original term of copyright expired and 
cannot be regained.
    (3) Works restored to copyright by the Uruguay Round Agreements Act 
are governed in their copyright term of protection by Pub. L. No. 103-
465, 108 Stat. 4809, 4976 (December 8, 1994). Under 17 U.S.C. 
104A(a)(1)(A) and (B), as amended, any work in which copyright is 
restored subsists for the remainder of the term of copyright that the 
work would have been otherwise granted in the United States. Such term 
includes the remainder of any applicable renewal term.
    (4) Automatic restoration of copyright in certain foreign works that 
were in the public domain in the United States may have occurred under 
the Uruguay Round Agreements Act and may be protected by copyright or 
neighboring rights in their ``source country,'' as defined at 17 U.S.C. 
104A(h)(8).
    (b) Definitions. (1) For purposes of this section, the terms 
assignee and successor, as they pertain to 17 U.S.C. 304(a)(3)(A)(ii), 
refer to a party which has acquired the renewal copyright in a work by 
assignment or by other means of legal succession from the statutory 
claimant (as that claimant is defined in 17 U.S.C. 304(a)(1)(B) and (C)) 
in whom the renewal copyright vested but in whose name no renewal 
registration was previously made.
    (2) For purposes of this section, a work has been copyrighted when 
it has been published with a proper copyright notice or, in the case of 
an unpublished work, when it has been registered for copyright.
    (3) For purposes of this section, the term posthumous work means a 
work that was unpublished on the date of the death of the author and 
with respect to which no copyright assignment or other contract for 
exploitation of the work occurred during the author's lifetime.
    (4) For purposes of this section, the term statutory claimant means:
    (i) A party who was entitled to claim copyright for the renewal term 
at the time renewal registration was made either as a proprietary 
claimant, 17 U.S.C. 304(a)(2)(A)(i), or as a personal claimant, 17 
U.S.C. 304(a)(2)(B)(i), if registration was made during the original 
term of copyright; or
    (ii) If the original copyright term expired, a party who was 
entitled to claim copyright for the renewal term

[[Page 681]]

as of the last day of the original term of copyright as either a 
proprietary or a personal claimant, 17 U.S.C. 304(a)(2)(A)(ii) and 
(a)(2)(B)(ii).
    (5) For purposes of this section, the term to vest means to give a 
fixed, non-contingent right of present or future enjoyment of the 
renewal copyright in a work. If renewal registration was made during the 
28th year of the original term of copyright, the renewal copyright 
vested in the party or parties entitled to claim such copyright at the 
time of registration as provided by 17 U.S.C. 304(a)(1)(B) and (C). 
Although the vested right may have been determined by registration 
during the 28th year of the original term, the exercise of such right 
did not commence until the beginning of the renewal term, as provided in 
17 U.S.C. 304(a)(2). If renewal registration was not made during the 
28th year, the renewal copyright automatically vested upon the beginning 
of the renewal term in the party or parties entitled to claim such 
copyright on the last day of the original term as provided by 17 U.S.C. 
304(a)(2)(A)(ii) and (B)(ii).
    (c) Time limits: original term and renewal term registration. (1) 
Under 17 U.S.C. 304(a), prior to its amendment of June 26, 1992, a 
registration for the original term of copyright must have been made 
during the 28 years of that original term, and a renewal registration 
must also have been made during the 28th year of that term. Pub. L. No. 
102-307, 106 Stat. 264 (June 26, 1992) amended section 304(a) for works 
originally copyrighted from January 1, 1964, through December 31, 1977, 
and provided for optional original-term registration and optional 
renewal registration. 17 U.S.C. 304(a)(2), (a)(3) and 409(11). For such 
works, claims to renewal copyright could have been registered during the 
last year of the original term but such registration was not required in 
order to enjoy statutory protection during the renewal term. 17 U.S.C. 
304(a)(3)(B).
    (2) A renewal registration can be made at any time during the 
renewal term. 17 U.S.C. 304(a)(3)(A)(ii). If no original-term 
registration was made, renewal registration remains possible; but the 
Register may request information, under 17 U.S.C. 409(10), regarding the 
original term of copyright. Such information must demonstrate that the 
work complies with all requirements of the 1909 Act with respect to the 
existence, ownership, or duration of the copyright for the original term 
of the work. The Form RE/Addendum is used to provide this information.
    (3) Renewal registration is currently available for works 
copyrighted from January 1, 1964, through December 31, 1977. Under the 
provisions of 17 U.S.C. 304(a)(3)(A)(ii), renewal registration may be 
made any time during the 67-year renewal term for such works according 
to the procedure indicated in paragraph (h) of this section. Such 
renewal registration is optional and is not a condition of the 
subsistence of the copyright for the 67-year renewal term. 17 U.S.C. 
304(a)(3)(B). In the case of such works for which no registration was 
made during the original term of copyright, renewal registration may be 
made by submission of a Form RE/Addendum. The Addendum, an adjunct to 
the renewal form, concerns the facts of first publication for a work and 
assures the Copyright Office that the work as it existed in its original 
term of copyright was in compliance with the 1909 copyright law, 17 
U.S.C. 1, et. seq. (1909 Act, in effect through December 31, 1977), 
whose provisions govern such works.
    (d) Benefits of 28th-year renewal registration. Prior to January 1, 
2006, renewal registration was available during the 28th year of the 
original term of copyright for works copyrighted from January 1, 1964, 
through December 31, 1977. As provided in Pub. L. No. 102-307, 106 Stat. 
264, registration made during the 28th year of the original term of 
copyright provided the following benefits to the registrant:
    (1) The certificate of registration constituted prima facie evidence 
as to the validity of the copyright during its renewal term and of the 
facts stated in the certificate. 17 U.S.C. 304(a)(4)(B).
    (2) A derivative work prepared under the authority of a grant of a 
transfer or license of copyright in a work made before the expiration of 
the original term of copyright could not continue to be

[[Page 682]]

used under the terms of the grant during the renewal term without the 
authority of the owner of the renewal copyright. 17 U.S.C. 304(a)(4)(A).
    (3) The renewal copyright vested upon the beginning of the renewal 
term in the party entitled to claim the renewal of copyright at the time 
the application was made as provided under 17 U.S.C. 304(a)(2)(A)(i) and 
(B)(i).
    (e) Statutory parties entitled to claim copyright for the renewal 
term under section 304(a). (1) Renewal claims must be registered in the 
name of the party or parties entitled to claim copyright for the renewal 
term as provided in paragraphs (e)(2) through (4) of this section and as 
specified in 17 U.S.C. 304(a). If a work was a new version of a 
previously published or registered work, renewal registration may be 
claimed only in the new matter.
    (2) If the renewal claim was submitted during the last, i.e., the 
28th, year of the original term of copyright, the claim had to be 
registered in the name(s) of the statutory claimant(s) entitled to claim 
the renewal copyright on the date on which the claim was submitted to 
the Copyright Office. If the renewal claim is submitted during the 67-
year extended renewal term, the renewal claim can be registered only in 
the name(s) of the statutory claimant(s) entitled to claim the renewal 
on the last day (December 31) of the original term of copyright. These 
eligible renewal claimants are listed below:
    (i) The person who, on the applicable day, was the copyright 
proprietor is the appropriate renewal claimant in any posthumous work or 
any periodical, encyclopedia, or other composite work upon which the 
copyright was originally secured by the proprietor;
    (ii) The person who, on the applicable day, was the copyright 
proprietor is the appropriate claimant in any work copyrighted by a 
corporate body (otherwise than as assignees or licensees of the 
individual author), or by an employer for whom such work was made for 
hire;
    (iii) For any other copyrighted work, including a contribution by an 
individual author to a periodical or to a cyclopedic or other composite 
work, the appropriate claimants, in descending order of eligibility, are 
the person who, on the applicable day, was:
    (A) The author(s) of the work, if still living;
    (B) The widow(er) and/or child(ren) of the author, if the author was 
deceased on the applicable day;
    (C) The author's executor(s), if still acting in that capacity on 
the applicable day, provided the author had a will and neither the 
author, nor any widow(er) or child of the author is still living; or
    (D) The author's next of kin, in the absence of a will and if 
neither the author nor any widow, widower or child of the author is 
living.
    (3) The provisions of paragraphs (e)(1) and (2) of this section are 
subject to the following qualification: Notwithstanding the definition 
of ``posthumous work'' in paragraph (b)(3) of this section, a renewal 
claim may be registered in the name of the proprietor of a work, as well 
as in the name of the appropriate claimant under paragraph (e)(2)(iii) 
of this section, in any case in which a contract for exploitation of the 
work but no copyright assignment in the work has occurred during the 
author's lifetime. However, registration by the Copyright Office in this 
case should not be interpreted as evidencing the validity of either 
claim.
    (4) The provisions of paragraphs (e)(2)(iii)(C) and (D) of this 
section are subject to the following qualifications:
    (i) In any case where:
    (A) The author has left a will which names no executor;
    (B) The author has left a will which names an executor who cannot or 
will not serve in that capacity; or
    (C) The author has left a will which names an executor who has been 
discharged upon settlement of the estate, removed before the estate has 
been completely administered, or is deceased at the time of the renewal 
registration submission, the renewal claim may be registered either in 
the name of an administrator cum testamento annexo (administrator 
c.t.a.) or an administrator de bonis non cum testamento annexo 
(administrator d.b.n.c.t.a.) so appointed by a court of competent 
jurisdiction.
    (ii) In any case described in paragraph (e) of this section, except 
in the

[[Page 683]]

case where the author has left a will without naming an executor and a 
court-appointed administrator c.t.a. or administrator d.b.n.c.t.a. is in 
existence at the time of renewal registration, the renewal claim also 
may be registered in the name of the author's next of kin. However, 
registration by the Copyright Office of conflicting renewal claims in 
such a case should not be interpreted as evidencing the validity of 
either claim.
    (f) Successors/assignees entitled to file an application for the 
renewal term under Section 304(a). The provisions of paragraph (e) of 
this section are subject to the following qualifications:
    (1) Where no renewal registration has been made in the name of a 
person or entity identified in paragraphs (e)(2)(i), (ii) and (iii) of 
this section, a renewal application may be filed at any time during the 
renewal term by any successor or assignee of such person or entity.
    (2) In such cases described in paragraph (f)(1) of this section, the 
renewal application must identify the party in whom the renewal 
copyright vested; must indicate the basis upon which copyright for the 
renewal term vested in that party; must identify the party who is the 
successor or assignee of the statutory claimant under 17 U.S.C. 
304(a)(3); and, must give the manner by which such successor/assignee 
secured the renewal copyright.
    (3) When such a claim has been filed by a successor or assignee in 
the name of the statutory claimant as described in paragraph (e)(2)(i), 
(ii) and (iii) of this section, generally no subsequent claims may be 
filed by other successors or assignees whose rights are derived from the 
same statutory claimant. If a public record of renewal ownership is 
sought by other successors or assignees of the same statutory claimant, 
the document of transfer of the renewal copyright, either the renewal in 
its entirety or in part, may be recorded in the Copyright Office.
    (4) Where a successor or assignee claims the renewal right from the 
same statutory claimant as does another successor or assignee, the 
Copyright Office may inquire concerning the situation and, if 
appropriate, may allow adverse renewal claims from the successors/
assignees to be placed on the public record. In such cases, 
correspondence between the parties filing competing renewal claims and 
the Copyright Office will be, as always, maintained within Office 
records and subject to public inspection according to regulations found 
at 37 CFR 201.2.
    (g) Application for renewal registration for a work registered in 
its original 28-year term. (1) Each application for renewal registration 
shall be submitted on Form RE. All forms are available free of charge 
via the Internet by accessing the Copyright Office website at: http://
www.copyright.gov. Copies of Form RE are also available free upon 
request. Requests should be sent in the manner prescribed in Sec.
201.1(b) of this chapter.
    (2)(i) An application for renewal registration may be submitted by 
any eligible statutory renewal claimant as specified in paragraph (e) of 
this section or by the duly authorized agent of such claimant, or by the 
successor or assignee of such claimant as provided under paragraph (f) 
of this section or by the duly authorized agent of such successor or 
assignee.
    (ii) An application for renewal registration shall be accompanied by 
the required fee as set forth in 37 CFR 201.3. The application shall 
contain the information required by the form and its accompanying 
instructions, and shall include a certification. The certification shall 
consist of:
    (A) A designation of whether the applicant is the renewal claimant, 
or a successor or assignee, or the duly authorized agent of such 
claimant or of such successor or assignee (whose identity shall also be 
given);
    (B) The typed, printed, or handwritten signature of such claimant, 
successor or assignee, or agent, accompanied by the typed or printed 
name of that person if the signature is handwritten;
    (C) A declaration that the statements made in the application are 
correct to the best of that person's knowledge; and
    (D) The date of certification.
    (3) Once a renewal registration has been made, the Copyright Office 
will

[[Page 684]]

not accept another application for renewal registration on behalf of the 
same renewal claimant.
    (h) Renewal with addendum registration for an unregistered work--(1) 
General. For published works copyrighted from January 1, 1964, through 
December 31, 1977, where no registration was made during the original 
term of copyright and where renewal registration is sought during the 
67-year renewal term, the Form RE/Addendum must be used to provide 
information concerning the original term of copyright. The Form RE/
Addendum requires a separate fee and the deposit of one copy or 
phonorecord of the work as first published (or identifying material in 
lieu of a copy or phonorecord). The effective date of registration for a 
renewal claim submitted on a Form RE/Addendum is the date the Copyright 
Office receives an acceptable completed application, the required fees, 
and an acceptable deposit for the work.
    (2) Time Limits. A renewal claim accompanied by an Addendum to Form 
RE may be filed at any time during the 67-year renewal term.
    (3) Content. The Form RE/Addendum must contain the following 
information:
    (i) The title of the work;
    (ii) The name of the author(s);
    (iii) The date of first publication of the work;
    (iv) The nation of first publication of the work;
    (v) The citizenship of the author(s) on the date of first 
publication of the work;
    (vi) The domicile of the author(s) on the date of first publication 
of the work;
    (vii) An averment that, at the time of first publication, and 
thereafter until March 1, 1989 (effective date of the Berne 
Implementation Act of 1988), all the copies or phonorecords of the work, 
including reprints of the work, published, i.e., publicly distributed in 
the United States or elsewhere, under the authority of the author or 
other copyright proprietor, bore the copyright notice required by the 
Copyright Act of 1909 and that United States copyright subsists in the 
work;
    (viii) For works of United States origin which were subject to the 
manufacturing provisions of section 16 of the Copyright Act of 1909 as 
it existed at the time the work was published, the Form RE/Addendum must 
also contain information about the country of manufacture and the 
manufacturing processes; and
    (ix) The handwritten signature of the renewal claimant or successor 
or assignee, or the duly authorized agent of the claimant or of the 
successor or assignee. The signature shall be accompanied by the printed 
or typewritten name of the person signing the Addendum and by the date 
of the signature; and shall be immediately preceded by a declaration 
that the statements made in the application are correct to the best of 
that person's knowledge.
    (4) Fees. Form RE and Form RE/Addendum must be accompanied by the 
required fee for each form as required in 37 CFR 201.3.
    (5) Deposit requirement. One copy or phonorecord or identifying 
material of the work as first published in accordance with the deposit 
requirements set out in 37 CFR 202.20 and 202.21 is required.
    (6) Waiver of the deposit requirement. Where the renewal applicant 
asserts that it is either impossible or otherwise an undue hardship to 
satisfy the deposit requirements of 37 CFR 202.20 and 202.21, the 
Copyright Office, at its discretion, may, upon receipt of an acceptable 
explanation of the inability to submit such copy or identifying 
material, permit the deposit of the following in descending order of 
preference. In every case, however, proof of the copyright notice 
showing the content and location of the notice as it appeared on copies 
or phonorecords of the work as first published must be included.
    (i) A reproduction of the entire work as first published (e.g., 
photocopy, videotape, audiotape, CD-ROM, DVD are examples of physical 
media which may hold reproductions of a work as first published). If the 
work is a contribution to a periodical, a reproduction of only the 
contribution (including the relevant copyright notice) will suffice.
    (ii) A reprint of the work (e.g., a later edition, a later release 
of a phonorecord, or the like). The reprint must

[[Page 685]]

show the copyright notice as it appeared in the same location within the 
first published copy of the work as well as the exact content of the 
copyright notice appearing in the first published edition. If the 
copyrightable content of the reprint differs from that of the first 
published edition, an explanation of the differences between the two 
editions is required.
    (iii) Identifying material including a reproduction of the greatest 
feasible portion of the copyrightable content of a work including a 
photocopy or photograph of the title page, title screen, record label or 
the like, as first published, and a photocopy or photograph showing the 
copyright notice content and location as first published. The Copyright 
Office may request deposit of additional material if the initial 
submission is inadequate for examination purposes.

[72 FR 61803, Nov. 1, 2007, as amended at 73 FR 37839, July 2, 2008; 78 
FR 42875, July 18, 2013; 82 FR 9360, Feb. 6, 2017; 83 FR 66629, Dec. 27, 
2018; 85 FR 19668, Apr. 8, 2020]



Sec.202.18  Access to electronic works.

    (a) Access to electronic works received under Sec.202.4(e) and 
Sec.202.19, and transferred into the Library of Congress's 
collections, will be available only to authorized users at Library of 
Congress premises in accordance with the policies listed below. Library 
staff may access such content off-site as part of their assigned duties 
via a secure connection.
    (b) Access to each individual electronic work received under Sec.
202.4(e) and Sec.202.19 will be limited, at any one time, to two 
Library of Congress authorized users via a secure server over a secure 
network that serves Library of Congress premises.
    (c) The Library of Congress will not make electronic works received 
under Sec.202.4(e) and Sec.202.19 available to the public over the 
internet without rightsholders' permissions.
    (d) ``Authorized user'' means Library of Congress staff, 
contractors, and registered researchers, and Members, staff and officers 
of the U.S. House of Representatives and the U.S. Senate for the 
purposes of this section.
    (e) ``Library of Congress premises'' means all Library of Congress 
premises in Washington, DC, and the Library of Congress Packard Campus 
for Audio-Visual Conservation in Culpeper, VA.
    (f) Except as provided under special relief agreements entered into 
pursuant to Sec.202.19(e) or Sec.202.20(d), electronic works will be 
transferred to the Library of Congress for its collections and made 
available only under the conditions specified by this section.

[83 FR 4147, Jan. 30, 2018, as amended at 85 FR 71837, Nov. 12, 2020]



Sec.202.19  Deposit of published copies or phonorecords for the
Library of Congress.

    (a) General. This section prescribes rules pertaining to the deposit 
of copies and phonorecords of published works for the Library of 
Congress under section 407 of title 17 of the United States Code. The 
provisions of this section are not applicable to the deposit of copies 
and phonorecords for purposes of copyright registration under section 
408 of title 17, except as expressly adopted in Sec.202.20.
    (b) Definitions. For the purposes of this section:
    (1)(i) The best edition of a work is the edition, published in the 
United States at any time before the date of deposit, that the Library 
of Congress determines to be most suitable for its purposes. The ``best 
edition'' requirement is described in detail at Appendix B to this part.
    (ii) Criteria for selection of the ``best edition'' from among two 
or more published editions of the same version of the same work are set 
forth in the statement entitled ``Best Edition of Published Copyrighted 
Works for the Collections of the Library of Congress'' (hereafter 
referred to as the ``Best Edition Statement'') in effect at the time of 
deposit.
    (iii) Where no specific criteria for the selection of the ``best 
edition'' are established in the Best Edition Statement, that edition 
which, in the judgment of the Library of Congress, represents the 
highest quality for its purposes shall be considered the ``best 
edition.'' In such cases:
    (A) When the Copyright Office is aware that two or more editions of 
a work have been published it will consult with other appropriate 
officials of

[[Page 686]]

the Library of Congress to obtain instructions as to the ``best 
edition'' and (except in cases for which special relief is granted) will 
require deposit of that edition; and
    (B) When a potential depositor is uncertain which of two or more 
published editions comprises the ``best edition'', inquiry should be 
made to the Copyright Acquisitions Division.
    (iv) Where differences between two or more ``editions'' of a work 
represent variations in copyrightable content, each edition is 
considered a separate version, and hence a different work, for the 
purpose of this section, and criteria of ``best edition'' based on such 
differences do not apply.
    (2) A complete copy includes all elements comprising the unit of 
publication of the best edition of the work, including elements that, if 
considered separately, would not be copyrightable subject matter or 
would otherwise be exempt from the mandatory deposit requirement under 
paragraph (c) of this section.
    (i) In the case of sound recordings, a ``complete'' phonorecord 
includes the phonorecord, together with any printed or other visually 
perceptible material published with such phonorecord (such as textual or 
pictorial matter appearing on record sleeves or album covers, or 
embodied in leaflets or booklets included in a sleeve, album, or other 
container).
    (ii) In the case of a musical composition published in copies only, 
or in both copies and phonorecords:
    (A) If the only publication of copies in the United States took 
place by the rental, lease, or lending of a full score and parts, a full 
score is a ``complete'' copy; and
    (B) If the only publication of copies in the United States took 
place by the rental, lease, or lending of a conductor's score and parts, 
a conductor's score is a ``complete'' copy.
    (iii) In the case of a motion picture, a copy is ``complete'' if the 
reproduction of all of the visual and aural elements comprising the 
copyrightable subject matter in the work is clean, undamaged, 
undeteriorated, and free of splices, and if the copy itself and its 
physical housing are free of any defects that would interfere with the 
performance of the work or that would cause mechanical, visual, or 
audible defects or distortions.
    (iv) In the case of an electronic work published in the United 
States and available only online, a copy is ``complete'' if it includes 
all elements constituting the work in its published form, i.e., the 
complete work as published, including metadata and formatting codes 
otherwise exempt from mandatory deposit.
    (3) The terms architectural works, copies, collective work, device, 
fixed, literary work, machine, motion picture, phonorecord, publication, 
sound recording, useful article, and their variant forms, have the 
meanings given to them in 17 U.S.C. 101.
    (4) For purposes of paragraph (c)(5) of this section:
    (i) An electronic-only serial is a serial as defined in Sec.
202.3(b)(1)(v) that is published in electronic form in the United States 
and available only online.
    (ii) An electronic-only book is an electronic literary work 
published in one volume or a finite number of volumes published in the 
United States and available only online. This class excludes literary 
works distributed solely in phonorecords (e.g., audiobooks), serials (as 
defined in Sec.202.3(b)(1)(v)), computer programs, websites, blogs, 
emails, and short online literary works such as social media posts.
    (iii) A work shall be deemed to be available only online even if 
copies have been made available to individual consumers or other end 
users to print on demand, so long as the work is otherwise available 
only online. A work also shall be deemed to be available only online 
even if copies have been loaded onto electronic devices, such as tablets 
or e-readers, in advance of sale to individual consumers, so long as the 
work is otherwise available only online.
    (5) The term literary monograph means a literary work published in 
one volume or a finite number of volumes. This category does not include 
serials, nor does it include legal publications that are published in 
one volume or a finite number of volumes that contain legislative 
enactments, judicial decisions, or other edicts of government.

[[Page 687]]

    (c) Exemptions from deposit requirements. The following categories 
of material are exempt from the deposit requirements of section 407(a) 
of title 17:
    (1) Diagrams and models illustrating scientific or technical works 
or formulating scientific or technical information in linear or three-
dimensional form, such as an architectural or engineering blueprint, 
plan, or design, a mechanical drawing, or an anatomical model.
    (2) Greeting cards, picture postcards, and stationery.
    (3) Lectures, sermons, speeches, and addresses when published 
individually and not as a collection of the works of one or more 
authors.
    (4) Literary, dramatic, and musical works published only as embodied 
in phonorecords. This category does not exempt the owner of copyright, 
or of the exclusive right of publication, in a sound recording resulting 
from the fixation of such works in a phonorecord from the applicable 
deposit requirements for the sound recording.
    (5) Electronic works published in the United States and available 
only online. This exemption includes electronic-only books and 
electronic serials available only online only until such time as a 
demand is issued by the Copyright Office under the regulations set forth 
in Sec.202.24. This exemption does not apply to works that are 
published in both online, electronic formats and in physical formats, 
which remain subject to the appropriate mandatory deposit requirements.
    (6) Three-dimensional sculptural works, and any works published only 
as reproduced in or on jewelry, dolls, toys, games, plaques, floor 
coverings, wallpaper and similar commercial wall coverings, textiles and 
other fabrics, packaging material, or any useful article. Globes, relief 
models, and similar cartographic representations of area are not within 
this category and are subject to the applicable deposit requirements.
    (7) Prints, labels, and other advertising matter, including 
catalogs, published in connection with the rental lease, lending, 
licensing, or sale of articles of merchandise, works of authorship, or 
services.
    (8) Tests, and answer material for tests when published separately 
from other literary works.
    (9) Works first published as individual contributions to collective 
works. This category does not exempt the owner of copyright, or of the 
exclusive right of publication, in the collective work as a whole, from 
the applicable deposit requirements for the collective work.
    (10) Works first published outside the United States and later 
published in the United States without change in copyrightable content, 
if:
    (i) Registration for the work was made under 17 U.S.C. 408 before 
the work was published in the United States; or
    (ii) Registration for the work was made under 17 U.S.C. 408 after 
the work was published in the United States but before a demand for 
deposit is made under 17 U.S.C. 407(d).
    (11) Works published only as embodied in a soundtrack that is an 
integral part of a motion picture. This category does not exempt the 
owner of copyright, or of the exclusive right of publication, in the 
motion picture, from the applicable deposit requirements for the motion 
picture.
    (12) Motion pictures that consist of television transmission 
programs and that have been published, if at all, only by reason of a 
license or other grant to a nonprofit institution of the right to make a 
fixation of such programs directly from a transmission to the public, 
with or without the right to make further uses of such fixations.
    (d) Nature of required deposit. (1) Subject to the provisions of 
paragraph (d)(2) of this section, the deposit required to satisfy the 
provisions of section 407(a) of title 17 shall consist of:
    (i) In the case of published works other than sound recordings, two 
complete copies of the best edition; and
    (ii) In the case of published sound recordings, two complete 
phonorecords of the best edition.
    (2) In the case of certain published works not exempt from deposit 
requirements under paragraph (c) of this section, the following special 
provisions shall apply:

[[Page 688]]

    (i) In the case of published three-dimensional cartographic 
representations of area, such as globes and relief models, the deposit 
of one complete copy of the best edition of the work will suffice in 
lieu of the two copies required by paragraph (d)(1) of this section.
    (ii) In the case of published motion pictures, the deposit of one 
complete copy of the best edition of the work will suffice in lieu of 
the two copies required by paragraph (d)(1) of this section. Any deposit 
of a published motion picture must be accompanied by a separate 
description of its contents, such as a continuity, pressbook, or 
synopsis. The Library of Congress may, at its sole discretion, enter 
into an agreement permitting the return of copies of published motion 
pictures to the depositor under certain conditions and establishing 
certain rights and obligations of the Library with respect to such 
copies. In the event of termination of such an agreement by the Library 
it shall not be subject to reinstatement, nor shall the depositor or any 
successor in interest of the depositor be entitled to any similar or 
subsequent agreement with the Library, unless at the sole discretion of 
the Library it would be in the best interests of the Library to 
reinstate the agreement or enter into a new agreement.
    (iii) In the case of any published work deposited in the form of a 
hologram, the deposit shall be accompanied by:
    (A) Two sets of precise instructions for displaying the image fixed 
in the hologram; and
    (B) Two sets of identifying material in compliance with Sec.202.21 
and clearly showing the displayed image.
    (iv) In any case where an individual author is the owner of 
copyright in a published pictorial or graphic work and:
    (A) Less than five copies of the work have been published; or
    (B) The work has been published and sold or offered for sale in a 
limited edition consisting of no more than three hundred numbered 
copies, the deposit of one complete copy of the best edition of the work 
or, alternatively, the deposit of photographs or other identifying 
material in compliance with Sec.202.21, will suffice in lieu of the 
two copies required by paragraph (d)(1) of this section.
    (v) In the case of a musical composition published solely in copies, 
or in both copies and phonorecords, the deposit of one complete copy of 
the best edition will suffice in lieu of the two copies required by 
paragraph (d)(1) of this section.
    (vi) In the case of published multimedia kits that include literary 
works, audiovisual works, sound recordings, or any combination of such 
works, the deposit of one complete copy of the best edition will suffice 
in lieu of the two copies required by paragraph (d)(1) of this section.
    (vii) In the case of published computer programs and published 
computerized information works, such as statistical compendia, serials, 
and reference works that are not copy-protected, the deposit of one 
complete copy of the best edition as specified in the current Library of 
Congress Best Edition Statement will suffice in lieu of the two copies 
required by paragraph (d)(1) of this section. If the works are copy-
protected, two copies of the best edition are required.
    (viii) In the case of published architectural works, the deposit 
shall consist of the most finished form of presentation drawings in the 
following descending order of preference:
    (A) Original format, or best quality form of reproduction, including 
offset or silk screen printing;
    (B) Xerographic or photographic copies on good quality paper;
    (C) Positive photostat or photodirect positive;
    (D) Blue line copies (diazo or ozalid process). If photographs are 
submitted, they should be 8 x 10 inches and should clearly show several 
exterior and interior views. The deposit should disclose the name(s) of 
the architect(s) and draftsperson(s) and the building site.
    (ix) In the case of published literary monographs, the deposit of 
one complete copy of the best edition of the work will suffice in lieu 
of the two copies required by paragraph (d)(1) of this section, unless 
the Copyright Office issues a demand for a second copy pursuant to 17 
U.S.C. 407(d).

[[Page 689]]

    (x) In the case of published newspapers, a deposit submitted 
pursuant to and in compliance with the group registration option under 
Sec.202.4(e) shall be deemed to satisfy the mandatory deposit 
obligation under this section.
    (xi) In the case of serials (as defined in Sec.202.3(b)(1)(v), but 
excluding newspapers) published in the United States in a physical 
format, or in both a physical and an electronic format, the copyright 
owner or the owner of the exclusive right of publication must provide 
the Library of Congress with two complimentary subscriptions to the 
serial, unless the Copyright Acquisitions Division informs the owner 
that the serial is not needed for the Library's collections. 
Subscription copies must be physically mailed to the Copyright Office, 
at the address for mandatory deposit copies specified in Sec.201.1(c) 
of this chapter, promptly after the publication of each issue, and the 
subscription(s) must be maintained on an ongoing basis. The owner may 
cancel the subscription(s) if the serial is no longer published by the 
owner, if the serial is no longer published in the United States in a 
physical format, or if the Copyright Acquisitions Division informs the 
owner that the serial is no longer needed for the Library's collections. 
In addition, prior to commencing the subscriptions, the owner must send 
a letter to the Copyright Acquisitions Division at the address specified 
in Sec.201.1(b) of this chapter confirming that the owner will provide 
the requested number of subscriptions for the Library of Congress. The 
letter must include the name of the publisher, the title of the serial, 
the International Standard Serial Number (``ISSN'') that has been 
assigned to the serial (if any), and the issue date and the numerical or 
chronological designations that appear on the first issue that will be 
provided under the subscriptions.
    (e) Special relief. (1) In the case of any published work not exempt 
from deposit under paragraph (c) of this section, the Register of 
Copyrights may, after consultation with other appropriate officials of 
the Library of Congress and upon such conditions as the Register may 
determine after such consultation:
    (i) Grant an exemption from the deposit requirements of section 
407(a) of title 17 on an individual basis for single works or series or 
groups of works; or
    (ii) Permit the deposit of one copy or phonorecord, or alternative 
identifying material, in lieu of the two copies or phonorecords required 
by paragraph (d)(1) of this section; or
    (iii) Permit the deposit of incomplete copies or phonorecords, or 
copies or phonorecords other than those normally comprising the best 
edition; or
    (iv) Permit the deposit of identifying material which does not 
comply with Sec.202.21.
    (2) Any decision as to whether to grant such special relief, and the 
conditions under which special relief is to be granted, shall be made by 
the Register of Copyrights after consultation with other appropriate 
officials of the Library of Congress, and shall be based upon the 
acquisition policies of the Library of Congress then in force.
    (3) Requests for special relief under this paragraph shall be made 
in writing to the Associate Register of Copyrights and Director of the 
Office of Registration Policy and Practice, shall be signed by or on 
behalf of the owner of copyright or of the exclusive right of 
publication in the work, and shall set forth specific reasons why the 
request should be granted.
    (4) The Register of Copyrights may, after consultation with other 
appropriate officials of the Library of Congress, terminate any ongoing 
or continuous grant of special relief. Notice of termination shall be 
given in writing and shall be sent to the individual person or 
organization to whom the grant of special relief had been given, at the 
last address shown in the records of the Copyright Office. A notice of 
termination may be given at any time, but it shall state a specific date 
of termination that is at least 30 days later than the date the notice 
is mailed. Termination shall not affect the validity of any deposit made 
earlier under the grant of special relief.
    (f) Submission and receipt of copies and phonorecords. (1) All 
copies and

[[Page 690]]

phonorecords deposited in the Copyright Office will be considered to be 
deposited only in compliance with section 407 of title 17 unless they 
are accompanied by an application for registration of a claim to 
copyright in the work represented by the deposit, and either a 
registration fee or a deposit account number. Copies or phonorecords 
deposited without such an accompanying application and either a fee or a 
deposit account notation will not be connected with or held for receipt 
of separate applications, and will not satisfy the deposit provisions of 
section 408 of title 17 or Sec.202.20.
    (2) All copies and phonorecords deposited in the Copyright Office 
under section 407 of title 17, unless accompanied by written 
instructions to the contrary, will be considered to be deposited by the 
person or persons named in the copyright notice on the work.
    (3) Upon request by the depositor made at the time of the deposit, 
the Copyright Office will issue a certificate of receipt for the deposit 
of copies or phonorecords of a work under this section. Certificates of 
receipt will be issued in response to requests made after the date of 
deposit only if the requesting party is identified in the records of the 
Copyright Office as having made the deposit. In either case, requests 
for a certificate of receipt must be in writing and accompanied by the 
appropriate fee, as required in Sec.201.3(c). A certificate of receipt 
will include identification of the depositor, the work deposited, and 
the nature and format of the copy or phonorecord deposited, together 
with the date of receipt.

[51 FR 6403, Feb. 24, 1986, as amended at 54 FR 42299, Oct. 16, 1989; 56 
FR 47403, Sept. 19, 1991; 56 FR 59885, Nov. 26, 1991; 57 FR 45310, Oct. 
1, 1992; 60 FR 34168, June 30, 1995; 64 FR 29522, June 1, 1999; 64 FR 
62978, Nov. 18, 1999; 66 FR 34373, June 28, 2001; 73 FR 37839, July 2, 
2008; 75 FR 3869, Jan. 25, 2010; 82 FR 9360, Feb. 6, 2017; 83 FR 2372, 
Jan. 17, 2018; 83 FR 4147, Jan. 30, 2018; 83 FR 25375, June 1, 2018; 83 
FR 61550, Nov. 30, 2018; 85 FR 71837, Nov. 12, 2020]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.202.19 was 
amended by removing ``the Copyright Acquisitions Division'' from each 
place it appears and adding in its place ``Acquisitions and Deposits'', 
effective July 22, 2021.



Sec.202.20  Deposit of copies and phonorecords for copyright 
registration.

    (a) General. This section prescribes rules pertaining to the deposit 
of copies and phonorecords of published and unpublished works for the 
purpose of copyright registration under section 408 of title 17 of the 
United States Code. The provisions of this section are not applicable to 
the deposit of copies and phonorecords for the Library of Congress under 
section 407 of title 17, except as expressly adopted in Sec.202.19.
    (b) Definitions. For the purposes of this section:
    (1) The best edition of a work has the meaning set forth in Sec.
202.19(b)(1). For purposes of this section, if a work is first published 
in both hard copy, i.e., in a physically tangible format, and also in an 
electronic format, the current Library of Congress Best Edition 
Statement requirements pertaining to the hard copy format apply.
    (2) A complete copy or phonorecord means the following:
    (i) Unpublished works. Subject to the requirements of paragraph 
(b)(2)(vii) of this section, a ``complete'' copy or phonorecord of an 
unpublished work is a copy or phonorecord representing the entire 
copyrightable content of the work for which registration is sought;
    (ii) Published works. Subject to the requirements of paragraphs 
(b)(2)(iv) through (vii) of this section, a ``complete'' copy or 
phonorecord of a published work includes all elements comprising the 
applicable unit of publication of the work, including elements that, if 
considered separately, would not be copyrightable subject matter. 
However, even where certain physically separable elements included in 
the applicable unit of publication are missing from the deposit, a copy 
or phonorecord will be considered ``complete'' for purposes of 
registration where:
    (A) The copy or phonorecord deposited contains all parts of the work 
for which copyright registration is sought; and
    (B) The removal of the missing elements did not physically damage 
the copy or phonorecord or garble its contents; and
    (C) The work is exempt from the mandatory deposit requirements under

[[Page 691]]

section 407 of title 17 of the United States Code and Sec.202.19(c) of 
these regulations, or the copy deposited consists entirely of a 
container, wrapper, or holder, such as an envelope, sleeve, jacket, 
slipcase, box, bag, folder, binder, or other receptacle acceptable for 
deposit under paragraph (c)(2) of this section;
    (iii) Works submitted for registration in digital formats. A 
``complete'' electronically filed work is one which is embodied in a 
digital file which contains:
    (A) If the work is unpublished, all authorship elements for which 
registration is sought; and
    (B) If the work is published solely in an electronic format, all 
elements constituting the work in its published form, i.e., the complete 
work as published, including metadata and authorship for which 
registration is not sought. Publication in an electronic only format 
requires submission of the digital file(s) in exact first-publication 
form and content.
    (C) For works submitted electronically, any of the following file 
formats are acceptable for registration: PDF, TXT, WPD, DOC, TIF, SVG, 
JPG, XML, HTML, WAV, and MPEG family of formats, including MP3. This 
list of file formats is non-exhaustive and it may change, or be added to 
periodically. Changes will be noted in the list of acceptable formats on 
the Copyright Office website.
    (D) Contact with the registration applicant may be necessary if the 
Copyright Office cannot access, view, or examine the content of any 
particular digital file that has been submitted for the registration of 
a work. For purposes of 17 U.S.C. 410(d), a deposit has not been 
received in the Copyright Office until a copy that can be reviewed by 
the Office is received.
    (iv) Contributions to collective works. In the case of a published 
contribution to a collective work, a ``complete'' copy is one complete 
copy of the best edition of the entire collective work, the complete 
section containing the contribution if published in a newspaper, the 
contribution cut from the paper in which it appeared, or a photocopy of 
the contribution itself as it was published in the collective work.
    (v) Sound recordings. In the case of published sound recordings, a 
``complete'' phonorecord has the meaning set forth in Sec.
202.19(b)(2)(i).
    (vi) Musical scores. In the case of a musical composition published 
in copies only, or in both copies and phonorecords:
    (A) If the only publication of copies took place by the rental, 
lease, or lending of a full score and parts, a full score is a 
``complete'' copy; and
    (B) If the only publication of copies took place by the rental, 
lease, or lending of a conductor's score and parts, a conductor's score 
is a ``complete'' copy.
    (vii) Motion pictures. In the case of a published or unpublished 
motion picture, a copy is ``complete'' if the reproduction of all of the 
visual and aural elements comprising the copyrightable subject matter in 
the work is clean, undamaged, undeteriorated, and free of splices, and 
if the copy itself and its physical housing are free of any defects that 
would interfere with the performance of the work or that would cause 
mechanical, visual, or audible defects or distortions.
    (3) The terms secure test and literary monograph have the meanings 
set forth in Sec. Sec.202.13(b) and 202.19(b)(5).
    (4) For the purposes of determining the applicable deposit 
requirements under this section only, the following shall be considered 
unpublished motion pictures: motion pictures that consist of television 
transmission programs and that have been published, if at all, only by 
reason of a license or other grant to a nonprofit institution of the 
right to make a fixation of such programs directly from a transmission 
to the public, with or without the right to make further uses of such 
fixations.
    (c) Nature of required deposit. (1) Subject to the provisions of 
paragraph (c)(2) of this section, the deposit required to accompany an 
application for registration of claim to copyright under section 408 of 
title 17 shall consist of:
    (i) In the case of unpublished works, one complete copy or 
phonorecord.
    (ii) In the case of works first published in the United States 
before January 1, 1978, two complete copies or phonorecords of the work 
as first published.

[[Page 692]]

    (iii) In the case of works first published in the United States on 
or after January 1, 1978, two complete copies or phonorecords of the 
best edition.
    (iv) In the case of works first published outside of the United 
States, one complete copy or phonorecord of the work either as first 
published or of the best edition. For purposes of this section, any 
works simultaneously first published within and outside of the United 
States shall be considered to be first published in the United States.
    (2) In the case of certain works, the special provisions set forth 
in this clause shall apply. In any case where this clause specifies that 
one copy or phonorecord may be submitted, that copy or phonorecord shall 
represent the best edition, or the work as first published, as set forth 
in paragraph (c)(1) of this section.
    (i) General. In the following cases the deposit of one complete copy 
or phonorecord will suffice in lieu of two copies or phonorecords:
    (A) Published three-dimensional cartographic representations of 
area, such as globes and relief models.
    (B) Published diagrams illustrating scientific or technical works or 
formulating scientific or technical information in linear or other two-
dimensional form, such as an architectural or engineering blueprint, or 
a mechanical drawing.
    (C) Published greeting cards, picture postcards, and stationery.
    (D) Lectures, sermons, speeches, and addresses published 
individually and not as a collection of the works of one or more 
authors.
    (E) Musical compositions published solely in copies or in both 
copies and phonorecords, provided that one complete copy (rather than a 
phonorecord) is deposited.
    (F) Published multimedia kits or any part thereof.
    (G) Works exempted from the requirement of depositing identifying 
material under paragraph (c)(2)(xi)(B) of this section.
    (H) Literary, dramatic, and musical works published only as embodied 
in phonorecords, although this category does not exempt the owner of 
copyright in a sound recording.
    (I) Choreographic works, pantomimes, literary, dramatic, and musical 
works published only as embodied in motion pictures.
    (J) Published works in the form of two-dimensional games, decals, 
fabric patches or emblems, calendars, instructions for needle work, 
needle work and craft kits.
    (K) Works reproduced on three-dimensional containers such as boxes, 
cases, and cartons.
    (L) Published literary monographs.
    (M) Architectural works, for which the deposit must comply with the 
requirements set forth in Sec.202.11.
    (ii) Motion pictures. In the case of published or unpublished motion 
pictures, the deposit of one complete copy will suffice. The deposit of 
a copy or copies for any published or unpublished motion picture must be 
accompanied by a separate description of its contents, such as a 
continuity, pressbook, or synopsis. In any case where the deposit copy 
or copies required for registration of a motion picture cannot be viewed 
for examining purposes on equipment in the Registration Program of the 
Copyright Office, the description accompanying the deposit must comply 
with Sec.202.21(h). The Library of Congress may, at its sole 
discretion, enter into an agreement permitting the return of copies of 
published motion pictures to the depositor under certain conditions and 
establishing certain rights and obligations of the Library of Congress 
with respect to such copies. In the event of termination of such an 
agreement by the Library, it shall not be subject to reinstatement, nor 
shall the depositor or any successor in interest of the depositor be 
entitled to any similar or subsequent agreement with the Library, unless 
at the sole discretion of the Library it would be in the best interests 
of the Library to reinstate the agreement or enter into a new agreement. 
In the case of unpublished motion pictures (including television 
transmission programs that have been fixed and transmitted to the 
public, but have not been published), the deposit of identifying 
material in compliance with Sec.202.21 may be made and will suffice in 
lieu of an actual copy. In the case of colorized versions of motion

[[Page 693]]

pictures made from pre-existing black and white motion pictures, in 
addition to the deposit of one complete copy of the colorized motion 
picture and the separate description of its contents as specified above, 
the deposit shall consist of one complete print of the black and white 
version of the motion picture from which the colorized version was 
prepared. If special relief from this requirement is requested and 
granted, the claimant shall make a good faith effort to deposit the best 
available, near-archival quality black and white print, as a condition 
of any grant of special relief.
    (iii) Holograms. In the case of any work deposited in the form of a 
three-dimensional hologram, the copy or copies shall be accompanied by:
    (A) Precise instructions for displaying the image fixed in the 
hologram; and
    (B) Photographs or other identifying material complying with Sec.
202.21 and clearly showing the displayed image.

The number of sets of instructions and identifying material shall be the 
same as the number of copies required. In the case of a work in the form 
of a two-dimensional hologram, the image of which is visible without the 
use of a machine or device, one actual copy of the work shall be 
deposited.
    (iv) Certain pictorial and graphic works. In the case of any 
unpublished pictorial or graphic work, deposit of identifying material 
in compliance with Sec.202.21 may be made and will suffice in lieu of 
deposit of an actual copy. In the case of a published pictorial or 
graphic work, deposit of one complete copy, or of identifying material 
in compliance with Sec.202.21 , may be made and will suffice in lieu 
of deposit of two actual copies where an individual author is the owner 
of copyright, and either:
    (A) Less than five copies of the work have been published; or
    (B) The work has been published and sold or offered for sale in a 
limited edition consisting of no more than 300 numbered copies.
    (v) Commercial prints and labels. In the case of prints, labels, and 
other advertising matter, including catalogs, published in connection 
with the rental, lease, lending, licensing, or sale of articles of 
merchandise, works of authorship, or services, the deposit of one 
complete copy will suffice in lieu of two copies. Where the print or 
label is published in a larger work, such as a newspaper or other 
periodical, one copy of the entire page or pages upon which it appears 
may be submitted in lieu of the entire larger work. In the case of 
prints or labels physically inseparable from a three-dimensional object, 
identifying material complying with Sec.202.21 must be submitted 
rather than an actual copy or copies except under the conditions of 
paragraph (c)(2)(xi)(B)(4) of this section.
    (vi) Tests. In the case of tests, and answer material for tests, 
published separately from other literary works, the deposit of one 
complete copy will suffice in lieu of two copies. In the case of any 
secure test the applicant may submit identifying material in lieu of one 
complete copy if the conditions set forth in Sec.202.13(c) have been 
met.
    (vii) Computer programs and databases embodied in machine-readable 
copies other than CD-ROM format. In cases where a computer program, 
database, compilation, statistical compendium, or the like, if 
unpublished is fixed, or if published is published only in the form of 
machine-readable copies (such as magnetic tape or disks, punched cards, 
semiconductor chip products, or the like) other than a CD-ROM format, 
from which the work cannot ordinarily be perceived except with the aid 
of a machine or device, the deposit shall consist of:
    (A) For published or unpublished computer programs, one copy of 
identifying portions of the program, reproduced in a form visually 
perceptible without the aid of a machine or device, either on paper or 
in microform. For these purposes ``identifying portions'' shall mean one 
of the following:
    (1) The first and last 25 pages or equivalent units of the source 
code if reproduced on paper, or at least the first and last 25 pages or 
equivalent units of the source code if reproduced in microform, together 
with the page or equivalent unit containing the copyright notice, if 
any. If the program is 50 pages or less, the required deposit will be 
the entire source code. In the case of revised versions of computer 
programs,

[[Page 694]]

if the revisions occur throughout the entire program, the deposit of the 
page containing the copyright notice and the first and last 25 pages of 
source code will suffice; if the revisions do not occur in the first and 
last 25 pages, the deposit should consist of the page containing the 
copyright notice and any 50 pages of source code representative of the 
revised material; or
    (2) Where the program contains trade secret material, the page or 
equivalent unit containing the copyright notice, if any, plus one of the 
following: the first and last 25 pages or equivalent units of source 
code with portions of the source code containing trade secrets blocked-
out, provided that the blocked-out portions are proportionately less 
than the material remaining, and the deposit reveals an appreciable 
amount of original computer code; or the first and last 10 pages or 
equivalent units of source code alone with no blocked-out portions; or 
the first and last 25 pages of object code, together with any 10 or more 
consecutive pages of source code with no blocked-out portions; or for 
programs consisting of, or less than, 50 pages or equivalent units, the 
entire source code with the trade secret portions blocked-out, provided 
that the blocked-out portions are proportionately less than the material 
remaining, and the remaining portion reveals an appreciable amount of 
original computer code. If the copyright claim is in a revision not 
contained in the first and last 25 pages, the deposit shall consist of 
either 20 pages of source code representative of the revised material 
with no blocked-out portions, or any 50 pages of source code 
representative of the revised material with portions of the source code 
containing trade secrets blocked-out, provided that the blocked-out 
portions are proportionately less than the material remaining and the 
deposit reveals an appreciable amount of original computer code. 
Whatever method is used to block out trade secret material, at least an 
appreciable amount of original computer code must remain visible.
    (B) Where registration of a program containing trade secrets is made 
on the basis of an object code deposit the Copyright Office will make 
registration under its rule of doubt and warn that no determination has 
been made concerning the existence of copyrightable authorship.
    (C) Where the application to claim copyright in a computer program 
includes a specific claim in related computer screen displays, the 
deposit, in addition to the identifying portions specified in paragraph 
(c)(2)(vii)(A) of this section, shall consist of:
    (1) Visual reproductions of the copyrightable expression in the form 
of printouts, photographs, or drawings no smaller than 3 x 3 inches and 
no larger than 9 x 12 inches; or
    (2) If the authorship in the work is predominantly audiovisual, a 
one-half inch VHS format videotape reproducing the copyrightable 
expression, except that printouts, photographs, or drawings no smaller 
than 3 x 3 inches and no larger than 9 x 12 inches must be deposited in 
lieu of videotape where the computer screen material simply constitutes 
a demonstration of the functioning of the computer program.
    (D) For published and unpublished automated databases, compilations, 
statistical compendia, and the like, so fixed or published, one copy of 
identifying portions of the work, reproduced in a form visually 
perceptible without the aid of a machine or device, either on paper or 
in microform. For these purposes:
    (1) Identifying portions shall generally mean either the first and 
last 25 pages or equivalent units of the work if reproduced on paper or 
in microform.
    (2) Datafile and file shall mean a group of data records pertaining 
to a common subject matter regardless of their size or the number of 
data items in them.
    (3) In the case of individual registration of a revised version of 
the works identified in paragraph (c)(2)(vii)(D) of this section, the 
identifying portions deposited shall contain 50 representative pages or 
data records which have been added or modified.
    (4) If the work is an automated database comprising multiple 
separate or distinct data files, ``identifying portions'' shall instead 
consist of 50 complete data records from each data file or the entire 
data file, whichever is

[[Page 695]]

less, and the descriptive statement required by paragraph 
(c)(2)(vii)(D)(5) of this section.
    (5) In the case of group registration for revised or updated 
versions of a database, the claimant shall deposit identifying portions 
that contain 50 representative pages or equivalent units, or 
representative data records which have been marked to disclose (or do in 
fact disclose solely) the new material added on one representative 
publication date if published, or on one representative creation date, 
if unpublished or in the case of applications for automated databases 
that predominantly consist of photographs, the claimant shall deposit 
identifying portions that comply with (D)(8) of this section; the 
claimant shall, also deposit a brief typed or printed descriptive 
statement containing the notice of copyright information required under 
paragraphs (c)(2)(vii)(D)(6) or (7) of this section, if the work bears a 
notice, and;
    (i) The title of the database;
    (ii) A subtitle, date of creation or publication, or other 
information, to distinguish any separate or distinct data files for 
cataloging purposes;
    (iii) The name and address of the copyright claimant;
    (iv) For each separate file, its name and content, including its 
subject, the origin(s) of the data, and the approximate number of data 
records it contains; and
    (v) In the case of revised or updated versions of an automated 
database, information as to the nature and frequency of changes in the 
database and some identification of the location within the database or 
the separate data files of the revisions.
    (6) For a copyright notice embodied in machine-readable form, the 
statement shall describe exactly the visually perceptible content of the 
notice which appears in or with the database, and the manner and 
frequency with which it is displayed (e.g., at user's terminal only at 
sign-on, or continuously on terminal display, or on printouts, etc.).
    (7) If a visually perceptible copyright notice is placed on any 
copies of the work (or on magnetic tape reels or containers therefor), a 
sample of such notice must also accompany the statement.
    (8) In the case of an application for registration of a database 
that consists predominantly of photographs (including a group 
registration for revised or updated versions of such a database), 
``identifying portions'' shall instead consist of all individual 
photographs included in the claim. Photographs must be submitted in 
digital form in one of the following formats: JPEG, GIF, or TIFF. In 
addition, the applicant must submit a sequentially numbered list 
containing the title and file name--and if the photographs have been 
published, the month and year of publication--for each photograph in the 
group. The numbered list must be contained in an electronic file in 
Excel format (.xls), Portable Document Format (PDF), or other electronic 
format approved by the Office. The file name for the list must contain 
the title of the database, and the case number assigned to the 
application by the electronic registration system, if any (e.g., ``Title 
Of Database Case Number 162883927239.xls''). The photographs and the 
numbered list may be uploaded to the electronic registration system with 
the permission and under the direction of the Visual Arts Division, 
preferably in a .zip file containing these materials. The file size for 
each uploaded file must not exceed 500 megabytes; the photographs may be 
compressed to comply with this requirement. Alternatively, the 
photographs and the numbered list may be saved on a physical storage 
device, such as a flash drive, CD-R, or DVD-R, and delivered to the 
Copyright Office together with the required shipping slip generated by 
the electronic registration system or with a paper application submitted 
on Form VA.
    (viii) Machine-readable copies of works other than computer 
programs, databases, and works fixed in a CD-ROM format. Where a 
literary, musical, pictorial, graphic, or audiovisual work, or a sound 
recording, except for works fixed in a CD-ROM format and literary works 
which are computer programs, databases, compilations, statistical 
compendia or the like, if unpublished has been fixed or, if published, 
has been published only in machine-readable

[[Page 696]]

form, the deposit must consist of identifying material. The type of 
identifying material submitted should generally be appropriate to the 
type of work embodied in machine-readable form, but in all cases should 
be that which best represents the copyrightable content of the work. In 
all cases the identifying material must include the title of the work. A 
synopsis may also be requested in addition to the other deposit 
materials as appropriate in the discretion of the Copyright Office. In 
the case of any published work subject to this section, the identifying 
material must include a representation of the copyright notice, if one 
exists. Identifying material requirements for certain types of works are 
specified below. In the case of the types of works listed below, the 
requirements specified shall apply except that, in any case where the 
specific requirements are not appropriate for a given work the form of 
the identifying material required will be determined by the Copyright 
Office in consultation with the applicant, but the Copyright Office will 
make the final determination of the acceptability of the identifying 
material.
    (A) For pictorial or graphic works, the deposit shall consist of 
identifying material in compliance with Sec.202.21.
    (B) For audiovisual works, the deposit shall consist of either a 
videotape of the work depicting representative portions of the 
copyrightable content, or a series of photographs or drawings, depicting 
representative portions of the work, plus in all cases a separate 
synopsis of the work.
    (C) For musical compositions, the deposit shall consist of a 
transcription of the entire work such as a score, or a reproduction of 
the entire work on a phonorecord.
    (D) For sound recordings, the deposit shall consist of a 
reproduction of the entire work on a phonorecord.
    (E) For literary works, the deposit shall consist of a transcription 
of representative portions of the work including the first and last 25 
pages or equivalent units, and five or more pages indicative of the 
remainder.
    (ix) Copies containing both visually-perceptible and machine-
readable material other than a CD-ROM format. Where a published literary 
work is embodied in copies containing both visually-perceptible and 
machine-readable material, except in the case of a CD-ROM format, the 
deposit shall consist of the visually-perceptible material and 
identifying portions of the machine-readable material.
    (x) Works reproduced in or on sheetlike materials. In the case of 
any unpublished work that is fixed, or any published work that is 
published, only in the form of a two-dimensional reproduction on 
sheetlike materials such as textiles and other fabrics, wallpaper and 
similar commercial wall coverings, carpeting, floor tile, and similar 
commercial floor coverings, and wrapping paper and similar packaging 
material, the deposit shall consist of one copy in the form of an actual 
swatch or piece of such material sufficient to show all elements of the 
work in which copyright is claimed and the copyright notice appearing on 
the work, if any. If the work consists of a repeated pictorial or 
graphic design, the complete design and at least part of one repetition 
must be shown. If the sheetlike material in or on which a published work 
has been reproduced has been embodied in or attached to a three-
dimensional object, such as furniture, or any other three-dimensional 
manufactured article, and the work has been published only in that form, 
the deposit must consist of identifying material complying with Sec.
202.21 instead of a copy. If the sheet-like material in or on which a 
published work has been reproduced has been embodied in or attached to a 
two-dimensional object such as wearing apparel, bed linen, or a similar 
item, and the work has been published only in that form, the deposit 
must consist of identifying material complying with Sec.202.21 instead 
of a copy unless the copy can be folded for storage in a form that does 
not exceed four inches in thickness.
    (xi) Works reproduced in or on three-dimensional objects. (A) In the 
following cases the deposit must consist of identifying material 
complying with Sec.201.21 of this chapter instead of a copy or copies:

[[Page 697]]

    (1) Any three-dimensional sculptural work, including any 
illustration or formulation of artistic expression or information in 
three-dimensional form. Examples of such works include statues, 
carvings, ceramics, moldings, constructions, models, and maquettes; and
    (2) Any two-dimensional or three-dimensional work that, if 
unpublished, has been fixed, or, if published, has been published only 
in or on jewelry, dolls, toys, games, except as provided in paragraph 
(c)(2)(xi)(B)(3) of this section, or any three-dimensional useful 
article.
    (B) In the following cases the requirements of paragraph 
(c)(2)(xi)(A) of this section for the deposit of identifying material 
shall not apply:
    (1) Three-dimensional cartographic representations of area, such as 
globes and relief models;
    (2) Works that have been fixed or published in or on a useful 
article that comprises one of the elements of the unit of publication of 
an educational or instructional kit which also includes a literary or 
audiovisual work, a sound recording, or any combination of such works;
    (3) Published games consisting of multiple parts that are packaged 
and published in a box or similar container with flat sides and with 
dimensions of no more than 12 x 24 x 6 inches;
    (4) Works reproduced on three-dimensional containers or holders such 
as boxes, cases, and cartons, where the container or holder can be 
readily opened out, unfolded, slit at the corners, or in some other way 
made adaptable for flat storage, and the copy, when flattened, does not 
exceed 96 inches in any dimension; or
    (5) Any three-dimensional sculptural work that, if unpublished, has 
been fixed, or, if published, has been published only in the form of 
jewelry cast in base metal which does not exceed four inches in any 
dimension.
    (xii) Soundtracks. For separate registration of an unpublished work 
that is fixed, or a published work that is published, only as embodied 
in a soundtrack that is an integral part of a motion picture, the 
deposit of identifying material in compliance with Sec.202.21 will 
suffice in lieu of an actual copy of the motion picture.
    (xiii) Oversize deposits. In any case where the deposit otherwise 
required by this section exceeds 96 inches in any dimension, identifying 
material complying with Sec.202.21 must be submitted instead of an 
actual copy or copies.
    (xiv) Pictorial advertising material. In the case of published 
pictorial advertising material, except for advertising material 
published in connection with motion pictures, the deposit of either one 
copy as published or prepublication material consisting of camera-ready 
copy is acceptable.
    (xv) Contributions to collective works. In the case of published 
contributions to collective works, the deposit of either one complete 
copy of the best edition of the entire collective work, the complete 
section containing the contribution if published in a newspaper, the 
entire page containing the contribution, the contribution cut from the 
paper in which it appeared, or a photocopy of the contribution itself as 
it was published in the collective work, will suffice in lieu of two 
complete copies of the entire collective work.
    (xvi) Phonorecords. In any case where the phonorecord or 
phonorecords submitted for registration of a claim to copyright is 
inaudible on audio playback devices in the Registration Program of the 
Copyright Office, the Office will seek an appropriate deposit in 
accordance with paragraph (d) of this section.
    (xvii)-(xviii) [Reserved]
    (xix) Works fixed in a CD-ROM format. (A) Where a work is fixed in a 
CD-ROM format, the deposit must consist of one complete copy of the 
entire CD-ROM package, including a complete copy of any accompanying 
operating software and instructional manual, and a printed version of 
the work embodied in the CD-ROM, if the work is fixed in print as well 
as a CD-ROM. A complete copy of a published CD-ROM package includes all 
of the elements comprising the applicable unit of publication, including 
elements that if considered separately would not be copyrightable 
subject matter or could be the subject of a separate registration.
    (B) In any case where the work fixed in a CD-ROM package cannot be 
viewed

[[Page 698]]

on equipment available in the Registration Program of the Copyright 
Office, the Office will seek an appropriate deposit in accordance with 
paragraph (d) of this section, in addition to the deposit of the CD-ROM 
package.
    (d) Special relief. (1) In any case the Register of Copyrights may, 
after consultation with other appropriate officials of the Library of 
Congress and upon such conditions as the Register may determine after 
such consultation:
    (i) Permit the deposit of one copy or phonorecord, or alternative 
identifying material, in lieu of the one or two copies or phonorecords 
otherwise required by paragraph (c)(1) of this section or;
    (ii) Permit the deposit of incomplete copies or phonorecords, or 
copies or phonorecords other than those normally comprising the best 
edition; or
    (iii) Permit the deposit of an actual copy or copies, in lieu of the 
identifying material otherwise required by this section or Sec.202.4; 
or
    (iv) Permit the deposit of identifying material which does not 
comply with Sec.202.4 or Sec.202.21.
    (2) Any decision as to whether to grant such special relief, and the 
conditions under which special relief is to be granted, shall be made by 
the Register of Copyrights after consultation with other appropriate 
officials of the Library of Congress, and shall be based upon the 
acquisition policies of the Library of Congress then in force and the 
archival and examining requirements of the Copyright Office.
    (3) Requests for special relief under this paragraph may be combined 
with requests for special relief under Sec.202.19(e). Whether so 
combined or made solely under this paragraph, such requests shall be 
made in writing to the Associate Register of Copyrights and Director of 
the Office of Registration Policy and Practice, shall be signed by or on 
behalf of the person signing the application for registration, and shall 
set forth specific reasons why the request should be granted.
    (4) The Register of Copyrights may, after consultation with other 
appropriate officials of the Library of Congress, terminate any ongoing 
or continuous grant of special relief. Notice of termination shall be 
given in writing and shall be sent to the individual person or 
organization to whom the grant of special relief had been given, at the 
last address shown in the records of the Copyright Office. A notice of 
termination may be given at any time, but it shall state a specific date 
of termination that is at least 30 days later than the date the notice 
is mailed. Termination shall not affect the validity of any deposit or 
registration made earlier under the grant of special relief.
    (e) Use of copies and phonorecords deposited for the Library of 
Congress. Copies and phonorecords deposited for the Library of Congress 
under 17 U.S.C. 407 and Sec.202.19 may be used to satisfy the deposit 
provisions of this section if they are accompanied by an application for 
registration of a claim to copyright in the work represented by the 
deposit, and either a registration fee or a deposit account number.

[51 FR 6405, Feb. 24, 1986]

    Editorial Note: For Federal Register citations affecting Sec.
202.20, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.govinfo.gov.



Sec.202.21  Deposit of identifying material instead of copies.

    (a) General. Subject to the specific provisions of paragraphs (f) 
and (g) of this section, and Sec. Sec.202.19(e)(1)(iv) and 
202.20(d)(1)(iv), in any case where the deposit of identifying material 
is permitted or required under Sec.202.19 or Sec.202.20 for 
published or unpublished works, the material shall consist of 
photographic prints, transparencies, photostats, drawings, or similar 
two-dimensional reproductions or renderings of the work, in a form 
visually perceivable without the aid of a machine or device. In the case 
of pictorial or graphic works, such material should reproduce the actual 
colors employed in the work. In all other cases, such material may be in 
black and white or may consist of a reproduction of the actual colors.
    (b) Completeness; number of sets. As many pieces of identifying 
material as are necessary to show the entire copyrightable content in 
the ordinary case, but in no case less than an adequate representation 
of such content, of the work for which deposit is being made,

[[Page 699]]

or for which registration is being sought shall be submitted. Except in 
cases falling under the provisions of Sec.202.19(d)(2)(iii) or Sec.
202.20(c)(2)(iii) with respect to holograms, only one set of such 
complete identifying material is required.
    (c) Size. Photographic transparencies must be at least 35mm in size 
and, if such transparencies are 3 x 3 inches or less, must be fixed in 
cardboard, plastic, or similar mounts to facilitate identification, 
handling, and storage. The Copyright Office prefers that transparencies 
larger than 3 x 3 inches be mounted in a way that facilitates their 
handling and preservation, and reserves the right to require such 
mounting in particular cases. All types of identifying material other 
than photographic transparencies must be not less than 3 x 3 inches and 
not more than 9 x 12 inches, but preferably 8 x 10 inches. Except in the 
case of transparencies, the image of the work must be either lifesize or 
larger, or if less than lifesize must be large enough to show clearly 
the entire copyrightable content of the work.
    (d) Title and dimensions. At least one piece of identifying material 
must, on its front, back, or mount, indicate the title of the work; and 
the indication of an exact measurement of one or more dimensions of the 
work is preferred.
    (e) Copyright notice. In the case of works published with notice of 
copyright, the notice and its position on the work must be clearly shown 
on at least one piece of identifying material. Where necessary because 
of the size or position of the notice, a separate drawing or similar 
reproduction shall be submitted. Such reproduction shall be no smaller 
than 3 x 3 inches and no larger than 9 x 12 inches, and shall show the 
exact appearance and content of the notice, and its specific position on 
the work.
    (f) For separate registration of an unpublished work that is fixed, 
or a published work that is published, only as embodied in a soundtrack 
that is an integral part of a motion picture, identifying material 
deposited in lieu of an actual copy of the motion picture shall consist 
of:
    (1) A transcription of the entire work, or a reproduction of the 
entire work on a phonorecord; and
    (2) Photographs or other reproductions from the motion picture 
showing the title of the motion picture, the soundtrack credits, and the 
copyright notice for the soundtrack, if any.

The provisions of paragraphs (b), (c), (d), and (e) of this section do 
not apply to identifying material deposited under this paragraph (f).
    (g)(1) In the case of unpublished motion pictures (including 
transmission programs that have been fixed and transmitted to the 
public, but have not been published), identifying material deposited in 
lieu of an actual copy shall consist of either:
    (i) An audio cassette or other phonorecord reproducing the entire 
soundtrack or other sound portion of the motion picture, and a 
description of the motion picture; or
    (ii) A set consisting of one frame enlargement or similar visual 
reproduction from each 10-minute segment of the motion picture, and a 
description of the motion picture.
    (2) In either case the ``description'' may be a continuity, a 
pressbook, or a synopsis but in all cases it must include:
    (i) The title or continuing title of the work, and the episode 
title, if any;
    (ii) The nature and general content of the program;
    (iii) The date when the work was first fixed and whether or not 
fixation was simultaneous with first transmission;
    (iv) The date of first transmission, if any;
    (v) The running time; and
    (vi) The credits appearing on the work, if any.
    (3) The provisions of paragraphs (b), (c), (d), and (e) of this 
section do not apply to identifying material submitted under this 
paragraph (g).
    (h) In the case where the deposit copy or copies of a motion picture 
cannot be viewed for examining purposes on equipment in the Registration 
Program of the Copyright Office, the ``description'' required by Sec.
202.20(c)(2)(ii) may be a continuity, a press-book, a synopsis, or a 
final shooting script but

[[Page 700]]

in all cases must be sufficient to indicate the copyrightable material 
in the work and include
    (1) The continuing title of the work and the episode title, if any;
    (2) The nature and general content of the program and of its 
dialogue or narration, if any;
    (3) The running time; and
    (4) All credits appearing on the work including the copyright 
notice, if any.

The provisions of paragraphs (b), (c), and (d) of this section do not 
apply to identifying material submitted under this paragraph (h).

[51 FR 6409, Feb. 24, 1986, as amended at 73 FR 37839, July 2, 2008; 82 
FR 9362, Feb. 6, 2017]



Sec.202.22  Acquisition and deposit of unpublished audio and 
audiovisual transmission programs.

    (a) General. This section prescribes rules pertaining to the 
acquisition of phonorecords and copies of unpublished audio and 
audiovisual transmission programs by the Library of Congress under 
section 407(e) of title 17 of the United States Code, as amended. It 
also prescribes rules pertaining to the use of such phonorecords and 
copies in the registration of claims to copyright, under section 408(b).
    (b) Definitions. For purposes of this section:
    (1) The terms copies, fixed, phonorecords, publication, and 
transmission program and their variant forms, have the meanings given to 
them in section 101 of title 17. The term network station has the 
meaning given it in section 111(f) of title 17. For the purpose of this 
section, the term transmission includes transmission via the Internet, 
cable, broadcasting, and satellite systems, and via any other existing 
or future devices or processes for the communication of a performance or 
display whereby images or sounds are received beyond the place from 
which they are sent.
    (2) Title 17 means title 17 of the United States Code, as amended.
    (c) Recording of transmission programs. (1) Library of Congress 
employees, including Library of Congress contractors, acting under the 
general authority of the Librarian of Congress, may make a fixation of 
an unpublished audio or audiovisual transmission program directly from a 
transmission to the public in the United States, in accordance with 
subsections 407(e)(1) and (4) of title 17 of the United States Code. The 
choice of programs selected for fixation shall be based on the Library 
of Congress's acquisition policies in effect at the time of fixation. 
Specific notice of an intent to record a transmission program will 
ordinarily not be given. In general, the Library of Congress will seek 
to record a substantial portion of the television programming 
transmitted by noncommercial educational broadcast stations as defined 
in section 397 of title 47 of the United States Code, and will record 
selected programming transmitted by commercial television broadcast 
stations, both network and independent. The Library will also record a 
selected portion of the radio programming transmitted by commercial and 
noncommercial broadcast stations. Additionally, the Library will record 
a selected portion of unpublished Internet, cable and satellite 
programming transmitted to the public in the United States.
    (2) Upon written request addressed to the Chief, Motion Picture, 
Broadcasting and Recorded Sound Division by a broadcast station or other 
owner of the right of transmission, the Library of Congress will inform 
the requestor whether a particular transmission program has been 
recorded by the Library.
    (3) The Library of Congress will not knowingly record any unfixed or 
published transmission program under the recording authority of section 
407(e) of title 17 of the United States Code.
    (4) The Library of Congress is entitled under this paragraph (c) to 
presume that a radio program transmitted to the public in the United 
States has been fixed but not published at the time of transmission, and 
that a television program transmitted to the public in the United States 
by a noncommercial educational broadcast station as defined in section 
397 of title 47 of the United States Code has been fixed but not 
published.
    (5) The presumption established by paragraph (c)(4) of this section 
may be overcome by written declaration and submission of appropriate 
documentary evidence to the Chief, Motion Picture,

[[Page 701]]

Broadcasting and Recorded Sound Division, either before or after 
recording of the particular transmission program by the Library of 
Congress. Such written submission shall contain:
    (i) The identification, by title and time of broadcast, of the 
transmission program in question;
    (ii) A brief statement declaring either that the program was not 
fixed or that it was published at the time of transmission;
    (iii) If it is declared that the program was published at the time 
of transmission, a brief statement of the facts of publication, 
including the date and place thereof, the method of publication, the 
name of the owner of the right of first publication, and whether the 
work was published in the United States; and
    (iv) The actual handwritten signature of an officer or other duly 
authorized agent of the organization which transmitted the program in 
question.
    (6) A declaration that the program was unfixed at the time of 
transmission shall be accepted by the Library of Congress, unless the 
Library can cite evidence to the contrary, and the copy or phonorecord 
will either be
    (i) Erased; or
    (ii) Retained, if requested by the owner of copyright or of any 
exclusive right, to satisfy the deposit provision of section 408 of 
title 17 of the United States Code.
    (7) If it is declared that the program was published at the time of 
transmission, the Library of Congress is entitled under this section to 
retain the copy or phonorecord to satisfy the deposit requirement of 
section 407(a) of title 17 of the United States Code.
    (8) The Library of Congress shall maintain a list of the radio, 
cable, Internet and satellite transmission programs that the Library has 
recorded on the Motion Picture, Broadcasting and Recorded Sound Division 
website at http://www.loc.gov /rr/record/ for audio transmission 
programs, or http://www.loc.gov /rr/mopic/ for audiovisual transmission 
programs, and, in making fixations of such unpublished transmission 
programs, shall identify a program that the Library has recorded by 
including that transmission program on the list no later than fourteen 
days after such fixation has occurred. The Library of Congress in making 
fixations of unpublished television transmission programs transmitted by 
commercial broadcast stations shall not do so without notifying the 
transmitting organization or its agent that such activity is taking 
place. In the case of television network stations, the notification will 
be sent to the particular network. In the case of any other commercial 
television broadcasting station, the notification will be sent to the 
particular broadcast station that has transmitted, or will transmit, the 
program. Such notice shall, if possible, be given by the Library of 
Congress prior to the time of broadcast. In every case, the Library of 
Congress shall transmit such notice no later than fourteen days after 
such fixation has occurred. Such notice shall contain:
    (i) The identification, by title and time of broadcast, of the 
transmission program in question;
    (ii) A brief statement asserting the Library of Congress' belief 
that the transmission program has been, or will be by the date of 
transmission, fixed and is unpublished, together with language 
converting the notice to a demand for deposit under section 407 (a) and 
(b) of title 17 of the United States Code, if the transmission program 
has been published in the United States.
    (9) The notice required by paragraph (c)(8) of this section shall 
not cover more than one transmission program except that the notice may 
cover up to thirteen episodes of one title if such episodes are 
generally scheduled to be broadcast at the same time period on a regular 
basis, or may cover all the episodes comprising the title if they are 
scheduled to be broadcast within a period of not more than two months.
    (d) Demands for deposit of a transmission program. (1) The Register 
of Copyrights may make a written demand upon the owner of the right of 
transmission in the United States to deposit a copy or phonorecord of a 
specific transmission program for the benefit of the Library of Congress 
under the authority of section 407(e)(2) of title 17 of the United 
States Code.
    (2) The Register of Copyrights is entitled to presume, unless clear 
evidence to the contrary is proffered, that the

[[Page 702]]

transmitting organization is the owner of the United States transmission 
right.
    (3) Notices of demand shall be in writing and shall contain:
    (i) The identification, by title and time of broadcast, of the work 
in question;
    (ii) An explanation of the optional forms of compliance, including 
transfer of ownership of a copy or phonorecord to the Library, lending a 
copy or phonorecord to the Library for reproduction, or selling a copy 
or phonorecord to the Library at a price not to exceed the cost of 
reproducing and supplying the copy or phonorecord;
    (iii) A ninety-day deadline by which time either compliance or a 
request for an extension of a request to adjust the scope of the demand 
or the method for fulfilling it shall have been received by the Register 
of Copyrights;
    (iv) A brief description of the controls which are placed on the use 
of the copies or phonorecords;
    (v) A statement concerning the Register's perception of the 
publication status of the program, together with language converting 
this demand to a demand for a deposit, under 17 U.S.C. 407, if the 
recipient takes the position that the work is published; and
    (vi) A statement that a compliance copy, or in the case of an audio 
transmission program, a compliance phonorecord, must be made and 
retained if the notice is received prior to transmission.
    (4) With respect to paragraph (d)(3)(ii) of this section, the sale 
of a copy or phonorecord in compliance with a demand of this nature 
shall be at a price not to exceed the cost to the Library of reproducing 
and supplying the copy or phonorecord. The notice of demand should 
therefore inform the recipient of that cost and set that cost, plus 
reasonable shipping charges, as the maximum price for such a sale.
    (5) Copies and phonorecords transferred, lent, or sold under 
paragraph (d) of this section shall be of sound physical condition as 
described in Appendix A to this section.
    (6) Special relief. In the case of any demand made under paragraph 
(d) of this section the Register of Copyrights may, after consultation 
with other appropriate officials of the Library of Congress and upon 
such conditions as the Register may determine after such consultation,
    (i) Extend the time period provided in subparagraph (d)(3)(iii);
    (ii) Make adjustments in the scope of the demand; or
    (iii) Make adjustments in the method of fulfilling the demand. Any 
decision as to whether to allow such extension or adjustments shall be 
made by the Register of Copyrights after consultation with other 
appropriate officials of the Library of Congress and shall be made as 
reasonably warranted by the circumstances. Requests for special relief 
under paragraph (d) of this section shall be made in writing to the 
Copyright Acquisitions Division, shall be signed by or on behalf of the 
owner of the right of transmission in the United States and shall set 
forth the specific reasons why the request should be granted.
    (e) Disposition and use of copies and phonorecords. (1) All copies 
and phonorecords acquired under this section shall be maintained by the 
Motion Picture, Broadcasting and Recorded Sound Division of the Library 
of Congress. The Library may make one archival copy or phonorecord of a 
program which it has fixed under the provisions of section 407(e)(1) of 
title 17 of the United States Code and paragraph (c) of this section.
    (2) All copies and phonorecords acquired or made under this section, 
except copies and phonorecords of transmission programs consisting of a 
regularly scheduled newscast or on-the-spot coverage of news events, 
shall be subject to the following restrictions concerning copying and 
access: in the case of television or other audiovisual transmission 
programs, copying and access are governed by Library of Congress 
Regulation 818-17, Policies Governing the Use and Availability of Motion 
Pictures and Other Audiovisual Works in the Collections of the Library 
of Congress, or its successors; in the case of audio transmission 
programs, copying and access are governed by Library of Congress 
Regulation 818-18.1,

[[Page 703]]

Recorded Sound Listening and Duplication Services, or its successors. 
Transmission programs consisting of regularly scheduled newscasts or on-
the-spot coverage of news events are subject to the provisions of the 
``American Television and Radio Archives Act,'' 2 U.S.C. 170, and such 
regulations as the Librarian of Congress shall prescribe.
    (f) Registration of claims to copyright. (1) Copies and phonorecords 
fixed by the Library of Congress under the provisions of paragraph (c) 
of this section may be used as the deposit for copyright registration 
provided that:
    (i) The application and fee, in a form acceptable for registration, 
is received by the Copyright Office no later than ninety days after 
transmission of the program, and
    (ii) Correspondence received by the Copyright Office in the envelope 
containing the application and fee states that a fixation of the instant 
work was made by the Library of Congress and requests that the copy or 
phonorecord so fixed be used to satisfy the registration deposit 
provisions.
    (2) Copies and phonorecords transferred, lent, or sold to the 
Library of Congress under the provisions of paragraph (d) of this 
section may be used as the deposit for copyright registration purposes 
only when the application and fee, in a form acceptable for 
registration, accompany, in the same container, the copy or phonorecord 
lent, transferred, or sold, and there is an explanation that the copy or 
phonorecord is intended to satisfy both the demand issued under section 
407(e)(2) of title 17 of the United States Code and the registration 
deposit provisions.
    (g) Agreements modifying the terms of this section. (1) The Library 
of Congress may, at its sole discretion, enter into an agreement whereby 
the provision of copies or phonorecords of unpublished audio or 
audiovisual transmission programs on terms different from those 
contained in this section is authorized.
    (2) Any such agreement may be terminated without notice by the 
Library of Congress.

(17 U.S.C. 407, 408, 702)

[48 FR 37208, Aug. 17, 1983, as amended at 56 FR 7815, Feb. 26, 1991; 60 
FR 34168, June 30, 1995; 64 FR 36575, July 7, 1999; 66 FR 34373, June 
28, 2001; 69 FR 62411, Oct. 26, 2004; 82 FR 9362, Feb. 6, 2017]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.
202.22(d)(6)(iii) was amended by removing ``the Copyright Acquisitions 
Division'' and adding in its place ``Acquisitions and Deposits'', 
effective July 22, 2021.



Sec.202.23  Full term retention of copyright deposits.

    (a) General. (1) This section prescribes conditions under which a 
request for full term retention, under the control of the Copyright 
Office, of copyright deposits (copies, phonorecords, or identifying 
material) of published works may be made and granted or denied pursuant 
to section 704(e) of title 17 of the United States Code. Only copies, 
phonorecords, or identifying material deposited in connection with 
registration of a claim to copyright under title 17 of the United States 
Code are within the provisions of this section. Only the depositor or 
the copyright owner of record of the work identified by the copyright 
deposit, or a duly authorized agent of the depositor or copyright owner, 
may request full term retention. A fee for this service is fixed by this 
section pursuant to section 708(a) of title 17 of the United States 
Code.
    (2) For purposes of this section, under the control of the Copyright 
Office shall mean within the confines of Copyright Office buildings and 
under the control of Copyright Office employees, including retention in 
a Federal records center, but does not include transfer to the Library 
of Congress collections.
    (3) For purposes of this section, full term retention means 
retention for a period of 75 years from the date of publication of the 
work identified by the particular copyright deposit which is retained.
    (4) For purposes of this section, copyright deposit or its plural 
means the copy, phonorecord, or identifying material submitted to the 
Copyright Office in connection with a published work that is 
subsequently registered

[[Page 704]]

and made part of the records of the Office.
    (b) Form and content of request for full term retention--(1) Forms. 
The Copyright Office does not provide printed forms for the use of 
persons requesting full term retention of copyright deposits.
    (2) Requests for full term retention must be made in writing 
addressed to the Director of the Office of Public Records and 
Repositories in the manner prescribed specified in Sec.201.1(b)(1) of 
this chapter, and shall include a legally binding signature, including 
an electronic signature as defined in 15 U.S.C. 7006, of or on behalf of 
the depositor or copyright owner of record, and clearly indicate that 
full term retention is desired.
    (3) The request for full term retention must adequately identify the 
particular copyright deposit to be retained, preferably by including the 
title used in the registration application, the name of the depositor or 
copyright owner of record, the publication date, and, if registration 
was completed earlier, the registration number.
    (c) Conditions under which requests will be granted or denied--(1) 
General. A request that meets the requirements of paragraph (b) of this 
section will generally be granted if the copyright deposit for which 
full term retention is requested has been continuously in the custody of 
the Copyright Office and the Library of Congress has not, by the date of 
the request, selected the copyright deposit for its collections.
    (2) Time of request. The request for full term retention of a 
particular copyright deposit may be made at the time of deposit or at 
any time thereafter; however, the request will be granted only if at 
least one copy, phonorecord, or set of identifying material is in the 
custody of the Copyright Office at the time of the request. Where the 
request is made concurrent with the initial deposit of the work for 
registration, the requestor must submit one copy or phonorecord more 
than the number specified in Sec.202.20 for the particular work.
    (3) One deposit retained. The Copyright Office will retain no more 
than one copy, phonorecord, or set of identifying material for a given 
registered work.
    (4) Denial of request for full term retention. The Copyright Office 
reserves the right to deny the request for full term retention where:
    (i) The excessive size, fragility, or weight of the deposit would, 
in the sole discretion of the Register of Copyrights, constitute an 
unreasonable storage burden. The request may nevertheless be granted if, 
within 60 calendar days of the original denial of the request, the 
requestor pays the reasonable administrative costs, as fixed in the 
particular case by the Register of Copyrights, of preparing acceptable 
identifying materials for retention in lieu of the actual copyright 
deposit;
    (ii) The Library of Congress has selected for its collections the 
single copyright deposit, or both, if two copies or phonorecords were 
deposited; or
    (iii) Retention would result in a health or safety hazard, in the 
sole judgment of the Register of Copyrights. The request may 
nevertheless be granted if, within 60 calendar days of the original 
denial of the request, the requestor pays the reasonable administrative 
costs, as fixed in the particular case by the Register of Copyrights of 
preparing acceptable identifying materials for retention in lieu of the 
actual copyright deposit.
    (d) Form of copyright deposit. If full term retention is granted, 
the Copyright Office will retain under its control the particular 
copyright deposit used to make registration for the work. Any deposit 
made on or after September 19, 1978, shall satisfy the requirements of 
Sec. Sec.202.20 and 202.21.
    (e) Fee for full term retention. (1) Pursuant to section 708(a) of 
title 17 of the United States Code, the Register of Copyrights has fixed 
the fee for full term retention, as prescribed in Sec.201.3(d) of this 
chapter, for each copyright deposit granted full term retention.
    (2) A check or money order in the amount prescribed in Sec.
201.3(d) of this chapter payable to the U.S. Copyright Office, must be 
received in the Copyright Office within 60 calendar days from the date 
of mailing of the Copyright Office's notification to the requestor that 
full term retention has been granted for a particular copyright deposit.

[[Page 705]]

    (3) The Copyright Office will issue a receipt acknowledging payment 
of the fee and identifying the copyright deposit for which full term 
retention has been granted.
    (f) Selection by Library of Congress--(1) General. All published 
copyright deposits are available for selection by the Library of 
Congress until the Copyright Office has formally granted a request for 
full term retention. Unless the requestor has deposited the additional 
copy or phonorecord specified by paragraph (c)(2) of this section, the 
Copyright Office will not process a request for full term retention 
submitted concurrent with a copyright registration application and 
deposit, until the Library of Congress has had a reasonable amount of 
time to make its selection determination.
    (2) A request for full term retention made at the time of deposit of 
a published work does not affect the right of the Library to select one 
or both of the copyright deposits.
    (3) If one copyright deposit is selected, the second deposit, if 
any, will be used for full term retention.
    (4) If both copyright deposits are selected, or, in the case where 
the single deposit made is selected, full term retention will be granted 
only if the additional copy or phonorecord specified by paragraph (c)(2) 
was deposited.
    (g) Termination of full term storage. Full term storage will cease 
75 years after the date of publication of the work identified by the 
copyright deposit retained, and the copyright deposit will be disposed 
of in accordance with section 704, paragraphs (b) through (d), of title 
17 of the United States Code.

[52 FR 28822, Aug. 4, 1987, as amended at 60 FR 34168, June 30, 1995; 63 
FR 29139, May 28, 1998; 64 FR 29522, June 1, 1999; 64 FR 36575, July 7, 
1999; 65 FR 39819, June 28, 2000; 73 FR 37839, July 2, 2008; 82 FR 9362, 
Feb. 6, 2017; 85 FR 19668, Apr. 8, 2020]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.
202.23(b)(2) was amended by removing ``Office of Public Records and 
Repositories'' and adding in its place ``Office of Copyright Records'' 
effective July 22, 2021.



Sec.202.24  Deposit of published electronic works available only
online.

    (a) Pursuant to authority under 17 U.S.C. 407(d), the Register of 
Copyrights may make written demand to deposit one complete copy or a 
phonorecord of an electronic work published in the United States and 
available only online upon the owner of copyright or of the exclusive 
right of publication in the work, under the following conditions:
    (1) Demands may be made only for works in those categories 
identified in Sec.202.19(c)(5) as being subject to demand.
    (2) Demands may be made only for electronic-only serials published 
on or after February 24, 2010.
    (3) Demands may be made only for electronic-only books published on 
or after December 14, 2020.
    (4) The owner of copyright or of the exclusive right of publication 
must deposit the demanded work within three months of the date the 
demand notice is received.
    (5) Copies or phonorecords deposited in response to a demand must be 
able to be accessed and reviewed by the Copyright Office, Library of 
Congress, and the Library's authorized users on an ongoing basis.
    (b) Technical standards. Technical standards for the transmission of 
copies of electronic-only works to the Copyright Office in response to a 
demand will be available on the Copyright Office website 
(www.copyright.gov).
    (c) Definitions. (1) ``Best edition'' has the meaning set forth in 
Sec.202.19(b)(1).
    (2) ``Complete copy'' has the meaning set forth in Sec.
202.19(b)(2).
    (3) ``Electronic-only'' works are electronic works that are 
published and available only online.
    (d) Special relief. (1) In the case of any demand made under 
paragraph (a) of this section, the Register of Copyrights may, after 
consultation with other appropriate officials of the Library of Congress 
and upon such conditions as the Register may determine after such 
consultation,
    (i) Extend the time period provided in 17 U.S.C. 407(d);
    (ii) Permit the deposit of incomplete copies or phonorecords; or

[[Page 706]]

    (iii) Permit the deposit of copies or phonorecords other than those 
normally comprising the best edition.
    (2) Any decision as to whether to grant such special relief, and the 
conditions under which special relief is to be granted, shall be made by 
the Register of Copyrights after consultation with other appropriate 
officials of the Library of Congress, and shall be based upon the 
acquisition policies of the Library of Congress then in force.
    (3) Requests for special relief under this section shall be made in 
writing to the Copyright Acquisitions Division, shall be signed by or on 
behalf of the owner of copyright or of the exclusive right of 
publication in the work, and shall set forth specific reasons why the 
request should be granted.

[75 FR 3869, Jan. 25, 2010, as amended at 82 FR 9362, Feb. 6, 2017; 85 
FR 71837, Nov. 12, 2020]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.
202.24(d)(3) was amended by removing ``the Copyright Acquisitions 
Division'' and adding in its place ``Acquisitions and Deposits'', 
effective July 22, 2021.



   Sec. Appendix A to Part 202--Technical Guidelines Regarding Sound 
                           Physical Condition

    To be considered a copy ``of sound physical condition'' within the 
meaning of 37 CFR 202.22(d)(5), a copy shall conform to all the 
technical guidelines set out in this Appendix.
    A. Physical Condition. All portions of the copy that reproduce the 
transmission program must be:
    1. Clean: Free from dirt, marks, spots, fungus, or other smudges, 
blotches, blemishes, or distortions;
    2. Undamaged: Free from burns, blisters, tears, cuts, scratches, 
breaks, erasure, or other physical damage. The copies must also be free 
from:
    (i) Any damage that interferes with performance from the tape or 
other reproduction, including physical damage resulting from earlier 
mechanical difficulties such as cassette jamming, breaks, tangles, or 
tape overflow; and
    (ii) Any erasures, damage causing visual or audible defects or 
distortions or any material remaining from incomplete erasure of 
previously recorded works.
    3. Unspliced: Free from splices in any part of the copy reproducing 
the transmission program, regardless of whether the splice involves the 
addition or deletion of material or is intended to repair a break or 
cut.
    4. Undeteriorated: Free from any visual or aural deterioration 
resulting from aging or exposure to climatic, atmospheric, or other 
chemical or physical conditions, including heat, cold, humidity, 
electromagnetic fields, or radiation. The copy shall also be free from 
excessive brittleness or stretching, from any visible flaking of oxide 
from the tape base or other medium, and from other visible signs of 
physical deterioration or excessive wear.
    B. Physical Appurtenances of Deposit Copy.
    1. Physical Housing of Video Tape Copy. (a) In the case of video 
tape reproduced for reel-to-reel performance, the deposit copy shall 
consist of reels of uniform size and length. The length of the reels 
will depend on both the size of the tape and its running time (the last 
reel may be shorter). (b) In the case of video tape reproduced for 
cassette, cartridge, or similar performance, the tape drive mechanism 
shall be fully operable and free from any mechanical defects.
    2. ``Leader'' or Equivalent. The copy, whether housed in reels, 
cassettes, or cartridges, shall have a leader segment both preceding the 
beginning and following the end of the recording.
    C. Visual and Aural Quality of Copy:
    1. Visual Quality. The copy should be equivalent to an evaluated 
first generation copy from an edited master tape and must reproduce a 
flawless and consistent electronic signal that meets industry standards 
for television screening.
    2. Aural Quality. The sound channels or other portions must 
reproduce a flawless and consistent electronic signal without any 
audible defects.

(17 U.S.C. 407, 408, 702)

[48 FR 37209, Aug. 17, 1983, as amended at 60 FR 34168, June 30, 1995]



 Sec. Appendix B to Part 202--``Best Edition'' of Published Copyrighted 
          Works for the Collections of the Library of Congress

    a. The copyright law (title 17, United States Code) requires that 
copies or phonorecords deposited in the Copyright Office be of the 
``best edition'' of the work. The law states that ``The `best edition' 
of a work is the edition, published in the United States at any time 
before the date of deposit, that the Library of Congress determines to 
be most suitable for its purposes.'' (For works first published only in 
a country other than the United States, the law requires the deposit of 
the work as first published.)
    b. When two or more editions of the same version of a work have been 
published, the one of the highest quality is generally considered to be 
the best edition. In judging quality, the Library of Congress will 
adhere to the criteria set forth below in all but exceptional 
circumstances.

[[Page 707]]

    c. Where differences between editions represent variations in 
copyrightable content, each edition is a separate version and ``best 
edition'' standards based on such differences do not apply. Each such 
version is a separate work for the purpose of the copyright law.
    d. The criteria to be applied in determining the best edition of 
each of several types of material are listed below in descending order 
of importance. In deciding between two editions, a criterion-by-
criterion comparison should be made. The edition which first fails to 
satisfy a criterion is to be considered of inferior quality and will not 
be an acceptable deposit. Example: If a comparison is made between two 
hardbound editions of a book, one a trade edition printed on acid-free 
paper, and the other a specially bound edition printed on average paper, 
the former will be the best edition because the type of paper is a more 
important criterion than the binding.
    e. Under regulations of the Copyright Office, potential depositors 
may request authorization to deposit copies or phonorecords of other 
than the best edition of a specific work (e.g., a microform rather than 
a printed edition of a serial), by requesting ``special relief'' from 
the deposit requirements. All requests for special relief should be in 
writing and should state the reason(s) why the applicant cannot send the 
required deposit and what the applicant wishes to submit instead of the 
required deposit.

                        I. Printed Textual Matter

    A. Paper, Binding, and Packaging:
    1. Archival-quality rather than less-permanent paper.
    2. Hard cover rather than soft cover.
    3. Library binding rather than commercial binding.
    4. Trade edition rather than book club edition.
    5. Sewn rather than glue-only binding.
    6. Sewn or glued rather than stapled or spiral-bound.
    7. Stapled rather than spiral-bound or plastic-bound.
    8. Bound rather than looseleaf, except when future looseleaf 
insertions are to be issued. In the case of looseleaf materials, this 
includes the submission of all binders and indexes when they are part of 
the unit as published and offered for sale or distribution. 
Additionally, the regular and timely receipt of all appropriate 
looseleaf updates, supplements, and releases including supplemental 
binders issued to handle these expanded versions, is part of the 
requirement to properly maintain these publications.
    9. Slip-cased rather than nonslip-cased.
    10. With protective folders rather than without (for broadsides).
    11. Rolled rather than folded (for broadsides).
    12. With protective coatings rather than without (except broadsides, 
which should not be coated).
    B. Rarity:
    1. Special limited edition having the greatest number of special 
features.
    2. Other limited edition rather than trade edition.
    3. Special binding rather than trade binding.
    C. Illustrations:
    1. Illustrated rather than unillustrated.
    2. Illustrations in color rather than black and white.
    D. Special Features:
    1. With thumb notches or index tabs rather than without.
    2. With aids to use such as overlays and magnifiers rather than 
without.
    E. Size:
    1. Larger rather than smaller sizes. (Except that large-type 
editions for the partially-sighted are not required in place of editions 
employing type of more conventional size.)

                             II. Photographs

    A. Size and finish, in descending order of preference:
    1. The most widely distributed edition.
    2. 8 x 10-inch glossy print.
    3. Other size or finish.
    B. Unmounted rather than mounted.
    C. Archival-quality rather than less-permanent paper stock or 
printing process.

                          III. Motion Pictures

    Film medium is considered a better quality than any other medium. 
The formats under ``film'' and ``video formats'' are listed in 
descending order of preference:
    A. Film:
    1. Preprint material, by special arrangement.
    2. 70 mm positive print, if original production negative is greater 
than 35 mm.
    3. 35 mm positive prints.
    4. 16 mm positive prints.
    B. Video Formats:
    1. Betacam SP.
    2. Digital Beta (Digibeta).
    3. DVD.
    4. VHS Cassette.

                        IV. Other Graphic Matter

    A. Paper and Printing:
    1. Archival quality rather than less-permanent paper.
    2. Color rather than black and white.
    B. Size and Content:
    1. Larger rather than smaller size.
    2. In the case of cartographic works, editions with the greatest 
amount of information rather than those with less detail.
    C. Rarity:
    1. The most widely distributed edition rather than one of limited 
distribution.

[[Page 708]]

    2. In the case of a work published only in a limited, numbered 
edition, one copy outside the numbered series but otherwise identical.
    3. A photographic reproduction of the original, by special 
arrangement only.
    D. Text and Other Materials:
    1. Works with annotations, accompanying tabular or textual matter, 
or other interpretative aids rather than those without them.
    E. Binding and Packaging:
    1. Bound rather than unbound.
    2. If editions have different binding, apply the criteria in I.A.2-
I.A.7, above.
    3. Rolled rather than folded.
    4. With protective coatings rather than without.

                             V. Phonorecords

    A. Compact digital disc rather than a vinyl disc.
    B. Vinyl disc rather than tape.
    C. With special enclosures rather than without.
    D. Open-reel rather than cartridge.
    E. Cartridge rather than cassette.
    F. Quadraphonic rather than stereophonic.
    G. True stereophonic rather than monaural.
    H. Monaural rather than electronically rechanneled stereo.

                        VI. Musical Compositions

    A. Fullness of Score:
    1. Vocal music:
    a. With orchestral accompaniment:
    i. Full score and parts, if any, rather than conductor's score and 
parts, if any. (In cases of compositions published only by rental, 
lease, or lending, this requirement is reduced to full score only.)
    ii. Conductor's score and parts, if any, rather than condensed score 
and parts, if any. (In cases of compositions published only by rental, 
lease, or lending, this requirement is reduced to conductor's score 
only.)
    b. Unaccompanied: Open score (each part on separate staff) rather 
than closed score (all parts condensed to two staves).
    2. Instrumental music:
    a. Full score and parts, if any, rather than conductor's score and 
parts, if any. (In cases of compositions published only by rental, 
lease, or lending, this requirement is reduced to full score only.)
    b. Conductor's score and parts, if any, rather than condensed score 
and parts, if any. (In cases of compositions published only by rental, 
lease, or lending, this requirement is reduced to conductor's score 
only.)
    B. Printing and Paper:
    1. Archival-quality rather than less-permanent paper.
    C. Binding and Packaging:
    1. Special limited editions rather than trade editions.
    2. Bound rather than unbound.
    3. If editions have different binding, apply the criteria in I.A.2-
I.A.12, above.
    4. With protective folders rather than without.

                             VII. Microforms

    A. Related Materials:
    1. With indexes, study guides, or other printed matter rather than 
without.
    B. Permanence and Appearance:
    1. Silver halide rather than any other emulsion.
    2. Positive rather than negative.
    3. Color rather than black and white.
    C. Format (newspapers and newspaper-formatted serials):
    1. Reel microfilm rather than any other microform.
    D. Format (all other materials):
    1. Microfiche rather than reel microfilm.
    2. Reel microfilm rather than microform cassetes.
    3. Microfilm cassettes rather than micro-opaque prints.
    E. Size:
    1. 35 mm rather than 16 mm.

                      VIII. Machine-Readable Copies

    A. Computer Programs:
    1. With documents and other accompanying material rather than 
without.
    2. Not copy-protected rather than copy-protected (if copy-protected 
then with a backup copy of the disk(s)).
    3. Format:
    a. PC-DOS or MS-DOS (or other IBM compatible formats, such as 
XENIX):
    (i) 5\1/4\ Diskette(s).
    (ii) 3\1/2\ Diskette(s).
    (iii) Optical media, such as CD-ROM--best edition should adhere to 
prevailing NISO standards.
    b. Apple Macintosh:
    (i) 3\1/2\ Diskette(s).
    (ii) Optical media, such as CD-ROM--best edition should adhere to 
prevailing NISO standards.
    B. Computerized Information Works, Including Statistical Compendia, 
Serials, or Reference Works:
    1. With documentation and other accompanying material rather than 
without.
    2. With best edition of accompanying program rather than without.
    3. Not copy-protected rather than copy-protected (if copy-protected 
then with a backup copy of the disk(s)).
    4. Format:
    a. PC-DOS or MS-DOS (or other IBM compatible formats, such as 
XENIX):
    (i) Optical media, such as CD-ROM--best edition should adhere to 
prevailing NISO standards.
    (ii) 5\1/4\ Diskette(s).
    (iii) 3\1/2\ Diskette(s).

[[Page 709]]

    b. Apple Macintosh:
    (i) Optical media, such as CD-ROM--best edition should adhere to 
prevailing NISO standards.
    (ii) 3\1/2\ Diskette(s).

 IX. Electronic-Only Works Published in the United States and Available 
                               Only Online

    The following encodings are listed in descending order of preference 
for all deposits in all categories below:
    1. UTF-8.
    2. UTF-16 (with BOM).
    3. US-ASCII.
    4. ISO 8859.
    5. All other character encodings.
    A. Electronic-Only Serials:
    1. Content Format:
    a. Serials-specific structured/markup format:
    i. Content compliant with the NLM Journal Archiving (XML) Document 
Type Definition (DTD), with presentation stylesheet(s), rather than 
without NISO JATS: Journal Article Tag Suite (NISO Z39.96-201x) with 
XSD/XSL presentation stylesheet(s) and explicitly stated character 
encoding.
    ii. Other widely used serials or journal XML DTDs/schemas, with 
presentation stylesheet(s), rather than without.
    iii. Proprietary XML format for serials or journals (with 
documentation), with DTD/schema and presentation stylesheet(s), rather 
than without.
    b. Page-oriented rendition:
    i. PDF/UA (Portable Document Format/Universal Accessibility; 
compliant with ISO 14289-1).
    ii. PDF/A (Portable Document Format/Archival; compliant with ISO 
19005).
    iii. PDF (Portable Document Format, with searchable text, rather 
than without; highest quality available, with features such as 
searchable text, embedded fonts, lossless compression, high resolution 
images, device-independent specification of colorspace; content tagging; 
includes document formats such as PDF/X).
    c. Other structured or markup formats:
    i. Widely-used serials or journal non-proprietary XML-based DTDs/
schemas with presentation stylesheet(s).
    ii. Proprietary XML-based format for serials or journals (with 
documentation) with DTD/schema and presentation stylesheet(s).
    iii. XHTML or HTML, with DOCTYPE declaration and presentation 
stylesheet(s).
    iv. XML-based document formats (widely used and publicly 
documented). With presentation stylesheets, if applicable. Includes ODF 
(ISO/IEC 26300) and OOXML (ISO/IEC 29500).
    d. PDF (web-optimized with searchable text).
    e. Other formats:
    i. Rich text format.
    ii. Plain text.
    iii. Widely-used proprietary word processing or page-layout formats.
    iv. Other text formats not listed here.
    2. Metadata Elements: If included with published version of work, 
descriptive data (metadata) as described below should accompany the 
deposited material:
    a. Title level metadata: serial or journal title, ISSN, publisher, 
frequency, place of publication.
    b. Article level metadata, as relevant/or applicable: volume(s), 
number(s), issue dates(s), article title(s), article author(s), article 
identifier (DOI, etc.).
    c. With other descriptive metadata (e.g., subject heading(s), 
descriptor(s), abstract(s)), rather than without.
    3. Completeness:
    a. All elements considered integral to the publication and offered 
for sale or distribution must be deposited--e.g., articles, table(s) of 
contents, front matter, back matter, etc. Includes all associated 
external files and fonts considered integral to or necessary to view the 
work as published.
    b. All updates, supplements, releases, and supersessions published 
as part of the work and offered for sale or distribution must be 
deposited and received in a regular and timely manner for proper 
maintenance of the deposit.
    4. Technological measures that control access to or use of the work 
should be removed.
    B. Electronic-Only Books:
    1. Content Format:
    a. Book-specific structured/markup format, i.e., XML-based markup 
formats, with included or accessible DTD/schema, XSD/XSL presentation 
stylesheet(s), and explicitly stated character encoding:
    i. BITS-compliant (NLM Book DTD).
    ii. EPUB-compliant.
    iii. Other widely-used book DTD/schemas (e.g., TEI, DocBook, etc.).
    b. Page-oriented rendition:
    i. PDF/UA (Portable Document Format/Universal Accessibility; 
compliant with ISO 14289-1).
    ii. PDF/A (Portable Document Format/Archival; compliant with ISO 
19005).
    ii. PDF (Portable Document Format; highest quality available, with 
features such as searchable text, embedded fonts, lossless compression, 
high resolution images, device-independent specification of colorspace; 
content tagging; includes document formats such as PDF/X).
    c. Other structured markup formats:
    i. XHTML or HTML, with DOCTYPE declaration and presentation 
stylesheet(s).
    ii. XML-based document formats (widely-used and publicly-
documented), with presentation style sheet(s) if applicable. Includes 
ODF (ISO/IEC 26300) and OOXML (ISO/IEC 29500).
    iii. SGML, with included or accessible DTD.

[[Page 710]]

    iv. Other XML-based non-proprietary formats, with presentation 
stylesheet(s).
    v. XML-based formats that use proprietary DTDs or schemas, with 
presentation stylesheet(s).
    d. PDF (web-optimized with searchable text).
    e. Other formats:
    i. Rich text format.
    ii. Plain text.
    iii. Widely-used proprietary word processing formats.
    iv. Other text formats not listed here.
    2. Metadata Elements: If included with published version of work, 
descriptive data (metadata) as described below should accompany the 
deposited material:
    a. As supported by format (e.g., standards-based formats such as 
ONIX, XMP, MODS, or MARCXML either embedded in or accompanying the 
digital item): title, creator, creation date, place of publication, 
publisher/producer/distributor, ISBN, contact information.
    b. Include if part of published version of work: language of work, 
other relevant identifiers (e.g., DOI, LCCN, etc.), edition, subject 
descriptors, abstracts.
    3. Rarity and Special Features:
    a. Limited editions (including those with special features such as 
high resolution images.)
    b. Editions with the greatest number of unique features (such as 
additional content, multimedia, interactive elements.)
    4. Completeness:
    a. For items published in a finite number of separate components, 
all elements published as part of the work and offered for sale or 
distribution must be deposited. Includes all associated external files 
and fonts considered integral to or necessary to view the work as 
published.
    b. All updates, supplements, releases, and supersessions published 
as part of the work and offered for sale or distribution must be 
submitted and received in a regular and timely manner for proper 
maintenance of the deposit.
    5. Technological Protection Measures:
    a. Copies published in formats that do not contain technological 
measures controlling access to or use of the work.
    b. Copies published with technological measures that control access 
to or use of the work, and for which the owner has elected to remove 
such technological measures.
    c. Copies otherwise provided in a manner that meets the requirements 
of Sec.202.24(a)(5).

                X. Works Existing in More Than One Medium

    Editions are listed below in descending order of preference.
    A. Newspapers, dissertations and theses, newspaper-formatted 
serials:
    1. Microform.
    2. Printed matter.
    B. All other materials:
    1. Printed matter.
    2. Microform.
    3. Phonorecord.

[54 FR 42299, Oct. 16, 1989, as amended at 62 FR 51603, Oct. 2, 1997; 69 
FR 8822, Feb. 26, 2004; 75 FR 3869, Jan. 25, 2010; 82 FR 9362, Feb. 6, 
2017; 83 FR 61550, Nov. 30, 2018; 85 FR 71837, Nov. 12, 2020]



PART 203_FREEDOM OF INFORMATION ACT: POLICIES AND PROCEDURES--
Table of Contents



                              Organization

Sec.
203.1 General.
203.2 Authority and functions.
203.3 Organization.

                               Procedures

203.4 Proactive disclosure of Office records.
203.5 Requirements for making requests.
203.6 Responsibility for responding to requests.
203.7 Timing of responses to requests.
203.8 Responses to requests.
203.9 Administrative appeals.
203.10 Preservation of records.

                 Charges for Responding to FOIA Requests

203.11 Fees.

    Authority: 5 U.S.C. 552.

    Source: 43 FR 774, Jan. 4, 1978, unless otherwise noted.

                              Organization



Sec.203.1  General.

    This information is furnished for the guidance of the public and in 
compliance with the requirements of the Freedom of Information Act 
(``FOIA''), 5 U.S.C. 552. The rules contained in this part should be 
read in conjunction with the text of FOIA and the Uniform Freedom of 
Information Fee Schedule and Guidelines published by the Office of 
Management and Budget (``OMB Guidelines''). Requests made by individuals 
for records pertaining to themselves under the Privacy Act of 1974, 5 
U.S.C. 552a, are processed under part 204 of this chapter. Requests for 
services for which the Copyright Act of 1976, title 17 of the United 
States Code, requires a fee are not processed under this part, but will 
be processed under the applicable regulations governing that service 
(including Sec.201.2 of this chapter). If the

[[Page 711]]

Copyright Office receives a request for services for which the Copyright 
Act requires a fee to be charged, the Office will notify the requester 
of the procedure established to obtain such services, and the applicable 
fees under Sec.201.3 of this chapter. Section 706(b) of the Copyright 
Act and the regulations issued under section 706(b) are not subject to 
FOIA.

[82 FR 9506, Feb. 7, 2017]



Sec.203.2  Authority and functions.

    The administration of the copyright law was entrusted to the Library 
of Congress by an act of Congress in 1870, and the Copyright Office has 
been a separate department of the Library since 1897. The statutory 
functions of the Copyright Office are contained in and carried out in 
accordance with the Copyright Act.

[82 FR 9362, Feb. 6, 2017]



Sec.203.3  Organization.

    (a) The Office of the Register of Copyrights has overall 
responsibility for the Copyright Office and its statutory mandate, 
specifically: For legal interpretation of the copyright law; 
administering the provisions of title 17 of the U.S.C.; promulgating 
copyright regulations; advising Congress and other government officials 
on domestic and international copyright policy and other intellectual 
property issues; determining personnel and other resource requirements 
for the Office; organizing strategic and annual program planning; and 
preparing budget estimates for inclusion in the budget of the Library of 
Congress and U.S. Government.
    (b) The Office of the Chief of Operations is headed by the Chief of 
Operations (``COO''), who advises the Register on core business 
functions and coordinates and directs the day-to-day operations of the 
Copyright Office. The Office of the COO supervises human capital, the 
administration of certain statutory licenses, mandatory deposits and 
acquisitions, and strategic planning functions. This Office interacts 
with every other senior management office that reports to the Register 
and frequently coordinates and assesses institutional projects. The COO 
chairs the Copyright Office's operations committee. The following 
divisions fall under the oversight of the COO:
    (1) The Receipt Analysis and Control Division is responsible for 
sorting, analyzing, and scanning incoming mail; creating initial 
records; labeling materials; and searching, assembling, and dispatching 
electronic and hardcopy materials and deposits to the appropriate 
service areas. The Division is responsible for operating the Copyright 
Office's central print room, mail functions, and temporary storage. The 
Division also processes all incoming fees and maintains accounts, 
related records, and reports involving fees received.
    (2) The Copyright Acquisitions Division administers the mandatory 
deposit requirements of the Copyright Act, acting as an intermediary 
between copyright owners of certain published works and the acquisitions 
staff in the Library of Congress. 17 U.S.C. 407. This Office creates and 
updates records for the copies received by the Copyright Office; demands 
particular works or particular formats of works as necessary; and 
administers deposit agreements between the Library and copyright owners.
    (c) The Office of the General Counsel is headed by the General 
Counsel and Associate Register of Copyrights, who is an expert copyright 
attorney and one of four legal advisors to the Register. This Office 
assists the Register in carrying out critical work of the Copyright 
Office regarding the legal interpretation of the copyright law. The 
General Counsel liaises with the Department of Justice, other federal 
departments, and the legal community on a wide range of copyright 
matters including litigation and the administration of title 17 of the 
U.S.C. The General Counsel also has primary responsibility for the 
formulation and promulgation of regulations and the adoption of legal 
positions governing policy matters and the practices of the Copyright 
Office.
    (d) The Office of Policy and International Affairs is headed by the 
Associate Register of Copyrights and Director of Policy and 
International Affairs, who is an expert copyright attorney and one of 
four legal advisors to the

[[Page 712]]

Register. This Office assists the Register with critical policy 
functions of the Copyright Office, including domestic and international 
policy analyses, legislative support, and trade negotiations. Policy and 
International Affairs represents the Copyright Office at meetings of 
government officials concerned with the international aspects of 
intellectual property protection, and provides regular support to 
Congress and its committees on statutory amendments and construction.
    (e) The Office of Registration Policy and Practice is headed by the 
Associate Register of Copyrights and Director of Registration Policy and 
Practice, who is an expert copyright attorney and one of four legal 
advisors to the Register. This Office administers the U.S. copyright 
registration system and advises the Register of Copyrights on questions 
of registration policy and related regulations and interpretations of 
copyright law. This Office has three divisions: Literary, Performing 
Arts, and Visual Arts. It also has a number of specialized sections, for 
example, in the area of motion pictures. This Office executes major 
sections of the Compendium of Copyright Office Practices, particularly 
with respect to the examination of claims and related principles of law.
    (f) The Office of Public Information and Education is headed by the 
Associate Register for Public Information and Education, who is an 
expert copyright attorney and one of four legal advisors to the 
Register. This Office informs and helps carry out the work of the 
Register and the Copyright Office in providing authoritative information 
about the copyright law to the public and establishing educational 
programs. The Office publishes the copyright law and other provisions of 
title 17 of the U.S.C.; maintains a robust and accurate public website; 
creates and distributes a variety of circulars, information sheets, and 
newsletters, including NewsNet; responds to public inquiries regarding 
provisions of the law, explaining registration policies, procedures, and 
other copyright-related topics upon request; plans and executes a 
variety of educational activities; and engages in outreach with various 
copyright community stakeholders.
    (g) The Office of Public Records and Repositories is headed by the 
Director, who is an expert in public administration and one of the 
Register's top business advisors. This Office is responsible for 
carrying out major provisions of title 17 of the U.S.C., including 
establishing records policies; ensuring the storage and security of 
copyright deposits, both analog and digital; recording licenses and 
transfers of copyright ownership; preserving, maintaining, and servicing 
copyright related records; researching and providing certified and non-
certified reproductions of copyright deposits; and maintaining the 
official records of the Copyright Office. Additionally, the Office 
engages regularly in discussions with leaders in the private and public 
sectors regarding issues of metadata, interoperability, data management, 
and open government.
    (h) The Copyright Modernization Office (``CMO'') is headed by the 
Director, who is the Register's top advisor on Copyright Office 
modernization and oversees the development and implementation of 
technology initiatives affecting registration and recordation. This 
Office directs and coordinates all modernization activities on behalf of 
the U.S. Copyright Office, including resources, communications, 
stakeholder engagement, and business project management. The CMO ensures 
that modernization activities are continuously aligned with the Office's 
and the Library of Congress's strategic goals, and collaborates with the 
Office and the Library to drive modernization efforts. The CMO provides 
project management, data management/analytics, and business analysis. It 
also serves as the primary liaison with the Library of Congress's Office 
and Chief Information Officer (``OCIO'') and serves in a leadership 
function on the Office's Modernization Governance Board.
    (i) The Chief Financial Officer (``CFO'') is a senior staff position 
that serves under the Register and oversees all fiscal, financial, and 
budgetary activities for the Copyright Office. The CFO also oversees the 
Licensing Division, which administers certain statutory licenses set 
forth in the Copyright

[[Page 713]]

Act. The Division collects royalty payments and examines statements of 
account for the cable statutory license (17 U.S.C. 111), the satellite 
statutory license for retransmission of distant television broadcast 
stations (17 U.S.C. 119), and the statutory license for digital audio 
recording technology (17 U.S.C. chapter 10). The Division also accepts 
and records certain documents associated with the use of the mechanical 
statutory license for making and distributing phonorecords of 
nondramatic musical works (17 U.S.C. 115) and the statutory licenses for 
publicly performing sound recordings by means of digital audio 
transmission (17 U.S.C. 112, 114).
    (j) The Office has no field organization.
    (k) The Office is located in The James Madison Memorial Building of 
the Library of Congress, 1st and Independence Avenue SE., Washington, 
DC. 20559-6000. The Public Information Office is located in Room LM-401. 
Its hours are 8:30 a.m. to 5 p.m., Monday through Friday except legal 
holidays. The phone number of the Public Information Office is (202) 
707-3000. Informational material regarding the copyright law, the 
registration process, fees, and related information about the Copyright 
Office and its functions may be obtained free of charge from the Public 
Information Office upon request.
    (l) All Copyright Office forms may be obtained free of charge from 
the Public Information Office or by calling the Copyright Office Hotline 
anytime day or night at (202) 707-9100.

[60 FR 34168, June 30, 1995, as amended at 62 FR 55742, Oct. 28, 1997; 
64 FR 36575, July 7, 1999; 65 FR 39819, June 28, 2000; 66 FR 34373, June 
28, 2001; 73 FR 37839, July 2, 2008; 76 FR 27898, May 13, 2011; 82 FR 
9362, Feb. 6, 2017; 82 FR 9507, Feb. 7, 2017; 83 FR 63064, Dec. 7, 2018]

    Effective Date Note: At 86 FR 32642, June 22, 2021, Sec.203.3 was 
amended by
    a. Revising paragraph (b).
    b. In paragraph (c):
    i. Removing ``also'' from the fourth sentence.
    ii. Adding a sentence at the end of the paragraph.
    iii. Adding paragraph (c)(1) and reserve paragraph (c)(2).
    c. In paragraph (f), adding a sentence at the end of the paragraph.
    d. In paragraph (g):
    i. Removing ``Public Records and Repositories'' and adding in its 
place ``Copyright Records''.
    ii. Adding a sentence before the last sentence.
    e. Removing and reserving paragraphs (h) and (i), effective July 22, 
2021. For the convenience of the user, the added and revised text is set 
forth as follows:



Sec.203.3  Organization.

                                * * * * *

    (b) The Office of the Director of Operations is headed by the 
Assistant Register and Director of Operations (``ARDO''), who advises 
the Register on core business functions and coordinates and directs the 
day-to-day operations of the Copyright Office. This Office supervises 
human capital, finances, the administration of certain statutory 
licenses, mandatory acquisitions and deposits, product management, and 
materials control and analysis functions. It interacts with other senior 
management offices that report to the Register and frequently 
coordinates and assesses institutional projects. This Office has five 
divisions: Acquisitions and Deposits; Administrative Services; Financial 
Management; Materials Control and Analysis; and Product Management.
    (1) Acquisitions and Deposits (``A&D'') administers the mandatory 
deposit requirements of the Copyright Act, acting as an intermediary 
between copyright owners of certain published works and the acquisitions 
staff in the Library of Congress (17 U.S.C. 407). It creates and updates 
records for copies received by the Copyright Office, demands particular 
works or particular formats of works as necessary, and administers 
deposit agreements between the Library and copyright owners.
    (2) The Administrative Services Division (``ASD'') manages human 
capital and physical space issues for the Copyright Office, and serves 
as the liaison with other components of the Library for those matters.
    (3) The Financial Management Division (``FMD'') oversees fiscal, 
financial, and budgetary activities for the Copyright Office. It 
contains the Licensing Section, which administers certain statutory 
licenses set forth in the Copyright Act. The Licensing Section collects 
royalty payments and examines statements of account for the cable 
statutory license (17 U.S.C. 111), the satellite statutory license for 
retransmission of distant television broadcast stations (17 U.S.C. 119), 
and the statutory license for digital audio recording technology (17 
U.S.C. chapter 10). The Licensing Section also accepts and records 
certain documents associated with the use of the mechanical statutory 
license for making and distributing phonorecords of

[[Page 714]]

nondramatic musical works (17 U.S.C. 115) and the statutory licenses for 
publicly performing sound recordings by means of digital audio 
transmission (17 U.S.C. 112, 114).
    (4) The Materials Control and Analysis Division (``MCA'') processes 
incoming mail, creates initial records, and dispatches electronic and 
hardcopy materials and deposits to the appropriate service areas. It 
operates the Copyright Office's central print room and outgoing mail 
functions.
    (5) The Product Management Division (``PMD'') advises on business 
process integration and improvements in connection with technology 
initiatives affecting the Copyright Office. It coordinates business 
activities, including resource planning, stakeholder engagement 
activities, and project management. The PMD oversees the Office's data 
management, performance statistics, and business intelligence 
capabilities.
    (c) * * * The Office of the General Counsel also supervises the 
Copyright Claims Board (``CCB'') as it discharges its statutory mandate.
    (1) The CCB is a voluntary, alternative forum to Federal court for 
parties to seek resolution of copyright disputes that have a low 
economic value. The CCB is headed by three Copyright Claims Officers who 
ensure that claims are properly asserted and appropriate for resolution; 
manage proceedings; render determinations and award monetary relief; 
provide public information; certify and maintain CCB records, including 
making proceeding records publicly available; and other related duties.
    (2) [Reserved]

                                * * * * *

    (f) * * * This Office is comprised of two sections: The Public 
Information Office and the Outreach and Education section.
    (g) * * * It contains three divisions: Recordation; Records 
Management; and Records, Research and Certification. * * *

                                * * * * *

                               Procedures



Sec.203.4  Proactive disclosure of Office records.

    Records that are required by FOIA to be made available for public 
inspection in electronic format may be accessed through the Office's Web 
site at www.copyright.gov. The Office is responsible for determining 
which of its records must be made publicly available, for identifying 
additional records of interest to the public that are appropriate for 
public disclosure, and for posting and indexing such records. The Office 
must ensure that its Web site of posted records and indices is reviewed 
and updated on an ongoing basis. The Office has a FOIA Public Liaison 
who can assist individuals in locating records particular to the Office. 
The Office's FOIA Public Liaison contact information may be found at 
www.copyright.gov/foia.

[82 FR 9507, Feb. 7, 2017]



Sec.203.5  Requirements for making requests.

    (a) General information. To be proper, a request must be made in 
accordance with the rules established under this part.
    (1) To make a request for records, a requester should write directly 
by email to [email protected], by postal mail to the FOIA Requester 
Service Center, Copyright Office, PIE, P.O. Box 70400, Washington, DC 
20024, or submit the request in person between the hours of 8:30 a.m. 
and 5 p.m. on any working day except legal holidays at Room LM-401, The 
James Madison Memorial Building, 101 Independence Avenue SE., 
Washington, DC. If a request is made by mail, both the request and the 
envelope containing it should include ``Freedom of Information Act 
Request''. A request will receive the quickest possible response if it 
is clearly marked and addressed to the FOIA Requester Service Center. 
Guidelines for submitting a request can be found at www.copyright.gov/
foia.
    (2) A requester who is making a request for records about himself or 
herself must comply with part 204 of this chapter.
    (3) Where a request for records pertains to a third party, a 
requester may receive greater access by submitting either a notarized 
authorization signed by that individual or a declaration made in 
compliance with the requirements set forth in 28 U.S.C. 1746 by that 
individual authorizing disclosure of the records to the requestor, or by 
submitting proof that the individual is deceased (e.g., a copy of a 
death certificate or obituary). As an exercise of administrative 
discretion, the Office can require a requester to supply additional 
information if necessary in order to verify that a particular individual 
has consented to disclosure.

[[Page 715]]

    (b) Description of records sought. The request must reasonably 
describe the records sought. A request reasonably describes records if 
it enables the Office to identify the records requested in such a way 
that is not unreasonably burdensome or disruptive to Office operations. 
To the extent possible, requesters should include specific information 
that may help the agency identify the requested records, such as the 
date, title or name, author, recipient, subject matter of the record, 
registration, recordation, or reference number. Before submitting their 
requests, requesters may contact the FOIA Public Liaison to discuss the 
records they seek and to receive assistance in describing the records. 
If after receiving a request the Office determines that it does not 
reasonably describe the records sought, the Office will inform the 
requester what additional information is needed or why the request is 
insufficient. The requester may discuss with the FOIA Public Liaison how 
to reformulate or modify a request. If a request does not reasonably 
describe the records sought, the agency's response to the request may be 
delayed.
    (c) Formats. Requests may specify the preferred form or format 
(including electronic formats) for the records identified. The Office 
will accommodate the request if the record is readily reproducible in 
that form or format.
    (d) Contact information. Requesters must provide contact 
information, such as a phone number, email address, and/or mailing 
address, to assist the Office in communicating with a requester and 
providing released records.

[82 FR 9507, Feb. 7, 2017]



Sec.203.6  Responsibility for responding to requests.

    (a) In general. The Office is responsible for responding to a 
request. In determining which records are responsive to a request, the 
Office ordinarily will include only records in its possession as of the 
date that it begins its search. If any other date is used, the Office 
will inform the requester of that date.
    (b) Authority to grant or deny requests. The Register of Copyrights, 
and the Associate Register of Copyrights and Director of Public 
Information and Education are authorized to grant or to deny any 
requests for records.
    (c) Consultation, referral, and coordination. When reviewing records 
located by the Office in response to a request, the Office will 
determine whether another agency of the Federal Government is better 
able to determine whether the record is exempt from disclosure under 
FOIA. As to any such record, the Office will proceed in one of the 
following ways:
    (1) Consultation. When records originated with the Office, but 
contain within them information of interest to another agency or Federal 
Government office, the Office may consult with the other entity prior to 
making a release determination.
    (2) Referral. (i) When the Office believes that a different agency 
is best able to determine whether to disclose the record, the Office 
will refer the responsibility for responding to the request regarding 
that record to that agency. Ordinarily, the Office that originated the 
record is presumed to be the best agency to make the disclosure 
determination. If, however, the Office and the originating agency 
jointly agree that the Office is in the best position to respond, then 
the record may be handled as a consultation.
    (ii) Whenever the Office refers any responsibility for responding to 
a request to another agency, it will document the referral, maintain a 
copy of the record that it refers, and notify the requester of the 
referral. The notification will include the name(s) of the agency to 
which the record was referred and that agency's FOIA contact 
information.
    (3) Coordination. When the Office believes that a different agency 
is best able to determine whether to disclose the record, but disclosure 
of the identity of the different agency could harm an interest protected 
by an applicable exemption, the Office will coordinate with the 
originating agency to seek its views of disclosability of the record. 
The release determination for the record that is the subject of the 
coordination will then be conveyed to the requester by the Office.
    (d) Timing of responses to consultations and referrals. All 
consultations and referrals received by the Office will be

[[Page 716]]

handled according to the date that the first agency received the 
perfected FOIA request.
    (e) Agreements regarding consultations and referrals. The Office may 
establish agreements with other agencies to eliminate the need for 
consultations or referrals with respect to particular types of records.

[82 FR 9507, Feb. 7, 2017]



Sec.203.7  Timing of responses to requests.

    (a) In general. The Office will respond to all properly addressed 
emailed and mailed requests and all personally delivered written 
requests for records within 20 working days of receipt. The Office 
ordinarily will respond to requests according to their order of receipt. 
In instances involving a misdirected request rerouted to the Office, the 
response time will commence on the date that the request is received by 
the Office, but in any event not later than 10 working days after the 
request is first received by the Library of Congress.
    (b) Multitrack processing. The Office will designate a specific 
track for requests that are granted expedited processing, in accordance 
with the standards set forth in paragraph (e) of this section. The 
Office may also designate additional processing tracks that distinguish 
between simple and more complex requests based on the estimated amount 
of work or time needed to process the request. Among the factors the 
Office may consider are the number of records requested, the number of 
pages involved in processing the request, and the need for consultations 
or referrals. The Office will advise a requester of the track into which 
their request falls and, when appropriate, will offer the requester an 
opportunity to narrow or modify their request so that it can be placed 
in a different processing track.(1)(i) Whenever the Office cannot meet 
the statutory time limit for processing a request because of ``unusual 
circumstances,'' as defined in paragraph (c)(2) of this section, the 
Office will notify the requester in writing of the unusual circumstances 
and the estimated date of determination, and alert requesters to the 
availability of the Office of Government Information Services (OGIS) to 
provide dispute resolution services. Where an extension of time greater 
than 10 days is required, the Office will give the requester the 
opportunity to:
    (A) Limit the scope of the request so that it may be processed 
within 20 working days; or
    (B) Arrange with the Office an alternative time frame for processing 
the request or a modified request.
    (ii) The Office will make available the FOIA Public Liaison to 
assist the requester in modifying the request.
    (2) As used in this paragraph (c), ``unusual circumstances'' means, 
only to the extent reasonably necessary to the proper processing of the 
particular request:
    (i) The need to search for and collect the requested records from 
establishments that are physically separate from the Office;
    (ii) The need to search for, collect, and examine a voluminous 
amount of separate and distinct records which are demanded in a single 
request; or,
    (iii) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
Copyright Office which have a substantial subject matter interest 
therein.
    (d) Aggregating requests. To satisfy unusual circumstances under the 
FOIA, the Office may aggregate requests in cases where it reasonably 
appears that multiple requests, submitted either by a requester or by a 
group of requesters acting in concert, constitute a single request that 
would otherwise involve unusual circumstances. The Office will not 
aggregate multiple requests that involve unrelated matters.
    (e) Expedited processing. (1) The Office will process requests and 
appeals on an expedited basis whenever it is determined that the request 
or appeal involves:
    (i) Circumstances in which the lack of expedited processing could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or,

[[Page 717]]

    (ii) An urgency to inform the public about an actual or alleged 
Federal Government activity, if the request or appeal is made by a 
person who is primarily engaged in disseminating information.
    (2) A request for expedited processing may be made at any time. 
Requests for expedited processing of initial requests should be made to 
the FOIA Requester Service Center. Requests for expedited processing of 
an administrative appeal should be submitted to the Office of the 
Register of Copyrights.
    (3) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct, setting forth the basis for 
the claim that a ``compelling need'' exists for the requested 
information.
    (4) The Office will notify the requester within 10 calendar days of 
the receipt of a request for expedited processing of its decision 
whether to grant or deny expedited processing. If expedited processing 
is granted, the request will be given priority and processed as soon as 
is practicable. If a request for expedited processing is denied, the 
requester may submit an appeal to the Office of the Register of 
Copyrights. The Office will act expeditiously on any appeal of a denial 
of expedited processing.

[82 FR 9508, Feb. 7, 2017, as amended at 84 FR 3700, Feb. 13, 2019]



Sec.203.8  Responses to requests.

    (a) In general. The Office, to the extent practicable, will 
communicate with requesters having access to the Internet 
electronically, such as email or web portal.
    (b) Acknowledgement of requests. The Office will acknowledge a 
request in writing and assign it an individualized tracking number if it 
will take longer than 10 working days to process. The Office will 
include in the acknowledgement a brief description of the records 
sought.
    (c) Estimated dates of completion and interim responses. Upon 
request, the Office will provide an estimated date by which the Office 
expects to provide a response to the requester. If a request involves a 
voluminous amount of material, or searches in multiple locations, the 
agency may provide interim responses, releasing the records on a rolling 
basis.
    (d) Grants of requests. Once the Office determines it will grant a 
request in full or in part, it will notify the requester in writing. The 
Office will also inform the requester of any fees charged under Sec.
203.11 and will disclose the requested records to the requester promptly 
upon payment of any applicable fees. The Office will inform the 
requester of the availability of the FOIA Public Liaison to offer 
assistance.
    (e) Adverse determinations. If the Office makes an adverse 
determination denying a request in any respect, it will notify the 
requester of that determination in writing. Adverse determinations, or 
denials of requests, include decisions that: The requested record is 
exempt, in whole or in part; the requested record does not exist, cannot 
be located, or has been destroyed; or the requested record is not 
readily reproducible in the form or format sought by the requester. 
Adverse determinations also include denials involving fees or fee waiver 
matters or denials of requests for expedited processing.
    (f) Content of denial. The denial shall be signed by the Associate 
Register of Copyrights and Director of Public Information and Education 
or a designee and shall include:
    (1) The name and title or position of the person responsible for the 
denial;
    (2) A brief statement of the reasons for the denial, including any 
FOIA exemption applied by the agency in denying the request;
    (3) When applicable, an estimate of the volume of any records or 
information withheld, such as the number of pages or some other 
reasonable form of estimation, although such an estimate is not required 
if the volume is otherwise indicated by deletions marked on records that 
are disclosed in part or if providing an estimate would harm an interest 
protected by an applicable exemption;
    (4) A statement that the denial may be appealed under Sec.203.9, 
and a description of the appeal requirements; and,
    (5) A statement notifying the requester of the assistance available 
from the Office's FOIA Public Liaison

[[Page 718]]

and the dispute resolution services offered by the Office of Government 
Information Services.
    (g) Markings on released documents. Records disclosed in part shall 
be marked clearly to show the amount of information deleted and the 
exemption under which the deletion was made unless doing so would harm 
an interest protected by an applicable exemption. The location of the 
information deleted must also be indicated on the record, if technically 
feasible.

[82 FR 9508, Feb. 7, 2017]



Sec.203.9  Administrative appeals.

    (a) Requirements for making an appeal. A requester may appeal any 
adverse determination to the Register of Copyrights. Examples of adverse 
determinations are provided in Sec.203.8(e). Requesters can submit 
appeals by mail to the Register of Copyrights, Copyright Office, P.O. 
Box 70400, Washington, DC 20024. The requester must make the appeal in 
writing and to be considered timely it must be postmarked within 90 
calendar days after the date of the Office's response. The appeal should 
clearly identify the agency determination that is being appealed, 
include the assigned docket number, and include a statement explaining 
the basis for the appeal. To facilitate handling, the requester should 
include on both the appeal letter and envelope ``Freedom of Information 
Act Appeal.''
    (b) Adjudication of appeals. (1) The Register of Copyrights or a 
designee will adjudicate all appeals under this section.
    (2) An appeal ordinarily will not be adjudicated if the request 
becomes a matter of FOIA litigation.
    (c) Decisions on appeals. The Office shall provide its decision on 
an appeal in writing. A decision that upholds the Office's determination 
in whole or in part will contain a statement that identifies the reasons 
for the affirmance, including any FOIA exemptions applied. The decision 
will provide the requester with notification of the statutory right to 
file a lawsuit and will inform the requester of the mediation services 
offered by the Office of Government Information Services (OGIS) of the 
National Archives and Records Administration as a non-exclusive 
alternative to litigation. If the Office's decision is remanded or 
modified on appeal, the Agency will notify the requester of that 
determination in writing. The Office will then further process the 
request in accordance with the appeal determination and will respond 
directly to the requester.
    (d) Engaging in dispute resolution. Mediation is a voluntary 
process. If the Office agrees to participate in the mediation services 
provided by OGIS, it will actively engage as a partner to the process in 
an attempt to resolve the dispute.
    (e) When an appeal is required. Before seeking review by a court of 
an agency's adverse determination, a requester must first submit a 
timely administrative appeal.

[82 FR 9508, Feb. 7, 2017]



Sec.203.10  Preservation of records.

    The Office must preserve all correspondence pertaining to the 
requests that it receives under this part, as well as copies of all 
requested records, until disposition or destruction is authorized 
pursuant to title 44 of the United States Code or the General Records 
Schedule 4.2of the National Archives and Records Administration. The 
Office shall not dispose of or destroy records while they are the 
subject of a pending request, appeal, or lawsuit under FOIA.

[82 FR 9508, Feb. 7, 2017, as amended at 84 FR 3701, Feb. 13, 2019]

                 Charges for Responding to FOIA Requests



Sec.203.11  Fees.

    (a) In general. (1) The fee schedule of this section does not apply 
with respect to the charging of fees for those records for which the 
Copyright Act requires a fee to be charged. The fees required to be 
charged are contained in Sec.201.3 of this chapter, or have been 
established by the Register of Copyrights or Library of Congress 
pursuant to the requirements of that section. The Copyright Office will 
charge for processing requests under FOIA in accordance with the 
provisions of this section and with the OMB Guidelines. For purposes of 
assessing fees for processing

[[Page 719]]

requests, FOIA establishes three categories of requesters:
    (i) Commercial use requesters;
    (ii) Non-commercial scientific or educational institutions or news 
media requesters; and
    (iii) All other requesters.
    (2) Different fees are assessed depending on the category. 
Requesters may seek a fee waiver, which the Office will consider in 
accordance with paragraph (k) of this section. To resolve any fee issues 
that arise under this section, an agency may contact a requester for 
additional information. The Office shall ensure that searches, review, 
and duplication are conducted in the most efficient and the least 
expensive manner. The Office will ordinarily collect all applicable fees 
before sending copies of records to a requester. Requesters must pay 
fees by check or money order made payable to the United States Copyright 
Office.
    (b) Definitions. For the purpose of this section:
    (1) Commercial use request is a request that asks for information 
for a use or purpose that furthers a commercial, trade, or profit 
interest, which can include furthering those interests through 
litigation. The Office's decision to place a requester in the commercial 
use category will be made on a case-by-case basis based on the 
requester's intended use of the information. The Office will notify 
requesters of their placement in this category.
    (2) Direct costs are those expenses that the Office incurs in 
searching for, duplicating, and/or reviewing records in order to respond 
to a FOIA request. Direct costs do not include overhead expenses such as 
the costs of space, and of heating or lighting a facility.
    (3) Duplication is reproducing a copy of a record, or of the 
information contained in it, necessary to respond to a FOIA request. 
Copies can take the form of paper, audiovisual materials, or electronic 
records, among others.
    (4) Educational institution is any school that operates a program of 
scholarly research. A requester in this fee category must show that the 
request is made in connection with his or her role at the educational 
institution. The Office may seek verification from the requester that 
the request is in furtherance of scholarly research and the Office will 
advise requesters of their placement in this category.
    (5) Noncommercial scientific institution is an institution that is 
not operated on a commercial basis and is operated solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry. A requester in 
this category must show that the request is authorized by and is made 
under the auspices of a qualifying institution that the records are 
sought to further scientific research and are not for a commercial use. 
The Office will advise requesters of their placement in this category.
    (6) Representative of the news media is any person or entity that 
gathers information of potential interest to a segment of the public, 
uses its editorial skills to turn the raw materials into a distinct 
work, and distributes that work to an audience. The term ``news'' means 
information that is about current events or that would be of current 
interest to the public. A request for records supporting the news-
dissemination function of the requester will not be considered to be for 
a commercial use. ``Freelance'' journalists who demonstrate a solid 
basis for expecting publication through a news media entity will be 
considered as a representative of the news media. A publishing contract 
would provide the clearest evidence that publication is expected; 
however, the Office can also consider a requester's past publication 
record in making this determination. The Office will advise requesters 
of their placement in this category.
    (7) Review is the examination of a record located in response to a 
request in order to determine whether any portion of it is exempt from 
disclosure. Review includes taking all necessary steps to prepare a 
record for disclosure, including the process of redacting the record and 
marking the appropriate exemptions and time spent obtaining and 
considering any formal objection to disclosure made by a confidential 
commercial information submitter under Sec.203.9. Review does not 
include time spent resolving general legal or policy issues regarding 
the application of exemptions. Review costs are properly

[[Page 720]]

charged even if a record ultimately is not disclosed.
    (8) Search is the process of looking for and retrieving records or 
information responsive to a request. Search includes page-by-page or 
line-by-line identification of information within records and the 
reasonable efforts expended to locate and retrieve information from 
electronic records.
    (c) Charging fees. In responding to FOIA requests, the Office will 
charge the following fees unless a waiver or reduction of fees has been 
granted under paragraph (k) of this section.
    (1) Search. (i) Requests made by educational institutions, 
noncommercial scientific institutions, or representatives of the news 
media are not subject to search fees. The Office will charge search fees 
for all other requesters, subject to the restrictions of paragraph (d) 
of this section. Fees may be assessed for time spent searching even if 
the search fails to locate any responsive records or where the records 
located are subsequently determined to be entirely exempt from 
disclosure.
    (ii) For each quarter hour spent by administrative staff in 
searching for a requested record, $7.50; for each quarter hour spent by 
professional staff in searching for a requested record, $17.50, with a 
half hour minimum in both cases.
    (iii) For computer searches of records, which may be undertaken 
through the use of existing programming, the actual direct costs of 
conducting the search including the cost of operating a central 
processing unit for that portion of operating time that is directly 
attributable to searching for records responsive to a request, as well 
as the direct costs of operator/programmer salary apportionable to 
search (at no less than $65 per hour or fraction thereof).
    (iv) For requests that require the retrieval of records stored by an 
agency at a Federal records center operated by the National Archives and 
Records Administration (NARA), agencies will charge additional costs in 
accordance with the Transactional Billing Rate Schedule established by 
NARA.
    (2) Duplication. The Office will charge duplication fees to all 
requesters, subject to the restrictions of paragraph (d) of this 
section. The Office will honor a requester's preference for receiving a 
record in a particular form or format when the Office can readily 
reproduce it in the form or format requested. For copies of the public 
records, deposits, or indexes of the Office, the Office will charge fees 
according to Sec.201.3 of this chapter. For copies of all other 
Copyright Office records not otherwise provided for in this section, a 
minimum fee of $15.00 for up to 15 pages and $.50 per page over 15.
    (3) Review. The Office will charge review fees to requesters who 
make commercial use requests. Review fees will be assessed in connection 
with the initial review of the record to determine whether an exemption 
applies to a particular record or portion of a record. No charge will be 
made for review at the administrative appeal stage of exemptions applied 
at the initial review stage. If a particular exemption is deemed to no 
longer apply on appeal, any costs associated with the Office's re-review 
of the records may be assessed as review fees. Review fees will be 
charged at the same rates as described in paragraph (c)(1)(ii) of this 
section.
    (4) Other direct costs. Other costs incurred by the Copyright Office 
in fulfilling a request will be chargeable at the actual cost to the 
Office.
    (d) Restrictions on charging fees. (1)(i) If the Copyright Office 
fails to comply with FOIA's time limits in which to respond to a 
request, it may not charge search fees or, in the instances of requests 
from educational institutions, non-commercial scientific institutions, 
or representatives of the news media, may not charge duplication fees, 
except as described in this paragraph (d).
    (ii) If the Office has determined that unusual circumstances, as 
defined by FOIA, apply and the agency provides timely written notice to 
the requester, a failure to comply with the time limit shall be excused 
for an additional 10 days.
    (iii) If the Office has determined that unusual circumstances, as 
defined by FOIA, apply and more than 5,000 pages are necessary to 
respond to the request, the Office may charge fees if the Office has 
provided timely written notice of the unusual circumstances to

[[Page 721]]

the requester in accordance with FOIA and the Office has discussed with 
the requester (or made not less than three good-faith attempts to do so) 
how the requester could effectively limit the scope of the request in 
accordance with 5 U.S.C. 552(a)(6)(B)(ii).
    (iv) If a court has determined that exceptional circumstances exist, 
as defined by the FOIA, a failure to comply with the time limits shall 
be excused for the length of time provided by the court order.
    (2) No search or review fees will be charged for a quarter-hour 
period unless more than half of that period is required for search or 
review.
    (3) Except for requesters seeking records for a commercial use, the 
Office will provide without charge:
    (i) The first 100 pages of duplication (or the cost equivalent for 
other media); and
    (ii) The first two hours of search.
    (4) No fee will be charged when the total fee, after deducting the 
first 100 pages (or its cost equivalent) and the first two hours of 
search, is equal to or less than $25.00.
    (5) No fees will be charged for ordinary packaging and mailing 
costs.
    (e) Notice of anticipated fees in excess of $25.00. (1) When the 
Office determines or estimates that the fees to be assessed will exceed 
$25.00, the Office shall notify the requester of the actual or estimated 
amount of the fees, including a breakdown of the fees for search, review 
or duplication, unless the requester has indicated a willingness to pay 
fees as high as those anticipated. If only a portion of the fee can be 
estimated readily, the Office will advise the requester accordingly. If 
the request is a noncommercial use requester, the notice shall include 
the services provided without charge indicated in paragraph (d)(3) of 
this section, and shall advise the requester whether those entitlements 
have been provided.
    (2) When a requester has been provided notice of anticipated fees in 
excess of $25.00, the request shall not be considered received and 
further work will not be completed until the requester commits in 
writing to pay the actual or estimated total fee, to designate which 
fees the requester is willing to pay, or, for noncommercial requests, to 
indicate that the requester seeks only the services that can be provided 
in paragraph (d)(3) of this section without charge. The Office is not 
required to accept payment in installments.
    (3) When the requester has committed to pay some designated amount 
of fees, but the Office estimates that the total fee will exceed that 
amount, the Office shall toll processing of the request when it notifies 
the requester of the estimated fees in excess of the requester's 
commitment. The Office shall inquire whether the requester wishes to 
revise the amount of fees the requester is willing to pay or modify the 
request. Once the requester responds, the time to respond will resume 
from where it was at the date of the notification.
    (4) The Office shall make available the FOIA Public Liaison to 
assist the requester in reformulating a request to meet the requester's 
needs at a lower cost.
    (f) Charges for other services. Although not required to provide 
special services, if the Office chooses to do so as a matter of 
administrative discretion, the direct costs of providing the service 
shall be charged.
    (g) Charging interest. The Office may charge interest on any unpaid 
bill starting on the 31st day following the date of billing the 
requester. Interest charges will be assessed at the rate provided in 31 
U.S.C. 3717 and will accrue from the billing date until payment is 
received by the Office.
    (h) Aggregating requests. When the Office reasonably believes that a 
requester or group of requesters acting in concert is attempting to 
divide a single request into a series of requests for the purpose of 
avoiding fees, the Office may aggregate those requests and charge 
accordingly. The Office may presume that multiple requests of this type 
made within a 30-day period have been made in order to avoid fees. For 
requests separated by a longer period, agencies will aggregate them only 
where there is a reasonable basis for determining that aggregation is 
warranted in view of all the circumstances involved. Multiple requests 
involving

[[Page 722]]

unrelated matters cannot be aggregated.
    (i) Advance payments. (1) For requests other than those described in 
paragraph (i)(2) or (3) of this section, the Copyright Office cannot 
require the requester to make an advance payment before work is 
commenced or continued on a request. Payment owed for work already 
completed is not an advance payment.
    (2) When the Office determines or estimates that a total fee to be 
charged under this section will exceed $250.00, it may require that the 
requester make an advance payment up to the amount of the entire 
anticipated fee before beginning to process the request. The Office may 
elect to process the request prior to collecting fees when it receives a 
satisfactory assurance of full payment from a requester with a history 
of prompt payment.
    (3) Where a requester has previously failed to pay a properly 
charged FOIA fee to any agency within 30 calendar days of the billing 
date, the Office may require that the requester pay the full amount due, 
plus any applicable interest on that prior request, and the Office may 
require that the requester make an advance payment of the full amount of 
any anticipated fee before the Office begins to process a new request or 
continues to process a pending request or any pending appeal. Where the 
Office has a reasonable basis to believe that a requester has 
misrepresented the requester's identity in order to avoid paying 
outstanding fees, it may require that the requester provide proof of 
identity.
    (4) In cases in which the Office requires advance payment, the 
request will not be considered received and further work will not be 
completed until the required payment is received. If the requester does 
not pay the advance payment within 30 calendar days after the date of 
the Office's fee determination, the request will be closed.
    (j) Other statutes specifically providing for fees. The provisions 
of this section do not apply with respect to the charging of fees for 
which the copyright law requires a fee to be charged. Requests processed 
under the Privacy Act of 1974, 5 U.S.C. 552a, shall be subject to the 
fee schedule found in Sec.204.6 of this chapter. Fees for services by 
the Office in the administration of the copyright law are contained in 
Sec.201.3 of this chapter. In instances where records responsive to a 
request are subject to the statutorily-based fee schedule, the Office 
will inform the requester of the service and appropriate fee.
    (k) Requirements for waiver or reduction of fees. (1) Requesters may 
seek a waiver of fees by submitting a written application demonstrating 
how disclosure of the requested information is in the public interest 
because it is likely to contribute significantly to public understanding 
of the operations or activities of the government and is not primarily 
in the commercial interest of the requester.
    (2) The Office shall furnish records responsive to a request without 
charge or at a reduced rate when it determines, based on all available 
information, that the factors described in paragraphs (k)(2)(i) through 
(iii) of this section are satisfied:
    (i) Disclosure of the requested information would shed light on the 
operations or activities of the government. The subject of the request 
must concern identifiable operations or activities of the Federal 
Government with a connection that is direct and clear, not remote or 
attenuated.
    (ii) Disclosure of the requested information is likely to contribute 
significantly to public understanding of those operations or activities. 
This factor is satisfied when the following criteria are met:
    (A) Disclosure of the requested records must be meaningfully 
informative about government operations or activities. The disclosure of 
information that already is in the public domain, in either the same or 
a substantially identical form, would not be meaningfully informative if 
nothing new would be added to the public's understanding.
    (B) The disclosure must contribute to the understanding of a 
reasonably broad audience of persons interested in the subject, as 
opposed to the individual understanding of the requester. A requester's 
expertise in the subject area as well as the requester's ability

[[Page 723]]

and intention to effectively convey information to the public will be 
considered. The Office will presume that a representative of the news 
media will satisfy this consideration.
    (iii) The disclosure must not be primarily in the commercial 
interest of the requester. To determine whether disclosure of the 
requested information is primarily in the commercial interest of the 
requester, the Office will consider the following criteria:
    (A) The Office shall identify whether the requester has any 
commercial interest that would be furthered by the requested disclosure. 
A commercial interest includes any commercial, trade, or profit 
interest. Requesters shall be given an opportunity to provide 
explanatory information regarding this consideration.
    (B) If there is an identified commercial interest, the Office shall 
determine whether that is the primary interest furthered by the request. 
A waiver or reduction of fees is justified when the requirements of 
paragraphs (k)(2)(i) and (ii) of this section are satisfied and any 
commercial interest is not the primary interest furthered by the 
request. The Office ordinarily will presume that when a news media 
requester has satisfied factors in paragraphs (k)(2)(i) and (ii) of this 
section, the request is not primarily in the commercial interest of the 
requester. Disclosure to data brokers or others who merely compile and 
market government information for direct economic return will not be 
presumed to primarily serve the public interest.
    (3) Where only some of the records to be released satisfy the 
requirements for a waiver of fees, a waiver shall be granted for those 
records.
    (4) Requests for a waiver or reduction of fees should be made when 
the request is first submitted to the Office and should address the 
criteria referenced above. A requester may submit a fee waiver request 
at a later time so long as the underlying record request is pending or 
on administrative appeal. When a requester who has committed to pay fees 
subsequently asks for a waiver of those fees and that waiver is denied, 
the requester shall be required to pay any costs incurred up to the date 
the fee waiver request was received.

[82 FR 9508, Feb. 7, 2017, as amended at 84 FR 3701, Feb. 13, 2019]



PART 204_PRIVACY ACT: POLICIES AND PROCEDURES--Table of Contents



Sec.
204.1 Purposes and scope.
204.2 Definitions.
204.3 General policy.
204.4 Procedure for notification of the existence of records pertaining 
          to individuals.
204.5 Procedures for requesting access to records.
204.6 Fees.
204.7 Request for correction or amendment of records.
204.8 Appeal of refusal to correct or amend an individual's record.
204.9 Judicial review.

    Authority: 17 U.S.C. 702; 5 U.S.C. 552(a).

    Source: 43 FR 776, Jan. 4, 1978, unless otherwise noted.



Sec.204.1  Purposes and scope.

    The purposes of these regulations are:
    (a) The establishment of procedures by which an individual can 
determine if the Copyright Office maintains a system of records in which 
there is a record pertaining to the individual; and
    (b) The establishment of procedures by which an individual may gain 
access to a record or information maintained on that individual and have 
such record or information disclosed for the purpose of review, copying, 
correction, or amendment.



Sec.204.2  Definitions.

    For purposes of this part:
    (a) The term individual means a citizen of the United States or an 
alien lawfully admitted for permanent residence;
    (b) The term maintain includes maintain, collect, use, or 
disseminate;
    (c) The term record means any item, collection, or grouping of 
information about an individual that is maintained by an agency, 
including, but not limited to, his education, financial transactions, 
medical history, and criminal

[[Page 724]]

or employment history, and that contains his or her name, or the 
identifying number, symbol, or other identifying particular assigned to 
the individual, such as a finger or voice print or a photograph;
    (d) The term system of records means a group of any records under 
the control of any agency from which information is retrieved by the 
name of the individual; and
    (e) The term routine use means, with respect to the disclosure of a 
record, the use of such record for a purpose which is compatible with 
the purpose for which it was collected.



Sec.204.3  General policy.

    The Copyright Office serves primarily as an office of public record. 
Section 705 of title 17, United States Code, requires the Copyright 
Office to open for public inspection all records of copyright deposits, 
registrations, recordations, and other actions taken under title 17. 
Therefore, a routine use of all Copyright Office systems of records 
created under section 705 of title 17 is disclosure to the public. All 
Copyright Office systems of records created under section 705 of title 
17 are also available for public copying as required by section 706(a), 
with the exception of copyright deposits, whose reproduction is governed 
by section 706(b) and the regulations issued under that section. In 
addition to the records mandated by section 705 of title 17, the 
Copyright Office maintains other systems of records which are necessary 
for the Office effectively to carry out its mission. These systems of 
records are routinely consulted and otherwise used by Copyright Office 
employees in the performance of their duties. The Copyright Office will 
not sell, rent, or otherwise make publicly available any mailing list 
prepared by the Office.

[47 FR 36821, Aug. 24, 1982]



Sec.204.4  Procedure for notification of the existence of records 
pertaining to individuals.

    (a) The Copyright Office will publish in the Federal Register, upon 
the establishment or revision of the system of records, notices of all 
Copyright Office systems of records subject to the Privacy Act, as 
provided by 5 U.S.C., section 552a(e)(4). Individuals desiring to know 
if a Copyright Office system of records contains a record pertaining to 
them should submit a written request to that effect either by mail to 
the Supervisory Copyright Information Specialist, U.S. Copyright Office, 
P.O. Box 70400, Washington, DC 20024-0400, or in person between the 
hours of 8:30 a.m. and 5 p.m. on any working day except legal holidays 
at Room LM-401, The James Madison Memorial Building, 1st and 
Independence Avenue, SE, Washington, DC.
    (b) The written request should identify clearly the system of 
records which is the subject of inquiry, by reference, whenever 
possible, to the system number and title as given in the notices of 
systems of records in the Federal Register. Both the written request and 
the envelope carrying it should be plainly marked ``Privacy Act 
Request.'' Failure to so mark the request may delay the Office's 
response.
    (c) The Office will acknowledge all properly marked requests made by 
individuals wishing to gain access to view or copy their records or any 
information pertaining to the individual, within a reasonable time. The 
Office will acknowledge in writing an individual's request to amend a 
record pertaining to him or her within ten business days.
    (d) Since all Copyright Office records created under section 705 of 
title 17 are open to public inspection, no identity verification is 
necessary for individuals who wish to know whether a system of records 
created under section 705 pertains to them.

[43 FR 776, Jan. 4, 1978, as amended at 47 FR 36821, Aug. 24, 1982; 50 
FR 697, Aug. 14, 1985; 60 FR 34169, June 30, 1995; 64 FR 36575, July 7, 
1999; 65 FR 39820, June 28, 2000; 73 FR 37839, July 2, 2008; 82 FR 9364, 
Feb. 6, 2017]



Sec.204.5  Procedures for requesting access to records.

    (a) Individuals desiring to obtain access to Copyright Office 
information pertaining to them in a system of records other than those 
created under section 705 of title 17 should make a written request, 
signed by themselves or their duly authorized agent, to that

[[Page 725]]

effect either by mail to the Supervisory Copyright Information 
Specialist, U.S. Copyright Office, P.O. Box 70400, Washington, DC 20024-
0400, or in person between the hours of 8:30 a.m. and 5 p.m. on any 
working day except legal holidays at Room LM-401, The James Madison 
Memorial Building, 1st and Independence Avenue SE., Washington, DC.
    (b) The written request should identify clearly the system of 
records which is the subject of inquiry, by reference, whenever 
possible, to the system number and title as given in the notices of 
systems of records in the Federal Register. Both the written request and 
the envelope carrying it should be plainly marked ``Privacy Act 
Request.'' Failure to so mark the request may delay the Office's 
response.
    (c) The Office will acknowledge all properly marked requests within 
20 working days of receipt; and will notify the requester within 30 
working days of receipt when and where access to the record will be 
granted. If the individual requested a copy of the record, the copy will 
accompany such notification.

[43 FR 776, Jan. 4, 1978, as amended at 47 FR 36821, Aug. 24, 1982; 60 
FR 34169, June 30, 1995; 64 FR 36575, July 7, 1999; 65 FR 39820, June 
28, 2000; 73 FR 37839, July 2, 2008; 82 FR 9364, Feb. 6, 2017]



Sec.204.6  Fees.

    (a) The Copyright Office will provide, free of charge, one copy to 
an individual of any record pertaining to that individual contained in a 
Copyright Office system of records, except where the request is for a 
copy of a record for which a specific fee is required and identified in 
Sec.201.3 of this chapter, in which case that fee shall be charged. 
For additional copies of records not covered by section 708 the fee will 
be a minimum of $15.00 for up to 15 pages and $.50 per page over 15. The 
Office will require prepayment of fees estimated to exceed $25.00 and 
will remit any excess paid or bill an additional amount according to the 
differences between the final fee charged and the amount prepaid. When 
prepayment is required, a request is not deemed ``received'' until 
prepayment has been made.
    (b) The Copyright Office may waive the fee requirement whenever it 
determines that such waiver would be in the public interest.

[43 FR 776, Jan. 4, 1978, as amended at 47 FR 36821, Aug. 24, 1982; 56 
FR 59886, Nov. 26, 1991; 63 FR 29139, May 28, 1998; 64 FR 29522, June 1, 
1999]



Sec.204.7  Request for correction or amendment of records.

    (a) Any individual may request the correction or amendment of a 
record pertaining to her or him. Requests for the removal of personally 
identifiable information requested by the Copyright Office as part of an 
application for copyright registration are governed by Sec.201.2(e) of 
this chapter. Requests for the removal of extraneous personally 
identifiable information, such as driver's license numbers, social 
security numbers, banking information, and credit card information from 
registration records are governed by Sec.201.2(f) of this chapter. 
With respect to the correction or amendment of all other information 
contained in a copyright registration, the set of procedures and related 
fees are governed by 17 U.S.C. 408(d) and Sec.201.5 of this chapter. 
With respect to requests to amend any other record that an individual 
believes is incomplete, inaccurate, irrelevant or untimely, the request 
shall be in writing and delivered either by mail addressed to the U.S. 
Copyright Office, Supervisory Copyright Information Specialist, 
Copyright Information Section, Attn: Privacy Act Request, P.O. Box 
70400, Washington, DC 20024-0400, or in person Monday through Friday 
between the hours of 8:30 a.m. and 5 p.m., eastern time, except legal 
holidays, at Room LM-401, Library of Congress, U.S. Copyright Office, 
101 Independence Avenue SE., Washington, DC 20559-6000. The request 
shall explain why the individual believes the record to be incomplete, 
inaccurate, irrelevant, or untimely.
    (b) With respect to requests for the correction or amendment of 
records that are governed by this section, the Office will respond 
within 10 working days indicating to the requester that the requested 
correction or amendment has been made or that it has been refused.If the 
requested correction or

[[Page 726]]

amendment is refused, the Office's response will indicate the reason for 
the refusal and the procedure available to the individual to appeal the 
refusal.

[82 FR 9009, Feb. 2, 2017]



Sec.204.8  Appeal of refusal to correct or amend an individual's record.

    (a) An individual who disagrees with a refusal of the Copyright 
Office to amend his or her record may request a review of the denial. 
The individual should submit a written appeal to the General Counsel of 
the United States Copyright Office at the address specified in Sec.
201.1(c)(1) of this chapter. Appeals, and the envelopes containing them, 
should be plainly marked ``Privacy Act Appeal.'' Failure to so mark the 
appeal may delay the General Counsel's response. An appeal should 
contain a copy of the request for amendment or correction and a copy of 
the record alleged to be untimely, inaccurate, incomplete, or 
irrelevant.
    (b) The General Counsel will issue a written decision granting or 
denying the appeal within 30 working days after receipt of the appeal 
unless, after showing good cause, the General Counsel extends the 30-day 
period. If the appeal is granted, the requested amendment or correction 
will be made promptly. If the appeal is denied, in whole or in part, the 
General Counsel's decision will set forth reasons for the denial. 
Additionally, the decision will advise the requester that he or she has 
the right to file with the Copyright Office a concise statement of his 
or her reasons for disagreeing with the refusal to amend the record and 
that such statement will be attached to the requester's record and 
included in any future disclosure of such record. If the requester is 
dissatisfied with the agency's final determination, the individual may 
bring a civil action against the Office in the appropriate United States 
district court.

[82 FR 9364, Feb. 6, 2017]



Sec.204.9  Judicial review.

    Within two years of the receipt of a final adverse administrative 
determination, an individual may seek judicial review of that 
determination as provided in 5 U.S.C. 552a(g)(1).



PART 205_LEGAL PROCESSES--Table of Contents



                      Subpart A_General Provisions

Sec.
205.1 Definitions.
205.2 Address for mail and service; telephone number.
205.3 Waiver of rules.
205.4 Relationship of this part to the Federal Rules of Civil and 
          Criminal Procedure.
205.5 Scope of this part related to Copyright Office duties under title 
          17 of the U.S. Code.
205.6-205.10 [Reserved]

                      Subpart B_Service of Process

205.11 Scope and purpose.
205.12 Process served on the Register of Copyrights or an employee in 
          his or her official capacity.
205.13 Complaints served on the Register of Copyrights pursuant to 17 
          U.S.C. 411(a).
205.14 Court requests to the Register of Copyrights pursuant to 17 
          U.S.C. 411(b)(2).
205.15 Court notices to the Register of Copyrights pursuant to 17 U.S.C. 
          508.
205.16-205.20 [Reserved]

 Subpart C_Testimony by Employees and Production of Documents in Legal 
             Proceedings in Which the Office is Not a Party

205.21 Scope and purpose.
205.22 Production of documents and testimony.
205.23 Scope of testimony.

    Authority: 17 U.S.C. 702.

    Source: 69 FR 39334, June 30, 2004, unless otherwise noted.



                      Subpart A_General Provisions



Sec.205.1  Definitions.

    For the purpose of this part:
    Demand means an order, subpoena or any other request for documents 
or testimony for use in a legal proceeding.
    Document means any record or paper held by the Copyright Office, 
including, without limitation, official letters, deposits, recordations, 
registrations, publications, or other material submitted in connection 
with a claim for registration of a copyrighted work.
    Employee means any current or former officer or employee of the 
Copyright Office, as well as any individual

[[Page 727]]

subject to the jurisdiction, supervision, or control of the Copyright 
Office.
    General Counsel, unless otherwise specified, means the General 
Counsel and Associate Register of Copyrights or his or her designee.
    Legal proceeding means any pretrial, trial, and post-trial stages of 
existing or reasonably anticipated judicial or administrative actions, 
hearings, investigations, or similar proceedings before courts, 
commissions, boards or other tribunals, foreign or domestic. This phrase 
includes all phases of discovery as well as responses to formal or 
informal requests by attorneys or others involved in legal proceedings. 
This phrase also includes state court proceedings (including grand jury 
proceedings) and any other state or local legislative and administrative 
proceedings.
    Office means the Copyright Office, including any division, section, 
or operating unit within the Copyright Office.
    Official business means the authorized business of the Copyright 
Office.
    Testimony means a statement in any form, including a personal 
appearance before a court or other legal tribunal, an interview, a 
deposition, an affidavit or declaration under penalty of perjury 
pursuant to 28 U.S.C. 1746, a telephonic, televised, or videotaped 
statement or any response given during discovery or similar proceeding, 
which response would involve more than the production of documents, 
including a declaration under 35 U.S.C. 25 or a declaration under 
penalty of perjury pursuant to 28 U.S.C. 1746.
    United States means the Federal Government, its departments and 
agencies, individuals acting on behalf of the Federal Government, and 
parties to the extent they are represented by the United States.

[82 FR 9364, Feb. 6, 2017]



Sec.205.2  Address for mail and service; telephone number.

    (a) Mail under this part should be addressed to the General Counsel 
at the address specified in Sec.201.1(c)(1) of this chapter.
    (b) Service by hand shall be made upon an authorized person from 
8:30 a.m. to 5 p.m., Monday through Friday in the Copyright Information 
Section, U.S. Copyright Office, Library of Congress, James Madison 
Memorial Building, Room LM-401, 101 Independence Avenue SE., Washington, 
DC. Persons authorized to accept service of process are the General 
Counsel of the Copyright Office and his or her designees.
    (c) The Office of the General Counsel may be reached by telephone 
during normal business hours specified in paragraph (b) of this section 
at 202-707-8380.

[69 FR 39334, June 30, 2004, as amended at 73 FR 37840, July 2, 2008; 82 
FR 9365, Feb. 6, 2017]



Sec.205.3  Waiver of rules.

    In extraordinary situations, when the interest of justice requires, 
the General Counsel may waive or suspend the rules of this part, sua 
sponte or on petition of an interested party, subject to such 
requirements as the General Counsel may impose on the parties. However, 
the inclusion of certain legal processes within the scope of these 
rules, e.g., state legal proceedings, does not represent a waiver of any 
claim of immunity, privilege, or other defense by the Office in a legal 
proceeding, including but not limited to, sovereign immunity, 
preemption, or lack of relevance. This rule does not create any right or 
benefit, substantive or procedural, enforceable at law by a party 
against the Copyright Office, the Library of Congress, or the United 
States.



Sec.205.4  Relationship of this part to the Federal Rules of Civil 
and Criminal Procedure.

    Nothing in this part waives any requirement under the Federal Rules 
of Civil or Criminal Procedure.



Sec.205.5  Scope of this part related to Copyright Office duties under
title 17 of the U.S. Code.

    This part relates only to legal proceedings, process, requests and 
demands relating to the Copyright Office's performance of its duties 
pursuant to title 17 of the United States Code. Legal proceedings, 
process, requests and demands relating to other matters (e.g., personal 
injuries, employment matters, etc.) are the responsibility of the 
General Counsel of the

[[Page 728]]

Library of Congress and are governed by 36 CFR part 703.



Sec. Sec.205.6-205.10  [Reserved]



                      Subpart B_Service of Process



Sec.205.11  Scope and purpose.

    (a) This subpart provides the procedures governing service of 
process on the Copyright Office and its employees in their official 
capacity. These regulations provide the identity of Copyright Office 
officials who are authorized to accept service of process. The purpose 
of this subpart is to provide a centralized location for receipt of 
service of process to the Office. Such centralization will provide 
timely notification of legal process and expedite the Office's response. 
Litigants also must comply with all requirements pertaining to service 
of process that are established by statute, court rule and rule of 
procedure including the applicable provisions of the Federal Rules of 
Civil Procedure governing service upon the United States.
    (b) This subpart does not apply to service of process made on an 
employee personally for matters not related to official business of the 
Office. Process served upon a Copyright Office employee in his or her 
individual capacity must be served in compliance with the applicable 
requirements for service of process established by statute, court rule, 
or rule of procedure.

[69 FR 39334, June 30, 2004, as amended at 82 FR 9365, Feb. 6, 2017]



Sec.205.12  Process served on the Register of Copyrights or an 
employee in his or her official capacity.

    (a) Summonses, complaints and all other process directed to the 
Copyright Office, the Register of Copyrights or any other Copyright 
Office employee in his or her official capacity should be served on the 
General Counsel of the Copyright Office or his or her designee as 
indicated in Sec.205.2 of this part. To effect proper service, the 
requirements of Rule 4(i) of the Federal Rules of Civil Procedure must 
also be satisfied by effecting service on both the United States 
Attorney for the district in which the action is brought and the 
Attorney General, Attn: Director of Intellectual Property Staff, 
Commercial Litigation Branch, Civil Division, Department of Justice, 
Washington, DC 20530.
    (b) If, notwithstanding paragraph (a) of this section, any employee 
of the Office is served with a summons or complaint in connection with 
the conduct of official business, that employee shall immediately notify 
and deliver the summons or complaint to the Office of the General 
Counsel of the Copyright Office.
    (c) Any employee receiving a summons or complaint shall note on the 
summons or complaint the date, hour, and place of service and mode of 
service.
    (d) The Office will accept service of process for an employee only 
when the legal proceeding is brought in connection with the conduct of 
official business carried out in the employee's official capacity.
    (e) When a legal proceeding is brought to hold an employee 
personally liable in connection with an action taken in the conduct of 
official business, rather than liable in an official capacity, the 
employee is to be served in accordance with any applicable statute, 
court rule, or rule of procedure. Service of process in this case is 
inadequate when made only on the General Counsel. An employee sued 
personally for an action taken in the conduct of official business shall 
immediately notify and deliver a copy of the summons or complaint to the 
General Counsel of the Copyright Office.



Sec.205.13  Complaints served on the Register of Copyrights pursuant
to 17 U.S.C. 411(a).

    When an action has been instituted pursuant to 17 U.S.C. 411(a) for 
infringement of the copyright of a work for which registration has been 
refused, notice of the institution of the action and a copy of the 
complaint must be served on the Register of Copyrights by sending such 
documents to the General Counsel of the Copyright Office to the General 
Counsel of the Copyright Office via email to [email protected]. 
The notice must be in the form of a letter, as an attached file, that is 
clearly identified as a 411(a) notice. Both the letter and

[[Page 729]]

the email's subject line should state: ``Section 411(a) Notice to the 
Register of Copyrights.'' Attachments must be submitted in Portable 
Document Format (PDF), assembled in an orderly form, and uploaded as 
individual electronic files (i.e., not .zip files). Attachments to a 
single email should be no greater than 20 MB in total. The files must be 
viewable, contain embedded fonts, and be free from any access 
restrictions (such as those implemented through digital rights 
management) that prevent the viewing and examination of the file. If 
submission of a notice via email is not feasible, please contact the 
Office of the General Counsel by telephone during normal business hours 
at 202-707-8380. In compliance with Fed. R. Civ. P. Sec. 4(i), a notice 
of the institution of the action and a copy of the complaint must also 
be served on both the United States Attorney for the district in which 
the action is brought and the United States Department of Justice, 
directed to the Attorney General, Attn: Director of Intellectual 
Property Staff, Civil Division, Department of Justice, Washington, DC 
20530.

[69 FR 39334, June 30, 2004, as amended at 73 FR 37840, July 2, 2008; 82 
FR 9365, Feb. 6, 2017; 85 FR 10604, Feb. 25, 2020]



Sec.205.14  Court requests to the Register of Copyrights pursuant
to 17 U.S.C. 411(b)(2).

    Where there is an allegation that a copyright registration 
certificate includes inaccurate information with knowledge that it was 
inaccurate and the inaccuracy of the information, if known, would have 
caused the Register of Copyrights to refuse registration, pursuant to 17 
U.S.C. 411(b)(2), the court shall request the opinion of the Register of 
Copyrights to advise the court whether the inaccurate information, if 
known, would have caused the Register of Copyrights to refuse 
registration. The request should be sent to the General Counsel of the 
Copyright Office via email to [email protected]. Attachments to a 
single email should be no greater than 20 MB in total. If submission of 
a request via email is not feasible, please contact the Office of the 
General Counsel by telephone during normal business hours at 202-707-
8380.

[85 FR 10605, Feb. 25, 2020]



Sec.205.15  Court notices to the Register of Copyrights pursuant to 17 U.S.C. 508.

    Pursuant to 17 U.S.C. 508, within one month after the filing of any 
action under title 17, notice of the names and addresses of the parties 
and the title, author, and registration number of each work involved in 
the action, including any other copyrighted work later included by 
subsequent amendment, answer, or other pleading, must be served by the 
clerk of the court on the Register of Copyrights. Further, the clerk of 
the court must notify the Register within one month after any final 
order or judgment is issued in the case, sending with the notification a 
copy of the order or judgment together with the written opinion, if any, 
of the court. These notices must be sent to the General Counsel of the 
Copyright Office via email to [email protected]. Notices must 
include a fully completed PDF version of the Administrative Office of 
the U.S. Courts' form AO-121, ``Report on the Filing or Determination of 
an Action or Appeal Regarding a Copyright,'' available at the U.S. 
Courts' website: https://www.uscourts.gov/forms/other-forms/report-
filing-or-determination-action-or-appeal-regarding-copyright. If 
submission of a notice via email is not feasible, please contact the 
Office of the General Counsel by telephone during normal business hours 
at 202-707-8380.

[85 FR 10605, Feb. 25, 2020]



Sec. Sec.205.16-205.20  [Reserved]



 Subpart C_Testimony By Employees and Production of Documents in Legal 
             Proceedings in Which the Office Is Not a Party



Sec.205.21  Scope and purpose.

    (a) This subpart prescribes policies and procedures of the Copyright 
Office governing testimony, in legal proceedings in which the Office is 
not a

[[Page 730]]

party, by Office employees in their official capacities and the 
production of Office documents for use in legal proceedings pursuant to 
a demand, request, subpoena or order.
    (b) The purpose of this subpart is:
    (1) To conserve the time of Office employees for conducting official 
business;
    (2) To minimize the possibility of involving the Office in the 
matters of private parties or other issues which are not related to the 
mission of the Office;
    (3) To prevent the public from confusing personal opinions of Office 
employees with Office policy;
    (4) To avoid spending the time and money of the United States for 
private purposes;
    (5) To preserve the integrity of the administrative process, 
minimize disruption of the decision-making process, and prevent 
interference with the Office's administrative functions.
    (c) An employee of the Office may not voluntarily appear as a 
witness or voluntarily testify in a legal proceeding relating to his or 
her official capacity without proper authorization under this subpart.
    (d) This subpart does not apply to any legal proceeding in which:
    (1) An employee is to testify regarding facts or events that are 
unrelated to official business; or
    (2) A former employee is asked to testify as an expert on a matter 
in which that employee did not personally participate while at the 
Office so long as the former employee testifies concerning his or her 
personal opinion and does not purport to speak for or on behalf of the 
Copyright Office.



Sec.205.22  Production of documents and testimony.

    (a) Generally, all documents and material submitted to the Copyright 
Office as part of an application to register a claim to copyright are 
available for public inspection and copying. It is possible, therefore, 
to obtain those materials without use of a legal process. Anyone seeking 
such documents must contact the Records Research and Certification 
Section of the Office. 37 CFR 201.2(b)(1). Certified copies of public 
documents and public records are self-authenticating. FED. R. EVID. 902 
and 1005; see also, FED. R. CIV. p. 44(a)(1). In certain specified 
circumstances, information contained in the in-process files may be 
obtained by complying with the procedures of 37 CFR 201.2(b)(3). 
Correspondence between a copyright claimant or his or her agent and the 
Copyright Office in a completed registration, recordation, or refusal to 
register is also available for public inspection. Section 201.2(d) of 
this chapter prescribes the method for requesting copies of copyright 
registration records. An attorney engaged in actual or prospective 
litigation who submits a court order or a completed Litigation Statement 
may obtain a copy of the deposit if his or her request is found to 
comply with the requirements set out in 37 CFR 201.2(d)(2). The fees 
associated with various document requests, searches, copies, and 
expedited handling are listed in 37 CFR 201.3. Other publications 
containing Copyright Office procedures and practices are available to 
the public without charge from the Copyright Office or its website: 
http://www.copyright.gov. The Office website also allows online 
searching of copyright registration information and information 
pertaining to documents recorded with the Copyright Office beginning 
January 1, 1978. Pre-1978 copyright registration information and 
document recordation information is available to the public in the 
Copyright Office during regular business hours. If the information 
sought to be obtained from the Office is not available through these 
Office services, demands and subpoenas for testimony or documents may be 
served as follows:
    (1) Demands for testimony or documents. All demands, requests, 
subpoenas or orders for production of documents or testimony in a legal 
proceeding directed to the Copyright Office, the Register of Copyrights 
or any other Copyright Office employee in his or her official capacity 
must be in writing and should be served on the General Counsel of the 
Copyright Office as indicated in Sec.205.2 of this part and in 
accordance with the Federal Rules of Civil or Criminal Procedure.

[[Page 731]]

    (2) Affidavits. Except when the Copyright Office is a party to the 
legal proceeding, every demand, request or subpoena shall be accompanied 
by an affidavit or declaration under penalty of perjury pursuant to 28 
U.S.C. 1746. Such affidavit or declaration shall contain a written 
statement setting forth the title of the legal proceeding; the forum; 
the requesting party's interest in the legal proceeding; the reasons for 
the demand, request, or subpoena; a showing that the desired testimony 
or document is not reasonably available from any published or other 
written source, (e.g., 37 CFR, Chapter II; Compendium of U.S. Copyright 
Office Practices, Third Edition; other written practices of the Office; 
circulars; the Copyright Office website) and is not available by other 
established procedure, e.g., 37 CFR 201.2, 201.3. If testimony is 
requested in the affidavit or declaration, it shall include the intended 
use of the testimony, a detailed summary of the testimony desired, and a 
showing that no document could be provided and used in lieu of the 
requested testimony. The purpose of these requirements is to permit the 
General Counsel of the Copyright Office to make an informed decision as 
to whether testimony or production of a document should be authorized. 
The decision by the General Counsel will be based on consideration of 
the purposes set forth in Sec.205.21(b) of this part, on the 
evaluation of the requesting party's need for the testimony and any 
other factor warranted by the circumstances. Typically, when the 
information requested is available through other existing Office 
procedures or materials, the General Counsel will not authorize 
production of documents or testimony.
    (b) No Copyright Office employee shall give testimony concerning the 
official business of the Office or produce any document in a legal 
proceeding other than those made available by the Records Research and 
Certification Section under existing regulations without the prior 
authorization of the General Counsel. Without prior approval from the 
General Counsel of the Copyright Office, no Office employee shall answer 
inquiries from a person not employed by the Library of Congress or the 
Department of Justice regarding testimony or documents in connection 
with a demand, subpoena or order. All inquiries involving demands, 
subpoenas, or orders shall be directed to the General Counsel of the 
Copyright Office.
    (c) Any Office employee who receives a demand, request, subpoena or 
order for testimony or the production of documents in a legal proceeding 
shall immediately notify the General Counsel of the Copyright Office at 
the phone number indicated in Sec.205.2 of this part and shall 
immediately forward the demand to the General Counsel.
    (d) The General Counsel may consult or negotiate with an attorney 
for a party or the party, if not represented by an attorney, to refine 
or limit a demand, request or subpoena to address interests or concerns 
of the Office. Failure of the attorney or party to cooperate in good 
faith under this part may serve as the basis for the General Counsel to 
deny authorization for the testimony or production of documents sought 
in the demand.
    (e) A determination under this part regarding authorization to 
respond to a demand is not an assertion or waiver of privilege, lack of 
relevance, technical deficiency or any other ground for noncompliance. 
The Copyright Office reserves the right to oppose any demand on any 
appropriate legal ground independent of any determination under this 
part, including but not limited to, sovereign immunity, preemption, 
privilege, lack of relevance, or technical deficiency.
    (f) Office procedures when an employee receives a demand or 
subpoena. (1) If the General Counsel has not acted by the return date, 
the employee must appear at the time and place set forth in the subpoena 
(unless otherwise advised by the General Counsel) and inform the court 
(or other legal authority) that the demand has been referred for the 
prompt consideration of the General Counsel and shall request the court 
(or other legal authority) to stay the demand pending receipt of the 
requested instructions.
    (2) If the General Counsel makes a determination not to authorize 
testimony or the production of documents, but the subpoena is not 
withdrawn or modified and Department of Justice

[[Page 732]]

representation cannot be arranged, the employee should appear at the 
time and place set forth in the subpoena unless advised otherwise by the 
General Counsel. If legal counsel cannot appear on behalf of the 
employee, the employee should produce a copy of these rules and state 
that the General Counsel has advised the employee not to provide the 
requested testimony or to produce the requested document. If a court (or 
other legal authority) rules that the demand in the subpoena must be 
complied with, the employee shall respectfully decline to comply with 
the demand, citing United States ex rel.Touhy v. Ragen, 340 U.S. 462 
(1951).

[69 FR 39334, June 30, 2004, as amended at 73 FR 37840, July 2, 2008; 82 
FR 9365, Feb. 6, 2017]



Sec.205.23  Scope of testimony.

    (a)(1) If a Copyright Office employee is authorized to give 
testimony in a legal proceeding, the testimony, if otherwise proper, 
shall be limited to facts within the personal knowledge of the Office 
employee. An Office employee is prohibited from giving expert testimony, 
or opinion, answering hypothetical or speculative questions, or giving 
testimony with respect to subject matter which is privileged. If an 
Office employee is authorized to testify in connection with his or her 
involvement or assistance in a proceeding or matter before the Office, 
that employee is further prohibited from giving testimony in response to 
an inquiry about the bases, reasons, mental processes, analyses, or 
conclusions of that employee in the performance of his or her official 
functions.
    (2) The General Counsel may authorize an employee to appear and give 
expert testimony or opinion testimony upon the showing, pursuant to 
Sec.205.3 of this part, that exceptional circumstances warrant such 
testimony and that the anticipated testimony will not be adverse to the 
interest of the Copyright Office or the United States.
    (b) If an Office employee is authorized to testify, the employee 
will generally be prohibited from providing testimony in response to 
questions which seek, for example:
    (1) To elicit information about the employee's:
    (i) Qualifications to examine or otherwise consider a particular 
copyright application.
    (ii) Usual practice or whether the employee followed a procedure set 
out in any Office manual of practice in a particular case.
    (iii) Consultation with another Office employee.
    (iv) Familiarity with:
    (A) Preexisting works that are similar.
    (B) Registered works, works sought to be registered, a copyright 
application, registration, denial of registration, or request for 
reconsideration.
    (C) Copyright law or other law.
    (D) The actions of another Office employee.
    (v) Reliance on particular facts or arguments.
    (2) To inquire into the manner in and extent to which the employee 
considered or studied material in performing the function.
    (3) To inquire into the bases, reasons, mental processes, analyses, 
or conclusions of that Office employee in performing the function.
    (c) In exceptional circumstances, the General Counsel may waive the 
limitations set forth in paragraph (b) of this section pursuant to Sec.
205.3.

[69 FR 39334, June 30, 2004, as amended at 82 FR 9365, Feb. 6, 2017]



PART 210_COMPULSORY LICENSE FOR MAKING AND DISTRIBUTING PHYSICAL AND
DIGITAL PHONORECORDS OF NONDRAMATIC MUSICAL WORKS--Table of Contents



    Subpart A_Royalties and Statements of Account Under Non-Blanket 
                           Compulsory License

210.1 General.
210.2 Definitions.
210.3 Accounting requirements where sales revenue is ``recognized.''
210.4 Accounting requirements for offsetting phonorecord reserves with 
          returned phonorecords.
210.5 Situations in which a compulsory licensee is barred from 
          maintaining reserves.
210.6 Monthly statements of account.
210.7 Annual statements of account.
210.8 Documentation.
210.9 Harmless errors.

[[Page 733]]

210.10 Statements required for limitation on liability for digital music 
          providers for the transition period prior to the license 
          availability date.
210.11 Record companies using individual download licenses.
210.12-210.20 [Reserved]

   Subpart B_Blanket Compulsory License for Digital Uses, Mechanical 
         Licensing Collective, and Digital Licensee Coordinator

210.21 General.
210.22 Definitions.
210.23 Designation of the mechanical licensing collective and digital 
          licensee coordinator.
210.24 Notices of blanket license.
210.25 Notices of nonblanket activity.
210.26 Data collection and delivery efforts by digital music providers 
          and musical work copyright owners.
210.27 Reports of usage and payment for blanket licensees.
210.28 Reports of usage for significant nonblanket licensees.
210.29 Reporting and distribution of royalties to copyright owners by 
          the mechanical licensing collective.
210.30 Temporary exception to certain reporting requirements about 
          certain permanent download licenses.
210.31 Musical works database information.
210.32 Musical works database usability, interoperability, and usage 
          restrictions.
210.33 Annual reporting by the mechanical licensing collective.
210.34 Treatment of confidential and other sensitive information.

    Authority: 17 U.S.C. 115, 702.

    Source: 79 FR 56206, Sept. 18, 2014, unless otherwise noted.



    Subpart A_Royalties and Statements of Account Under Non-Blanket 
                           Compulsory License

    Source: 79 FR 56206, Sept. 18, 2014. Redesignated at 85 FR 58143, 
Sept. 17, 2020.



Sec.210.1  General.

    This subpart prescribes rules for the payment of royalties and the 
preparation and service of statements of account under the compulsory 
license for the making and distribution of phonorecords of nondramatic 
musical works, including by means of a digital phonorecord delivery, 
pursuant to 17 U.S.C. 115 and the rates and terms in part 385 of this 
title. Rules governing notices of intention to obtain a compulsory 
license for making and distributing phonorecords of nondramatic musical 
works are located in Sec.201.18. On and after the license availability 
date, this subpart shall not apply with respect to any digital 
phonorecord delivery made pursuant to the compulsory license unless such 
digital phonorecord delivery is made by a record company under an 
individual download license under 17 U.S.C. 115(b)(3), which must be 
reported and paid for in accordance with Sec.210.11; that is, this 
subpart shall not apply where a digital music provider reports and pays 
royalties under a blanket license under 17 U.S.C. 115(d)(4)(A)(i).

[79 FR 56206, Sept. 18, 2014, as amended at 83 FR 63065, Dec. 7, 2018. 
Redesignated and amended at 85 FR 58143, Sept. 17, 2020]



Sec.210.2  Definitions.

    As used in this subpart:
    (a) A Monthly Statement of Account or Monthly Statement is a 
statement accompanying monthly royalty payments identified in 17 U.S.C. 
115(c)(2)(I), and required by that section to be filed under the 
compulsory license to make and distribute phonorecords of nondramatic 
musical works, including by means of a digital phonorecord delivery.
    (b) An Annual Statement of Account or Annual Statement is a 
statement identified in 17 U.S.C 115(c)(2)(I), and required by that 
section to be filed under the compulsory license to make and distribute 
phonorecords of nondramatic musical works, including by means of a 
digital phonorecord delivery. Such term, when used in this rule, 
includes an Amended Annual Statement of Account filed pursuant to Sec.
210.7(d)(2)(iii).
    (c) A digital phonorecord delivery means each individual delivery of 
a phonorecord by digital transmission of a sound recording that results 
in a specifically identifiable reproduction by or for any transmission 
recipient of a phonorecord of that sound recording, regardless of 
whether the digital transmission is also a public performance of the 
sound recording or any musical work embodied therein. The reproduction 
of the phonorecord must be sufficiently permanent or stable to permit it 
to be perceived, reproduced, or otherwise communicated for a period of

[[Page 734]]

more than transitory duration. Such a phonorecord may be permanent or it 
may be made available to the transmission recipient for a limited period 
of time or for a specified number of performances. A digital phonorecord 
delivery includes all phonorecords that are made for the purpose of 
making the digital phonorecord delivery. A digital phonorecord delivery 
does not include any transmission that did not result in a specifically 
identifiable reproduction of the entire product being transmitted, and 
for which the distributor did not charge, or fully refunded, any monies 
that would otherwise be due for the relevant transmission. 
Notwithstanding the foregoing, a permanent download, a limited download, 
or an interactive stream, as defined in 17 U.S.C. 115(e), is a digital 
phonorecord delivery. A digital phonorecord delivery does not include 
the digital transmission of sounds accompanying a motion picture or 
other audiovisual work as defined in 17 U.S.C. 101.
    (d) Ringtone shall have the meaning given in Sec.385.2 of this 
title.
    (e) The term copyright owner, in the case of any work having more 
than one copyright owner, means any one of the co-owners.
    (f) A compulsory licensee is a person or entity exercising the 
compulsory license to make and distribute phonorecords of nondramatic 
musical works as provided under 17 U.S.C. 115, including by means of a 
digital phonorecord delivery.
    (g) A phonorecord is considered distributed if the compulsory 
licensee has voluntarily and permanently parted with possession of the 
phonorecord, which shall occur as follows:
    (1) In the case of physical phonorecords relinquished from 
possession for purposes other than sale, at the time at which the 
compulsory licensee actually first parts with possession;
    (2) In the case of physical phonorecords relinquished from 
possession for purposes of sale without a privilege of returning unsold 
phonorecords for credit or exchange, at the time at which the compulsory 
licensee actually first parts with possession;
    (3) In the case of physical phonorecords relinquished from 
possession for purposes of sale accompanied by a privilege of returning 
unsold phonorecords for credit or exchange:
    (i) At the time when revenue from a sale of the phonorecord is 
``recognized'' by the compulsory licensee; or
    (ii) Nine months from the month in which the compulsory licensee 
actually first parted with possession, whichever occurs first. For these 
purposes, a compulsory licensee shall be considered to ``recognize'' 
revenue from the sale of a phonorecord when sales revenue would be 
recognized in accordance with GAAP.
    (4) In the case of a digital phonorecord delivery, on the date that 
the phonorecord is digitally transmitted.
    (h) A phonorecord reserve comprises the number of phonorecords made 
under a particular compulsory license, if any, that have been 
relinquished from possession for purposes of sale in a given month 
accompanied by a privilege of return, as described in paragraph (g)(3) 
of this section, and that have not been considered distributed during 
the month in which the compulsory licensee actually first parted with 
their possession. The initial number of phonorecords comprising a 
phonorecord reserve shall be determined in accordance with GAAP.
    (i) A negative reserve balance comprises the aggregate number of 
phonorecords made under a particular compulsory license, if any, that 
have been relinquished from possession for purposes of sale accompanied 
by a privilege of return, as described in paragraph (g)(3) of this 
section, and that have been returned to the compulsory licensee, but 
because all available phonorecord reserves have been eliminated, have 
not been used to reduce a phonorecord reserve.
    (j) GAAP means U.S. Generally Accepted Accounting Principles, except 
that if the U.S. Securities and Exchange Commission permits or requires 
entities with securities that are publicly traded in the U.S. to employ 
International Financial Reporting Standards, as issued by the 
International Accounting Standards Board, or as accepted by the 
Securities and Exchange Commission if different from

[[Page 735]]

that issued by the International Accounting Standards Board, in lieu of 
Generally Accepted Accounting Principles, then an entity may employ 
International Financial Reporting Standards as ``GAAP'' for purposes of 
this subpart.
    (k) Any terms not otherwise defined in this section shall have the 
meanings set forth in 17 U.S.C. 115(e).

[79 FR 56206, Sept. 18, 2014, as amended at 83 FR 63065, Dec. 7, 2018. 
Redesignated at 85 FR 58143, Sept. 17, 2020. Amended at 86 FR 2203, Jan. 
11, 2021]



Sec.210.3  Accounting requirements where sales revenue is ``recognized.''

    Where under Sec.210.2(g)(3)(i), revenue from the sale of 
phonorecords is ``recognized'' during any month after the month in which 
the compulsory licensee actually first parted with their possession, 
said compulsory licensee shall reduce particular phonorecord reserves by 
the number of phonorecords for which revenue is being ``recognized,'' as 
follows:
    (a) If the number of phonorecords for which revenue is being 
``recognized'' is smaller than the number of phonorecords comprising the 
earliest eligible phonorecord reserve, this phonorecord reserve shall be 
reduced by the number of phonorecords for which revenue is being 
``recognized.'' Subject to the time limitations of Sec.
210.2(g)(3)(ii), the number of phonorecords remaining in this reserve 
shall be available for use in subsequent months.
    (b) If the number of phonorecords for which revenue is being 
``recognized'' is greater than the number of phonorecords comprising the 
earliest eligible phonorecord reserve but less than the total number of 
phonorecords comprising all eligible phonorecord reserves, the 
compulsory licensee shall first eliminate those phonorecord reserves, 
beginning with the earliest eligible phonorecord reserve and continuing 
to the next succeeding phonorecord reserves, that are completely offset 
by phonorecords for which revenue is being ``recognized.'' Said 
compulsory licensee shall then reduce the next succeeding phonorecord 
reserve by the number of phonorecords for which revenue is being 
``recognized'' that have not been used to eliminate a phonorecord 
reserve. Subject to the time limitations of Sec.210.2(g)(3)(ii), the 
number of phonorecords remaining in this reserve shall be available for 
use in subsequent months.
    (c) If the number of phonorecords for which revenue is being 
``recognized'' equals the number of phonorecords comprising all eligible 
phonorecord reserves, the person or entity exercising the compulsory 
license shall eliminate all of the phonorecord reserves.
    (d) Digital phonorecord deliveries shall not be considered as 
accompanied by a privilege of return as described in Sec.210.2(g)(3), 
and the compulsory licensee shall not take digital phonorecord 
deliveries into account in establishing phonorecord reserves.

[79 FR 56206, Sept. 18, 2014. Redesignated at 85 FR 58143, Sept. 17, 
2020]



Sec.210.4  Accounting requirements for offsetting phonorecord reserves
with returned phonorecords.

    (a) In the case of a phonorecord that has been relinquished from 
possession for purposes of sale accompanied by a privilege of return, as 
described in Sec.210.2(g)(3), where the phonorecord is returned to the 
compulsory licensee for credit or exchange before said compulsory 
licensee is considered to have ``voluntarily and permanently parted with 
possession'' of the phonorecord as described in Sec.210.2(g), the 
compulsory licensee may use such phonorecord to reduce a ``phonorecord 
reserve,'' as defined in Sec.210.2(h).
    (b) In such cases, the compulsory licensee shall reduce particular 
phonorecord reserves by the number of phonorecords that are returned 
during the month covered by the Monthly Statement of Account in the 
following manner:
    (1) If the number of phonorecords that are returned during the month 
covered by the Monthly Statement is smaller than the number comprising 
the earliest eligible phonorecord reserve, the compulsory licensee shall 
reduce this phonorecord reserve by the total number of returned 
phonorecords. Subject to the time limitations in Sec.210.2(g)(3)(ii), 
the number of phonorecords remaining in this reserve

[[Page 736]]

shall be available for use in subsequent months.
    (2) If the number of phonorecords that are returned during the month 
covered by the Monthly Statement is greater than the number of 
phonorecords comprising the earliest eligible phonorecord reserve but 
less than the total number of phonorecords comprising all eligible 
phonorecord reserves, the compulsory licensee shall first eliminate 
those phonorecord reserves, beginning with the earliest eligible 
phonorecord reserve, and continuing to the next succeeding phonorecord 
reserves, that are completely offset by returned phonorecords. Said 
compulsory licensee shall then reduce the next succeeding phonorecord 
reserve by the number of returned phonorecords that have not been used 
to eliminate a phonorecord reserve. Subject to the time limitations in 
Sec.210.2(g)(3)(ii), the number of phonorecords remaining in this 
reserve shall be available for use in subsequent months.
    (3) If the number of phonorecords that are returned during the month 
covered by the Monthly Statement is equal to or is greater than the 
total number of phonorecords comprising all eligible phonorecord 
reserves, the compulsory licensee shall eliminate all eligible 
phonorecord reserves. Where said number is greater than the total number 
of phonorecords comprising all eligible phonorecord reserves, said 
compulsory licensee shall establish a ``negative reserve balance,'' as 
defined in Sec.210.2(i).
    (c) Except where a negative reserve balance exists, a separate and 
distinct phonorecord reserve shall be established for each month during 
which the compulsory licensee relinquishes phonorecords from possession 
for purposes of sale accompanied by a privilege of return, as described 
in Sec.210.2(g)(3). In accordance with Sec.210.2(g)(3)(ii), any 
phonorecord remaining in a particular phonorecord reserve nine months 
from the month in which the particular reserve was established shall be 
considered ``distributed''; at that point, the particular monthly 
phonorecord reserve shall lapse and royalties for the phonorecords 
remaining in it shall be paid as provided in Sec.210.6(d)(2).
    (d) Where a negative reserve balance exists, the aggregate total of 
phonorecords comprising it shall be accumulated into a single balance 
rather than being separated into distinct monthly balances. Following 
the establishment of a negative reserve balance, any phonorecords 
relinquished from possession by the compulsory licensee for purposes of 
sale or otherwise, shall be credited against such negative balance, and 
the negative reserve balance shall be reduced accordingly. Digital 
phonorecord deliveries may be credited against such negative reserve 
balance, but only if such digital phonorecord deliveries have the same 
royalty rate as physical phonorecords under part 385 of this title. The 
nine-month limit provided in Sec.210.2(g)(3)(ii) shall have no effect 
upon a negative reserve balance; where a negative reserve balance 
exists, relinquishment from possession of a phonorecord by the 
compulsory licensee at any time shall be used to reduce such balance, 
and such phonorecord shall not be considered ``distributed'' within the 
meaning of Sec.210.2(g).
    (e) In no case shall a phonorecord reserve be established while a 
negative reserve balance is in existence; conversely, in no case shall a 
negative reserve balance be established before all available phonorecord 
reserves have been eliminated.

[79 FR 56206, Sept. 18, 2014. Redesignated and amended at 85 FR 58143, 
Sept. 17, 2020]



Sec.210.5  Situations in which a compulsory licensee is barred from
maintaining reserves.

    Notwithstanding any other provisions of this section, in any case 
where, within three years before the phonorecord was relinquished from 
possession, the compulsory licensee has had final judgment entered 
against it for failure to pay royalties for the reproduction of 
copyrighted music on phonorecords, or within such period has been 
definitively found in any proceeding involving bankruptcy, insolvency, 
receivership, assignment for the benefit of creditors, or similar 
action, to have failed to pay such royalties,

[[Page 737]]

that compulsory licensee shall be considered to have ``permanently 
parted with possession'' of a phonorecord made under the license at the 
time at which that compulsory licensee actually first parts with 
possession. For these purposes the compulsory licensee shall include:
    (a) In the case of any corporation, the corporation or any director, 
officer, or beneficial owner of twenty-five percent (25%) or more of the 
outstanding securities of the corporation;
    (b) In all other cases, any entity or individual owning a beneficial 
interest of twenty-five percent (25%) or more in the entity exercising 
the compulsory license.

[79 FR 56206, Sept. 18, 2014, as amended at 82 FR 9365, Feb. 6, 2017. 
Redesignated at 85 FR 58143, Sept. 17, 2020]



Sec.210.6  Monthly statements of account.

    (a) Forms. The Copyright Office does not provide printed forms for 
the use of persons serving Monthly Statements of Account.
    (b) General content. A Monthly Statement of Account shall be clearly 
and prominently identified as a ``Monthly Statement of Account Under 
Compulsory License for Making and Distributing Phonorecords,'' and shall 
include a clear statement of the following information:
    (1) The period (month and year) covered by the Monthly Statement.
    (2) The full legal name of the compulsory licensee, together with 
all fictitious or assumed names used by such person or entity for the 
purpose of conducting the business of making and distributing 
phonorecords.
    (3) The full address, including a specific number and street name or 
rural route, of the place of business of the compulsory licensee. A post 
office box or similar designation will not be sufficient for this 
purpose, except where it is the only address that can be used in that 
geographic location.
    (4) For each nondramatic musical work that is owned by the same 
copyright owner being served with the Monthly Statement and that is 
embodied in phonorecords covered by the compulsory license, a detailed 
statement of all of the information called for in paragraph (c) of this 
section.
    (5) The total royalty payable to the relevant copyright owner for 
the month covered by the Monthly Statement, computed in accordance with 
the requirements of this section and the formula specified in paragraph 
(d) of this section, including detailed information regarding how the 
royalty was computed.
    (6) The amount of late fees, if applicable, included in the payment 
associated with the Monthly Statement.
    (7) In any case where the compulsory licensee falls within the 
provisions of Sec.210.5, a clear description of the action or 
proceeding involved, including the date of the final judgment or 
definitive finding described in that section.
    (8) Detailed instructions on how to request records of any 
promotional or free trial uses of the copyright owner's works that are 
required to be maintained or provided under applicable provisions of 
part 385 of this title, or any other provisions, including, where 
applicable, records required to be maintained or provided by any third 
parties that were authorized by the compulsory licensee to engage in 
such uses during any part of the month. If this information is provided, 
Monthly Statements need not reflect phonorecords subject to any 
promotional or free trial royalty rate of zero that may be provided in 
part 385 of this title.
    (c) Specific content of monthly statements--(1) Accounting of 
phonorecords subject to a cents rate royalty structure. The information 
called for by paragraph (b)(4) of this section shall, with respect to 
each nondramatic musical work as to which the compulsory licensee has 
made and distributed phonorecords subject to applicable provisions of 
part 385 of this title, or any other provisions, requiring computation 
of applicable royalties on a cents-per-unit basis, include a separate 
listing of each of the following items of information:
    (i) The number of phonorecords made during the month covered by the 
Monthly Statement.
    (ii) The number of phonorecords that, during the month covered by 
the Monthly Statement and regardless of when made, were either:

[[Page 738]]

    (A) Relinquished from possession for purposes other than sale;
    (B) Relinquished from possession for purposes of sale without any 
privilege of returning unsold phonorecords for credit or exchange;
    (C) Relinquished from possession for purposes of sale accompanied by 
a privilege of returning unsold phonorecords for credit or exchange;
    (D) Returned to the compulsory licensee for credit or exchange; or
    (E) Placed in a phonorecord reserve (except that if a negative 
reserve balance exists give either the number of phonorecords added to 
the negative reserve balance, or the number of phonorecords relinquished 
from possession that have been used to reduce the negative reserve 
balance).
    (iii) The number of phonorecords, regardless of when made, that were 
relinquished from possession during a month earlier than the month 
covered by the Monthly Statement but that, during the month covered by 
the Monthly Statement either have had revenue from their sale 
``recognized'' under Sec.210.2(g)(3)(i), or were comprised in a 
phonorecord reserve that lapsed after nine months under Sec.
210.2(g)(3)(ii).
    (iv) The per unit statutory royalty rate applicable to the relevant 
configuration; and
    (v) The total royalty payable for the month covered by the Monthly 
Statement (i.e., the result in paragraph (d)(2)(v) of this section) for 
the item described by the set of information called for, and broken down 
as required, by paragraph (c)(1) of this section.
    (vi) The phonorecord identification information required by 
paragraph (c)(3) of this section.
    (2) Accounting of phonorecords subject to a percentage rate royalty 
structure. The information called for by paragraph (b)(4) of this 
section shall, with respect to each nondramatic musical work as to which 
the compulsory licensee has made and distributed phonorecords subject to 
applicable provisions of part 385 of this title, or any other 
provisions, requiring computation of applicable royalties on a 
percentage-rate basis, include a detailed and step-by-step accounting of 
the calculation of royalties under applicable provisions of part 385 of 
this title, sufficient to allow the copyright owner to assess the manner 
in which the licensee determined the royalty owed and the accuracy of 
the royalty calculations, including but not limited to the following 
information:
    (i) The number of plays, constructive plays, or other payable units, 
of the relevant sound recording for the month covered by the Monthly 
Statement for the relevant offering.
    (ii) The total royalty payable for the month for the item described 
by the set of information called for, and broken down as required, by 
paragraph (c)(3) of this section (i.e., the per-work royalty allocation 
for the relevant sound recording and offering).
    (iii) The phonorecord identification information required by 
paragraph (c)(3) of this section.
    (3) Identification of phonorecords in monthly statements. The 
information required by this paragraph shall include, and if necessary 
shall be broken down to identify separately, the following:
    (i) The title of the nondramatic musical work subject to compulsory 
license.
    (ii) A reference number or code identifying the relevant Notice of 
Intention, if the compulsory licensee chose to include such a number or 
code on its relevant Notice of Intention for the compulsory license.
    (iii) The International Standard Recording Code (ISRC) associated 
with the relevant sound recording, if known, and at least one of the 
following, as applicable and available for tracking sales and/or usage:
    (A) The catalog number or numbers and label name or names, 
associated with the phonorecords;
    (B) The Universal Product Code (UPC) or similar code used on or 
associated with the phonorecords; or
    (C) The sound recording identification number assigned by the 
compulsory licensee or a third-party distributor to the relevant sound 
recording.
    (iv) The names of the principal recording artist or group engaged in 
rendering the performances fixed on the phonorecords.
    (v) The playing time of the relevant sound recording, except that 
playing time is not required in the case of

[[Page 739]]

ringtones or licensed activity to which no overtime adjustment is 
applicable.
    (vi) If the compulsory licensee chooses to allocate its payment 
between co-owners of the copyright in the nondramatic musical work, as 
described in paragraph (g)(1) of this section, and thus pays the 
copyright owner (or agent) receiving the statement less than one hundred 
percent of the applicable royalty, the percentage share paid.
    (vii) The names of the writer or writers of the nondramatic musical 
work, or the International Standard Name Identifiers (ISNIs) or other 
unique identifier of the writer or writers, if known.
    (viii) The International Standard Musical Work Code (ISWC) or other 
unique identifier for the nondramatic musical work, if known.
    (ix) Identification of the relevant phonorecord configuration (for 
example: compact disc, permanent digital download, ringtone) or offering 
(for example: limited download, music bundle) for which the royalty was 
calculated, including, if applicable and except for physical 
phonorecords, the name of the third-party distributor of the 
configuration or offering.
    (d) Royalty payment and accounting--(1) In general. The total 
royalty called for by paragraph (b)(5) of this section shall be computed 
so as to include every phonorecord ``distributed'' during the month 
covered by the Monthly Statement.
    (2) Phonorecords subject to a cents rate royalty structure. For 
phonorecords subject to applicable provisions of part 385 of this title, 
or any other provisions, requiring computation of applicable royalties 
on a cents-per-unit basis, the amount of the royalty payment shall be 
calculated as follows:
    (i) Step 1: Compute the number of phonorecords shipped for sale with 
a privilege of return. This is the total of phonorecords that, during 
the month covered by the Monthly Statement, were relinquished from 
possession by the compulsory licensee, accompanied by the privilege of 
returning unsold phonorecords to the compulsory licensee for credit or 
exchange. This total does not include:
    (A) Any phonorecords relinquished from possession by the compulsory 
licensee for purposes of sale without the privilege of return; and
    (B) Any phonorecords relinquished from possession for purposes other 
than sale.
    (ii) Step 2: Subtract the number of phonorecords reserved. This 
involves deducting, from the subtotal arrived at in Step 1, the number 
of phonorecords that have been placed in the phonorecord reserve for the 
month covered by the Monthly Statement. The number of phonorecords 
reserved is determined by multiplying the subtotal from Step 1 by the 
percentage reserve level established under GAAP. This step should be 
skipped by a compulsory licensee barred from maintaining reserves under 
Sec.210.5.
    (iii) Step 3: Add the total of all phonorecords that were shipped 
during the month and were not counted in Step 1. This total is the sum 
of two figures:
    (A) The number of phonorecords that, during the month covered by the 
Monthly Statement, were relinquished from possession by the compulsory 
licensee for purposes of sale, without the privilege of returning unsold 
phonorecords to the compulsory licensee for credit or exchange; and
    (B) The number of phonorecords relinquished from possession by the 
compulsory licensee, during the month covered by the Monthly Statement, 
for purposes other than sale.
    (iv) Step 4: Make any necessary adjustments for sales revenue 
``recognized,'' lapsed reserves, or reduction of negative reserve 
balance during the month. If necessary, this step involves adding to or 
subtracting from the subtotal arrived at in Step 3 on the basis of three 
possible types of adjustments:
    (A) Sales revenue ``recognized.'' If, in the month covered by the 
Monthly Statement, the compulsory licensee ``recognized'' revenue from 
the sale of phonorecords that had been relinquished from possession in 
an earlier month, the number of such phonorecords is added to the Step 3 
subtotal.
    (B) Lapsed reserves. If, in the month covered by the Monthly 
Statement, there are any phonorecords remaining in the phonorecord 
reserve for the

[[Page 740]]

ninth previous month (that is, any phonorecord reserves from the ninth 
previous month that have not been offset under FOFI, the first-out-
first-in accounting convention, by actual returns during the intervening 
months), the reserve lapses and the number of phonorecords in it is 
added to the Step 3 subtotal.
    (C) Reduction of negative reserve balance. If, in the month covered 
by the Monthly Statement, the aggregate reserve balance for all previous 
months is a negative amount, the number of phonorecords relinquished 
from possession by the compulsory licensee during that month and used to 
reduce the negative reserve balance is subtracted from the Step 3 
subtotal.
    (v) Step 5: Multiply by the statutory royalty rate. The total 
monthly royalty payment is obtained by multiplying the subtotal from 
Step 3, as adjusted if necessary by Step 4, by the statutory royalty 
rate set forth in applicable provisions of part 385 of this title.
    (3) Phonorecords subject to a percentage rate royalty structure. For 
phonorecords subject to applicable provisions of part 385 of this title, 
or any other provisions, requiring computation of applicable royalties 
on a percentage-rate basis, the amount of the royalty payment shall be 
calculated as provided in applicable provisions of part 385 of this 
title. The calculations shall be made in good faith and on the basis of 
the best knowledge, information, and belief of the licensee at the time 
payment is due, and subject to the additional accounting and 
certification requirements of 17 U.S.C. 115(c)(2)(I) and this section. 
The following additional provisions shall also apply:
    (i) A licensee may, in cases where the final public performance 
royalty has not yet been determined, compute the public performance 
royalty component based on the interim public performance royalty rate, 
if established; or alternatively, on a reasonable estimation of the 
expected royalties to be paid in accordance with GAAP. Royalty payments 
based on anticipated payments or interim public performance royalty 
rates must be reconciled on the Annual Statement of Account, or by 
complying with Sec.210.7(d)(2)(iii) governing Amended Annual 
Statements of Account.
    (ii) When calculating the per-work royalty allocation for each work, 
as described in applicable provisions of part 385 of this title, an 
actual or constructive per-play allocation is to be calculated to at 
least the hundredth of a cent (i.e., to at least four decimal places).
    (e) Clear statements. The information required by paragraphs (b) and 
(c) of this section requires intelligible, legible, and unambiguous 
statements in the Monthly Statements of Account without incorporation of 
facts or information contained in other documents or records.
    (f) Certification. (1) Each Monthly Statement of Account shall be 
accompanied by:
    (i) The printed or typewritten name of the person who is signing and 
certifying the Monthly Statement of Account.
    (ii) A signature, which in the case of a compulsory licensee that is 
a corporation or partnership, shall be the signature of a duly 
authorized officer of the corporation or of a partner.
    (iii) The date of signature and certification.
    (iv) If the compulsory licensee is a corporation or partnership, the 
title or official position held in the partnership or corporation by the 
person who is signing and certifying the Monthly Statement of Account.
    (v) One of the following statements:
    (A) I certify that (1) I am duly authorized to sign this Monthly 
Statement of Account on behalf of the compulsory licensee; (2) I have 
examined this Monthly Statement of Account; and (3) all statements of 
fact contained herein are true, complete, and correct to the best of my 
knowledge, information, and belief, and are made in good faith; or
    (B) I certify that (1) I am duly authorized to sign this Monthly 
Statement of Account on behalf of the compulsory licensee, (2) I have 
prepared or supervised the preparation of the data used by the 
compulsory licensee and/or its agent to generate this Monthly Statement 
of Account, (3) such data is true, complete, and correct to the best of 
my knowledge, information, and belief, and was prepared in good faith,

[[Page 741]]

and (4) this Monthly Statement of Account was prepared by the compulsory 
licensee and/or its agent using processes and internal controls that 
were subject to an examination, during the past year, by a licensed 
Certified Public Accountant in accordance with the attestation standards 
established by the American Institute of Certified Public Accountants, 
the opinion of whom was that the processes and internal controls were 
suitably designed to generate monthly statements that accurately 
reflect, in all material respects, the compulsory licensee's usage of 
musical works, the statutory royalties applicable thereto, and any other 
data that is necessary for the proper calculation of the statutory 
royalties in accordance with 17 U.S.C. 115 and applicable regulations.
    (2) If the Monthly Statement of Account is served by mail or by 
reputable courier service, certification of the Monthly Statement of 
Account by the compulsory licensee shall be made by handwritten 
signature. If the Monthly Statement of Account is served electronically, 
certification of the Monthly Statement of Account by the compulsory 
licensee shall be made by electronic signature as defined in section 
7006(5) of title 15 of the United States Code.
    (g) Service. (1) The service of a Monthly Statement of Account on a 
copyright owner under this subpart may be accomplished by means of 
service on either the copyright owner or an agent of the copyright owner 
with authority to receive Statements of Account on behalf of the 
copyright owner. In the case where the work has more than one copyright 
owner, the service of a Statement of Account on at least one co-owner or 
upon an agent of at least one of the co-owners shall be sufficient with 
respect to all co-owners. The compulsory licensee may choose to allocate 
its payment between co-owners. In such a case the compulsory licensee 
shall provide each co-owner (or its agent) a Monthly Statement 
reflecting the percentage share paid to that co-owner. Each Monthly 
Statement of Account shall be served on the copyright owner or the agent 
to whom or which it is directed by mail, by reputable courier service, 
or by electronic delivery as set forth in paragraph (g)(2) of this 
section on or before the 20th day of the immediately succeeding month. 
The royalty payment for a month also shall be served on or before the 
20th day of the immediately succeeding month. The Monthly Statement and 
payment may be sent together or separately, but if sent separately, the 
payment must include information reasonably sufficient to allow the 
payee to match the Monthly Statement to the payment. However, in the 
case where the compulsory licensee has served its Notice of Intention 
upon an agent of the copyright owner pursuant to Sec.201.18 of this 
chapter, the compulsory licensee is not required to serve Monthly 
Statements of Account or make any royalty payments until the compulsory 
licensee receives from the agent with authority to receive the Notice of 
Intention notice of the name and address of the copyright owner or its 
agent upon whom the compulsory licensee shall serve Monthly Statements 
of Account and the monthly royalty fees. Upon receipt of this 
information, the compulsory licensee shall serve Monthly Statements of 
Account and all royalty fees covering the intervening period upon the 
person or entity identified by the agent with authority to receive the 
Notice of Intention by or before the 20th day of the month following 
receipt of the notification. It shall not be necessary to file a copy of 
the Monthly Statement in the Copyright Office.
    (2) A copyright owner or authorized agent may send a licensee a 
demand that Monthly Statements of Account be submitted in a readily 
accessible electronic format consistent with prevailing industry 
practices applicable to comparable electronic delivery of comparable 
financial information.
    (3) When a compulsory licensee receives a request to deliver or make 
available Monthly Statements of Account in electronic form, or a request 
to revert back to service by mail or reputable courier service, the 
compulsory licensee shall make such a change effective with the first 
accounting period ending at least 30 days after the compulsory 
licensee's receipt of the request and any information (such as a postal 
or email address, as the case

[[Page 742]]

may be) that is necessary for the compulsory licensee to make the 
change.
    (4)(i) In any case where a Monthly Statement of Account is sent by 
mail or reputable courier service and the Monthly Statement of Account 
is returned to the sender because the copyright owner or agent is no 
longer located at that address or has refused to accept delivery, or the 
Monthly Statement of Account is sent by electronic mail and is 
undeliverable, or in any case where an address for the copyright owner 
is not known, the Monthly Statement of Account, together with any 
evidence of mailing or attempted delivery by courier service or 
electronic mail, may be filed in the Licensing Division of the Copyright 
Office. Any Monthly Statement of Account submitted for filing in the 
Copyright Office shall be accompanied by a brief statement of the reason 
why it was not served on the copyright owner. A written acknowledgment 
of receipt and filing will be provided to the sender.
    (ii) The Copyright Office will not accept any royalty fees submitted 
with Monthly Statements of Account under this section.
    (iii) Neither the filing of a Monthly Statement of Account in the 
Copyright Office, nor the failure to file such Monthly Statement, shall 
have effect other than that which may be attributed to it by a court of 
competent jurisdiction.
    (iv) No filing fee will be required in the case of Monthly 
Statements of Account submitted to the Copyright Office under this 
section. Upon request and payment of the fee specified in Sec.201.3(e) 
of this chapter, a Certificate of Filing will be provided to the sender.
    (5) Subject to paragraph (g)(6) of this section, a separate Monthly 
Statement of Account shall be served for each month during which there 
is any activity relevant to the payment of royalties under 17 U.S.C. 
115. The Annual Statement of Account described in Sec.210.7 of this 
subpart does not replace any Monthly Statement of Account.
    (6) Royalties under 17 U.S.C. 115 shall not be considered payable, 
and no Monthly Statement of Account shall be required, until the 
compulsory licensee's cumulative unpaid royalties for the copyright 
owner equal at least one cent. Moreover, in any case in which the 
cumulative unpaid royalties under 17 U.S.C. 115 that would otherwise be 
payable by the compulsory licensee to the copyright owner are less than 
$5, and the copyright owner has not notified the compulsory licensee in 
writing that it wishes to receive Monthly Statements of Account 
reflecting payments of less than $5, the compulsory licensee may choose 
to defer the payment date for such royalties and provide no Monthly 
Statements of Account until the earlier of the time for rendering the 
Monthly Statement of Account for the month in which the compulsory 
licensee's cumulative unpaid royalties under section 17 U.S.C. 115 for 
the copyright owner exceed $5 or the time for rendering the Annual 
Statement of Account, at which time the compulsory licensee may provide 
one statement and payment covering the entire period for which royalty 
payments were deferred.
    (7) If the compulsory licensee is required, under applicable tax law 
and regulations, to make backup withholding from its payments required 
hereunder, the compulsory licensee shall indicate the amount of such 
withholding on the Monthly Statement or on or with the payment.
    (8) If a Monthly Statement of Account is sent by certified mail or 
registered mail, a mailing receipt shall be sufficient to prove that 
service was timely. If a Monthly Statement of Account is sent by a 
reputable courier, documentation from the courier showing the first date 
of attempted delivery shall be sufficient to prove that service was 
timely. If a Monthly Statement of Account or a link thereto is sent by 
electronic mail, a return receipt shall be sufficient to prove that 
service was timely. In the absence of the foregoing, the compulsory 
licensee shall bear the burden of proving that the Monthly Statement of 
Account was served in a timely manner.

[79 FR 56206, Sept. 18, 2014, as amended at 79 FR 60978, Oct. 9, 2014; 
83 FR 63065, Dec. 7, 2018; 84 FR 10686, Mar. 22, 2019. Redesignated at 
85 FR 58143, Sept. 17, 2020]

    Effective Date Note: At 86 FR 32643, June 22, 2021, Sec.
210.6(g)(4)(i) was amended by removing ``Licensing Division'' and adding 
in

[[Page 743]]

its place ``Licensing Section'', effective July 22, 2021.



Sec.210.7  Annual statements of account.

    (a) Forms. The Copyright Office does not provide printed forms for 
the use of persons serving Annual Statements of Account.
    (b) Annual period. Any Annual Statement of Account shall cover the 
full fiscal year of the compulsory licensee.
    (c) General content. An Annual Statement of Account shall be clearly 
and prominently identified as an ``Annual Statement of Account Under 
Compulsory License for Making and Distributing Phonorecords,'' and shall 
include a clear statement of the following information:
    (1) The fiscal year covered by the Annual Statement of Account.
    (2) The full legal name of the compulsory licensee, together with 
all fictitious or assumed names used by such person or entity for the 
purpose of conducting the business of making and distributing 
phonorecords.
    (3) If the compulsory licensee is a business organization, the name 
and title of the chief executive officer, managing partner, sole 
proprietor or other person similarly responsible for the management of 
such entity.
    (4) The full address, including a specific number and street name or 
rural route, or the place of business of the compulsory licensee (a post 
office box or similar designation will not be sufficient for this 
purpose except where it is the only address that can be used in that 
geographic location).
    (5) For each nondramatic musical work that is owned by the same 
copyright owner being served with the Annual Statement and that is 
embodied in phonorecords covered by the compulsory license, a detailed 
statement of all of the information called for in paragraph (d) of this 
section.
    (6) The total royalty payable for the fiscal year covered by the 
Annual Statement computed in accordance with the requirements of Sec.
210.6, and, in the case of offerings for which royalties are calculated 
pursuant to applicable provisions of part 385 of this title, or any 
other provisions, requiring computation of applicable royalties on a 
percentage-rate basis, calculations showing in detail how the royalty 
was computed (for these purposes, the applicable royalty as specified in 
applicable provisions of part 385 of this title, or any other 
provisions, requiring computation of applicable royalties on a cents-
per-unit basis shall be payable for every phonorecord ``distributed'' 
during the fiscal year covered by the Annual Statement).
    (7) The total sum paid under Monthly Statements of Account by the 
compulsory licensee to the copyright owner being served with the Annual 
Statement during the fiscal year covered by the Annual Statement.
    (8) In any case where the compulsory license falls within the 
provisions of Sec.210.5, a clear description of the action or 
proceeding involved, including the date of the final judgment or 
definitive finding described in that section.
    (9) Any late fees, if applicable, included in any payment associated 
with the Annual Statement.
    (d) Specific content of annual statements--(1) Accounting of 
phonorecords subject to a cents rate royalty structure. The information 
called for by paragraph (c)(5) of this section shall, with respect to 
each nondramatic musical work as to which the compulsory licensee has 
made and distributed phonorecords subject to applicable provisions of 
part 385 of this title, or any other provisions, requiring computation 
of applicable royalties on a cents-per-unit basis, include a separate 
listing of each of the following items of information:
    (i) The number of phonorecords made through the end of the fiscal 
year covered by the Annual Statement, including any made during earlier 
years.
    (ii) The number of phonorecords which have never been relinquished 
from possession of the compulsory licensee through the end of the fiscal 
year covered by the Annual Statement.
    (iii) The number of phonorecords involuntarily relinquished from 
possession (as through fire or theft) of the compulsory licensee during 
the fiscal year covered by the Annual Statement and any earlier years, 
together with a description of the facts of such involuntary 
relinquishment.

[[Page 744]]

    (iv) The number of phonorecords ``distributed'' by the compulsory 
licensee during all years before the fiscal year covered by the Annual 
Statement.
    (v) The number of phonorecords relinquished from possession of the 
compulsory licensee for purposes of sale during the fiscal year covered 
by the Annual Statement accompanied by a privilege of returning unsold 
records for credit or exchange, but not ``distributed'' by the end of 
that year.
    (vi) The number of phonorecords ``distributed'' by the compulsory 
licensee during the fiscal year covered by the Annual Statement.
    (vii) The per unit statutory royalty rate applicable to the relevant 
configuration.
    (viii) The total royalty payable for the fiscal year covered by the 
Annual Statement for the item described by the set of information called 
for, and broken down as required, by this paragraph (d)(1).
    (ix) The phonorecord identification information required by 
paragraph (d)(3) of this section.
    (2) Accounting of phonorecords subject to a percentage rate royalty 
structure. (i) The information called for by paragraph (c)(5) of this 
section shall identify each offering for which royalties are to be 
calculated separately and, with respect to each nondramatic musical work 
as to which the compulsory licensee has made and distributed 
phonorecords subject to applicable provisions of part 385 of this title, 
or any other provisions, requiring computation of applicable royalties 
on a percentage-rate basis, include the number of plays, constructive 
plays, or other payable units during the fiscal year covered by the 
Annual Statement, together with, and which if necessary shall be broken 
down to identify separately, the following:
    (A) The total royalty payable for the fiscal year for the item 
described by the set of information called for, and broken down as 
required, by paragraph (d)(3) of this section (i.e., the per-work 
royalty allocation for the relevant sound recording and offering).
    (B) The phonorecord identification information required by paragraph 
(d)(3) of this section.
    (ii) If the information given under paragraph (d)(2)(i) of this 
section does not reconcile, the Annual Statement shall also include a 
clear and detailed explanation of the difference.
    (iii) In any case where a licensee serves an Annual Statement of 
Account based on anticipated payments or interim public performance 
royalty rates prior to the final determination of final public 
performance royalties for all musical works used by the service in the 
relevant fiscal year, the licensee shall serve an Amended Annual 
Statement of Account within six months from the date such public 
performance royalties have been established. The Amended Annual 
Statement of Account shall recalculate the royalty fees reported on the 
relevant Annual Statement of Account to adjust for any change to the 
public performance rate used to calculate the royalties reported. 
Service shall be made in accordance with paragraph (g) of this section. 
Certification of the Amended Annual Statement shall be made in 
accordance with paragraph (f) of this section, except that the CPA 
examination under paragraph (f)(2) of this section may be limited to the 
licensee's recalculation of royalty fees in accordance with this 
paragraph.
    (3) Identification of phonorecords in annual statements. The 
information required by this paragraph shall include, and if necessary 
shall be broken down to identify separately, the following:
    (i) The title of the nondramatic musical work subject to compulsory 
license.
    (ii) A reference number or code identifying the relevant Notice of 
Intention, if the compulsory licensee chose to include such a number or 
code on its relevant Notice of Intention for the compulsory license.
    (iii) The International Standard Recording Code (ISRC) associated 
with the relevant sound recording, if known; and at least one of the 
following, as applicable and available for tracking sales and/or usage:
    (A) The catalog number or numbers and label name or names, used on 
or associated with the phonorecords;
    (B) The Universal Product Code (UPC) or similar code used on or 
associated with the phonorecords; or

[[Page 745]]

    (C) The sound recording identification number assigned by the 
compulsory licensee or a third-party distributor to the relevant sound 
recording;
    (iv) The names of the principal recording artist or group engaged in 
rendering the performances fixed on the phonorecords.
    (v) The playing time of the relevant sound recording, except that 
playing time is not required in the case of ringtones or licensed 
activity to which no overtime adjustment is applicable.
    (vi) If the compulsory licensee chooses to allocate its payments 
between co-owners of the copyright in the nondramatic musical work as 
described in paragraph (g)(1) of Sec.210.6, and thus pays the 
copyright owner (or agent) receiving the statement less than one hundred 
percent of the applicable royalty, the percentage share paid.
    (vii) The names for the writer or writers of the nondramatic musical 
work, or the International Standard Name Identifiers (ISNIs) or other 
unique identifier of the writer or writers, if known.
    (viii) The International Standard Work Code (ISWC) or other unique 
identifier for the nondramatic musical work, if known.
    (ix) Identification of the relevant phonorecord configuration (for 
example: compact disc, permanent digital download, ringtone) or offering 
(for example: limited download, music bundle) for which the royalty was 
calculated, including, if applicable and except for physical 
phonorecords, the name of the third-party distributor of the 
configuration or offering.
    (e) Clear statement. The information required by paragraph (c) of 
this section requires intelligible, legible, and unambiguous statements 
in the Annual Statement of Account without incorporation by reference of 
facts or information contained in other documents or records.
    (f) Certification. (1) Each Annual Statement of Account shall be 
accompanied by:
    (i) The printed or typewritten name of the person who is signing the 
Annual Statement of Account on behalf of the compulsory licensee.
    (ii) A signature, which in the case of a compulsory licensee that is 
a corporation or partnership, shall be the signature of a duly 
authorized officer of the corporation or of a partner.
    (iii) The date of signature.
    (iv) If the compulsory licensee is a corporation or partnership, the 
title or official position held in the partnership or corporation by the 
person signing the Annual Statement of Account.
    (v) The following statement: I am duly authorized to sign this 
Annual Statement of Account on behalf of the compulsory licensee.
    (2) Each Annual Statement of Account shall also be certified by a 
licensed Certified Public Accountant. Such certification shall comply 
with the following requirements:
    (i) Except as provided in paragraph (f)(2)(ii) of this section, the 
accountant shall certify that it has conducted an examination of the 
Annual Statement of Account prepared by the compulsory licensee in 
accordance with the attestation standards established by the American 
Institute of Certified Public Accountants, and has rendered an opinion 
based on such examination that the Annual Statement conforms with the 
standards in paragraph (f)(2)(iv) of this section.
    (ii) If such accountant determines in its professional judgment that 
the volume of data attributable to a particular compulsory licensee 
renders it impracticable to certify the Annual Statement of Account as 
required by paragraph (f)(2)(i) of this section, the accountant may 
instead certify the following:
    (A) That the accountant has conducted an examination in accordance 
with the attestation standards established by the American Institute of 
Certified Public Accountants of the following assertions by the 
compulsory licensee's management:
    (1) That the processes used by or on behalf of the compulsory 
licensee, including calculation of statutory royalties, generated Annual 
Statements that conform with the standards in paragraph (f)(2)(iv) of 
this section; and
    (2) That the internal controls relevant to the processes used by or 
on behalf of the compulsory licensee to generate Annual Statements were 
suitably

[[Page 746]]

designed and operated effectively during the period covered by the 
Annual Statements.
    (B) That such examination included examining, either on a test basis 
or otherwise as the accountant considered necessary under the 
circumstances and in its professional judgment, evidence supporting the 
management assertions in paragraph (f)(2)(ii)(A) of this section, 
including data relevant to the calculation of statutory royalties, and 
performing such other procedures as the accountant considered necessary 
in the circumstances.
    (C) That the accountant has rendered an opinion based on such 
examination that the processes used to generate the Annual Statement 
were designed and operated effectively to generate Annual Statements 
that conform with the standards in paragraph (f)(2)(iv) of this section, 
and that the internal controls relevant to the processes used to 
generate Annual Statements were suitably designed and operated 
effectively during the period covered by the Annual Statements.
    (iii) In the event a third party or third parties acting on behalf 
of the compulsory licensee provided services related to the Annual 
Statement, the accountant making a certification under either paragraph 
(f)(2)(i) or paragraph (f)(2)(ii) of this section may, as the accountant 
considers necessary under the circumstances and in its professional 
judgment, rely on a report and opinion rendered by a licensed Certified 
Public Accountant in accordance with the attestation standards 
established by the American Institute of Certified Public Accountants 
that the processes and/or internal controls of the third party or third 
parties relevant to the generation of the compulsory licensee's Annual 
Statements were suitably designed and operated effectively during the 
period covered by the Annual Statements, if such reliance is disclosed 
in the certification.
    (iv) An Annual Statement of Account conforms with the standards of 
this paragraph if it presents fairly, in all material respects, the 
compulsory licensee's usage of the copyright owner's musical works under 
compulsory license during the period covered by the Annual Statement, 
the statutory royalties applicable thereto, and such other data as are 
relevant to the calculation of statutory royalties in accordance with 17 
U.S.C. 115 and applicable regulations.
    (v) Each certificate shall be signed by an individual, or in the 
name of a partnership or a professional corporation with two or more 
shareholders. The certificate number and jurisdiction are not required 
if the certificate is signed in the name of a partnership or a 
professional corporation with two or more shareholders.
    (3) If the Annual Statement of Account is served by mail or by 
reputable courier service, the Annual Statement of Account shall be 
signed by handwritten signature. If the Annual Statement of Account is 
served electronically, the Annual Statement of Account shall be signed 
by electronic signature as defined in section 7006(5) of title 15 of the 
United States Code.
    (4) If the Annual Statement of Account is served electronically, the 
compulsory licensee may serve an electronic facsimile of the original 
certification of the Annual Statement of Account signed by the licensed 
Certified Public Accountant. The compulsory licensee shall retain the 
original certification of the Annual Statement of Account signed by the 
licensed Certified Public Accountant for the period identified in Sec.
210.8, which shall be made available to the copyright owner upon demand.
    (g) Service. (1) The service of an Annual Statement of Account on a 
copyright owner under this subpart may be accomplished by means of 
service on either the copyright owner or an agent of the copyright owner 
with authority to receive Statements of Account on behalf of the 
copyright owner. In the case where the work has more than one copyright 
owner, the service of the Statement of Account on one co-owner or upon 
an agent of one of the co-owners shall be sufficient with respect to all 
co-owners. Each Annual Statement of Account shall be served on the 
copyright owner or the agent to whom or which it is directed by mail, by 
reputable courier service, or by electronic delivery as set forth in 
paragraph (g)(2) of this section on or before the 20th day of the sixth 
month following the end of

[[Page 747]]

the fiscal year covered by the Annual Statement. It shall not be 
necessary to file a copy of the Annual Statement in the Copyright 
Office. An Annual Statement of Account shall be served for each fiscal 
year during which at least one Monthly Statement of Account was required 
to have been served under Sec.210.6(g).
    (2) If an Annual Statement of Account is being sent electronically, 
it may be sent or made available to a copyright owner or its agent in a 
readily accessible electronic format consistent with prevailing industry 
practices applicable to comparable electronic delivery of comparable 
financial information.
    (3) If the copyright owner or agent has made a request pursuant to 
Sec.210.6(g)(3) to receive statements in electronic or paper form, 
such request shall also apply to Annual Statements to be rendered on or 
after the date that the request is effective with respect to Monthly 
Statements.
    (4) In any case where the amount required to be stated in the Annual 
Statement of Account under paragraph (c)(6) of this section (i.e., the 
total royalty payable) is greater than the amount stated in that Annual 
Statement under paragraph (c)(7) of this section (i.e., the total sum 
paid), the difference between such amounts shall also be served on or 
before the 20th day of the sixth month following the end of the fiscal 
year covered by the Annual Statement. The Annual Statement and payment 
may be sent together or separately, but if sent separately, the payment 
must include information reasonably sufficient to allow the payee to 
match the Annual Statement and the payment. The delivery of such sum 
does not require the copyright owner to accept such sum, or to forego 
any right, relief, or remedy which may be available under law. In any 
case where the amount required to be stated in the Annual Statement of 
Account under paragraph (c)(6) of this section is less than the amount 
stated in that Annual Statement under paragraph (c)(7) of this section, 
the difference between such amounts shall be available to the compulsory 
licensee as a credit.
    (5)(i) In any case where an Annual Statement of Account is sent by 
mail or by reputable courier service and is returned to the sender 
because the copyright owner or agent is no longer located at that 
address or has refused to accept delivery, or the Annual Statement of 
Account is sent by electronic mail and is undeliverable, or in any case 
where an address for the copyright owner is not known, the Annual 
Statement of Account, together with any evidence of mailing or attempted 
delivery by courier service or electronic mail, may be filed in the 
Licensing Division of the Copyright Office. Any Annual Statement of 
Account submitted for filing shall be accompanied by a brief statement 
of the reason why it was not served on the copyright owner. A written 
acknowledgment of receipt and filing will be provided to the sender.
    (ii) The Copyright Office will not accept any royalty fees submitted 
with Annual Statements of Account under paragraph (g)(5)(i) of this 
section.
    (iii) Neither the filing of an Annual Statement of Account in the 
Copyright Office, nor the failure to file such Annual Statement, shall 
have any effect other than that which may be attributed to it by a court 
of competent jurisdiction.
    (iv) No filing fee will be required in the case of Annual Statements 
of Account submitted to the Copyright Office under paragraph (g)(5)(i) 
of this section. Upon request and payment of the fee specified in Sec.
201.3(e) of this chapter, a Certificate of Filing will be provided to 
the sender.
    (6) If an Annual Statement of Account is sent by certified mail or 
registered mail, a mailing receipt shall be sufficient to prove that 
service was timely. If an Annual Statement of Account is sent by a 
reputable courier, documentation from the courier showing the first date 
of attempted delivery shall be sufficient to prove that service was 
timely. If an Annual Statement of Account or a link thereto is sent by 
electronic mail, a return receipt shall be sufficient to prove that 
service was timely. In the absence of the foregoing, the compulsory 
licensee shall bear the burden of proving that the Annual Statement of 
Account was served in a timely manner.

[[Page 748]]

    (h) Annual Statements for periods before the effective date of this 
regulation. If a copyright owner did not receive an Annual Statement of 
Account from a compulsory licensee for any fiscal year ending after 
March 1, 2009 and before November 17, 2014, the copyright owner may, at 
any time before May 17, 2015, make a request in writing to that 
compulsory licensee requesting an Annual Statement of Account for the 
relevant fiscal year conforming to the requirements of this section. If 
such a request is made, the compulsory licensee shall provide the Annual 
Statement of Account within six months after receiving the request. If 
such a circumstance and request applies to more than one of the 
compulsory licensee's fiscal years, such years may be combined on a 
single statement.

[79 FR 56206, Sept. 18, 2014, as amended at 79 FR 60978, Oct. 9, 2014; 
82 FR 9365, Feb. 6, 2017; 84 FR 10686, Mar. 22, 2019. Redesignated at 85 
FR 58143, Sept. 17, 2020]

    Effective Date Note: At 86 FR 32643, June 22, 2021, Sec.
210.7(g)(5)(i) was amended by removing ``Licensing Division'' and adding 
in its place ``Licensing Section'', effective July 22, 2021.



Sec.210.8  Documentation.

    All compulsory licensees shall, for a period of at least five years 
from the date of service of an Annual Statement of Account or Amended 
Annual Statement of Account, keep and retain in their possession all 
records and documents necessary and appropriate to support fully the 
information set forth in such Annual Statement or Amended Annual 
Statement and in Monthly Statements served during the fiscal year 
covered by such Annual Statement or Amended Annual Statement.

[79 FR 56206, Sept. 18, 2014. Redesignated at 85 FR 58143, Sept. 17, 
2020]



Sec.210.9  Harmless errors.

    Errors in a Monthly or Annual Statement of Account that do not 
materially prejudice the rights of the copyright owner shall be deemed 
harmless, and shall not render that statement of account invalid or 
provide a basis for the exercise of the remedies set forth in 17 U.S.C. 
115(c)(2)(J).

[79 FR 56206, Sept. 18, 2014, as amended at 83 FR 63065, Dec. 7, 2018. 
Redesignated at 85 FR 58143, Sept. 17, 2020]



Sec.210.10  Statements required for limitation on liability for 
digital music providers for the transition period prior to the license
availability date.

    This section specifies the requirements for a digital music provider 
to report and pay royalties for purposes of being eligible for the 
limitation on liability described in 17 U.S.C. 115(d)(10). Terms used in 
this section that are defined in 17 U.S.C. 115(e) shall have the meaning 
given those terms in 17 U.S.C. 115(e).
    (a) If the required matching efforts are successful in identifying 
and locating a copyright owner of a musical work (or share thereof) by 
the end of the calendar month in which the digital music provider first 
makes use of the work, the digital music provider shall provide 
statements of account and pay royalties to such copyright owner as a 
compulsory licensee in accordance with this subpart.
    (b) If the copyright owner is not identified or located by the end 
of the calendar month in which the digital music provider first makes 
use of the work, the digital music provider shall accrue and hold 
royalties calculated under the applicable statutory rate in accordance 
with usage of the work, from initial use of the work until the accrued 
royalties can be paid to the copyright owner or are required to be 
transferred to the mechanical licensing collective, as follows:
    (1) Accrued royalties shall be maintained by the digital music 
provider in accordance with generally accepted accounting principles, 
including those concerning derecognition of liabilities.
    (2) If a copyright owner of an unmatched musical work (or share 
thereof) is identified and located by or to the digital music provider 
before the license availability date, the digital music provider shall, 
unless a voluntary license or other relevant agreement entered into 
prior to the time period specified in paragraph (b)(2)(i) of

[[Page 749]]

this section applies to such musical work (or share thereof)--
    (i) Not later than 45 calendar days after the end of the calendar 
month during which the copyright owner was identified and located, pay 
the copyright owner all accrued royalties, such payment to be 
accompanied by a cumulative statement of account that includes all of 
the information that would have been provided to the copyright owner had 
the digital music provider been providing Monthly Statements of Account 
as a compulsory licensee in accordance with this subpart to the 
copyright owner from initial use of the work, and including, in addition 
to the information and certification required by Sec.210.6, a clear 
identification of the total period covered by the cumulative statement 
and the total royalty payable for the period;
    (ii) Beginning with the accounting period following the calendar 
month in which the copyright owner was identified and located, and for 
all other accounting periods prior to the license availability date, 
provide Monthly Statements of Account and pay royalties to the copyright 
owner as a compulsory licensee in accordance with this subpart; and
    (iii) Beginning with the monthly royalty reporting period commencing 
on the license availability date, report usage and pay royalties for 
such musical work (or share thereof) for such reporting period and 
reporting periods thereafter to the mechanical licensing collective, as 
required under 17 U.S.C. 115(d) and applicable regulations.
    (3) If a copyright owner of an unmatched musical work (or share 
thereof) is not identified and located by the license availability date, 
the digital music provider shall--
    (i) Not later than 45 calendar days after the license availability 
date, transfer all accrued royalties to the mechanical licensing 
collective (as required by paragraph (i)(2) of this section and subject 
to paragraphs (c)(5) and (k) of this section), such payment to be 
accompanied by a cumulative statement of account that:
    (A) Includes all of the information required by paragraphs (c) 
through (e) of this section covering the period starting from initial 
use of the work;
    (B) Is delivered to the mechanical licensing collective as required 
by paragraph (i)(1) of this section; and
    (C) Is certified as required by paragraph (j) of this section; and
    (ii) Beginning with the monthly royalty reporting period commencing 
on the license availability date, report usage and pay royalties for 
such musical work (or share thereof) for such period and reporting 
periods thereafter to the mechanical licensing collective, as required 
under 17 U.S.C. 115(d) and applicable regulations.
    (c) Each cumulative statement of account delivered to the mechanical 
licensing collective under paragraph (b)(3)(i) of this section shall be 
clearly and prominently identified as a ``Cumulative Statement of 
Account for Making and Distributing Phonorecords,'' and shall include a 
clear statement of the following information:
    (1) The period (months and years) covered by the cumulative 
statement of account.
    (2) The full legal name of the digital music provider and, if 
different, the trade or consumer-facing brand name(s) of the service(s), 
including any specific offering(s) (including as may be defined in part 
385 of this title), through which the digital music provider engages, or 
has engaged at any time during the period identified in paragraph (c)(1) 
of this section, in covered activities. If the digital music provider 
has a unique DDEX identifier number, it must also be provided.
    (3) The full address, including a specific number and street name or 
rural route, of the place of business of the digital music provider. A 
post office box or similar designation will not be sufficient except 
where it is the only address that can be used in that geographic 
location.
    (4) For each sound recording embodying a musical work that is used 
by the digital music provider in covered activities during the period 
identified in paragraph (c)(1) of this section and for which a copyright 
owner of such musical work (or share thereof) is not identified and 
located by the license availability date, a detailed cumulative 
statement, from which the mechanical

[[Page 750]]

licensing collective may separate reported information for each month 
and year for each applicable activity or offering including as may be 
defined in part 385 of this title, of all of:
    (i) The royalty payment and accounting information required by 
paragraph (d) of this section; and
    (ii) The sound recording and musical work information required by 
paragraph (e) of this section.
    (5) The total accrued royalty payable by the digital music provider 
for the period identified in paragraph (c)(1) of this section, computed 
in accordance with the requirements of this section and part 385 of this 
title, and including detailed information regarding how the royalty was 
computed, with such total accrued royalty payable broken down by month 
and year and by each applicable activity or offering including as may be 
defined in part 385 of this title.
    (i) Where a digital music provider has a reasonable good-faith 
belief that the total accrued royalties payable are less than the total 
of the amounts reported under paragraph (c)(4)(i) of this section, and 
the precise amount of such accrued royalties cannot be calculated at the 
time the cumulative statement of account is delivered to the mechanical 
licensing collective because of the unmatched status of relevant musical 
works embodied in sound recordings reported under paragraph (c)(4)(ii) 
of this section, the total accrued royalties reported and transferred 
may make use of reasonable estimations, determined in accordance with 
GAAP and broken down by month and year and by each applicable activity 
or offering including as may be defined in part 385 of this title. Any 
such estimate shall be made in good faith and on the basis of the best 
knowledge, information, and belief of the digital music provider at the 
time the cumulative statement of account is delivered to the mechanical 
licensing collective, and subject to any additional accounting and 
certification requirements under 17 U.S.C. 115 and this section. In no 
case shall the failure to match a musical work by the license 
availability date be construed as prohibiting or limiting a digital 
music provider's entitlement to use such an estimate if the digital 
music provider has satisfied its obligations under 17 U.S.C. 
115(d)(10)(B) to engage in required matching efforts.
    (ii) A digital music provider reporting and transferring accrued 
royalties that make use of reasonable estimations must provide a 
description of any voluntary license or other agreement containing an 
appropriate release of royalty claims relied upon by the digital music 
provider in making its estimation that is sufficient for the mechanical 
licensing collective to engage in efforts to confirm uses of musical 
works subject to any such agreement. Such description shall be 
sufficient if it includes at least the following information:
    (A) An identification of each of the digital music provider's 
services, including by reference to any applicable types of activities 
or offerings that may be defined in part 385 of this title, relevant to 
any such agreement. If such an agreement pertains to all of the digital 
music provider's applicable services, it may state so without 
identifying each service.
    (B) The start and end dates of each covered period of time.
    (C) Each applicable musical work copyright owner, identified by name 
and any known and appropriate unique identifiers, and appropriate 
contact information for each such musical work copyright owner or for an 
administrator or other representative who has entered into an applicable 
agreement on behalf of the relevant copyright owner.
    (D) A satisfactory identification of any applicable catalog 
exclusions.
    (E) At the digital music provider's option, and in lieu of providing 
the information listed in paragraph (c)(5)(ii)(D) of this section, a 
list of all covered musical works, identified by appropriate unique 
identifiers.
    (F) A unique identifier for each such agreement.
    (iii)(A) After receiving the information required by paragraph 
(c)(5)(ii) of this section, the mechanical licensing collective shall, 
among any other actions required of it, engage in efforts to confirm 
uses of musical works embodied in sound recordings reported under 
paragraph (c)(4)(ii) of this section that are subject to any identified 
agreement, and shall promptly notify

[[Page 751]]

relevant copyright owners of the digital music provider's reliance on 
such identified agreement(s).
    (B)(1) A notified copyright owner may dispute whether a digital 
music provider has appropriately relied upon an identified agreement by 
delivering a notice of dispute to the mechanical licensing collective no 
later than one year after being notified. A notice of dispute must 
describe the basis for the copyright owner's dispute with particularity 
and specify whether the copyright owner is disputing the digital music 
provider's reliance with respect to potential distributions based on 
matched usage or of unclaimed accrued royalties under 17 U.S.C. 
115(d)(3)(J), or both. The notice must contain a certification by the 
copyright owner that its dispute is reasonable and made in good faith. 
The mechanical licensing collective shall promptly provide the digital 
music provider with a copy of any notice of dispute it receives. Nothing 
in this paragraph (c)(5)(iii)(B)(1) shall be construed as prejudicing a 
copyright owner's right or ability to otherwise dispute a digital music 
provider's reliance on an identified agreement outside of this process.
    (2) If the mechanical licensing collective receives a notice of 
dispute from an appropriate copyright owner in compliance with paragraph 
(c)(5)(iii)(B)(1) of this section, then at or around the point in time 
that the mechanical licensing collective would otherwise make a 
particular distribution to that copyright owner but for the digital 
music provider's reliance on the disputed agreement, the mechanical 
licensing collective shall deliver an invoice and/or response file to 
the digital music provider consistent with paragraph (h) of this section 
that includes the amount that would otherwise be distributed at that 
time (which shall include the interest that would have accrued on such 
amount had it been held by the mechanical licensing collective pursuant 
to 17 U.S.C. 115(d)(3)(H)(ii) from the original date of transfer) and an 
explanation of how that amount was determined. Depending on the scope of 
the notice of dispute, this may include distributions based on matched 
usage and/or distributions of unclaimed accrued royalties under 17 
U.S.C. 115(d)(3)(J). In the case of the latter, the relevant approximate 
date to deliver the invoice and/or response file to the digital music 
provider shall be the date on which the mechanical licensing collective 
provides the notice required under 17 U.S.C. 115(d)(3)(J)(iii)(II)(dd). 
Where a copyright owner delivers a notice of dispute after the relevant 
point in time has passed for a particular distribution, the mechanical 
licensing collective shall deliver the invoice and/or response file to 
the digital music provider promptly after receiving the notice of 
dispute. No later than 14 business days after receipt of the invoice 
and/or response file, the digital music provider must pay the invoiced 
amount.
    (3) All amounts delivered to the mechanical licensing collective by 
a digital music provider pursuant to paragraph (c)(5)(iii)(B)(2) of this 
section shall be held by the mechanical licensing collective pending 
resolution of the dispute, in accordance with 17 U.S.C. 
115(d)(3)(H)(ii)(I) without regard for whether or not the funds are in 
fact accrued royalties. The mechanical licensing collective shall not 
make a distribution of the funds (or any part thereof), treat the funds 
(or any part thereof) as an overpayment, or otherwise release the funds 
(or any part thereof), unless directed to do so by mutual agreement of 
the relevant parties or by order of an adjudicative body with 
appropriate authority. If the mechanical licensing collective has not 
been so directed within one year after the funds have been received from 
the digital music provider, and if there is no active dispute resolution 
occurring at that time, the mechanical licensing collective shall treat 
the funds as an overpayment which shall be handled in accordance with 
paragraph (k)(5) of this section.
    (C) The mechanical licensing collective shall presume that a digital 
music provider has appropriately relied upon an identified agreement, 
except with respect to a relevant copyright owner who has delivered a 
valid notice of dispute for such agreement pursuant to paragraph 
(c)(5)(iii)(B)(1) of this section. Notwithstanding the preceding 
sentence, any resolution of a dispute

[[Page 752]]

shall be reflected in the mechanical licensing collective's ongoing 
administration activities.
    (iv)(A) Subject to paragraph (c)(5)(iii) of this section, if the 
amount transferred to the mechanical licensing collective by a digital 
music provider with its cumulative statement of account is insufficient 
to cover any required distributions to copyright owners, the mechanical 
licensing collective shall deliver an invoice and/or response file to 
the digital music provider consistent with paragraph (h) of this section 
that includes the amount outstanding (which shall include the interest 
that would have accrued on such amount had it been held by the 
mechanical licensing collective pursuant to 17 U.S.C. 115(d)(3)(H)(ii) 
from the original date of transfer) and the basis for the mechanical 
licensing collective's conclusion that such amount is due. No later than 
14 business days after receipt of such notice, the digital music 
provider must pay the invoiced amount.
    (B) In the event a digital music provider is found by an 
adjudicative body with appropriate authority to have erroneously, but 
not unreasonably or in bad faith, withheld accrued royalties, the 
digital music provider may remain in compliance with this section for 
purposes of retaining its limitation on liability if the digital music 
provider has otherwise satisfied the requirements for the limitation on 
liability described in 17 U.S.C. 115(d)(10) and this section and if the 
additional amount due is paid in accordance with a relevant order.
    (v) Any overpayment of royalties based upon an estimate permitted by 
paragraph (c)(5)(i) of this section shall be handled in accordance with 
paragraph (k)(5) of this section.
    (vi) Any underpayment of royalties shall be remedied by a digital 
music provider without regard for the adjusted statute of limitations 
described in 17 U.S.C. 115(d)(10)(C). By using an estimate permitted by 
either paragraph (c)(5)(i) or (d)(2) of this section, a digital music 
provider agrees to waive any statute-of-limitations-based defenses with 
respect to any asserted underpayment of royalties connected to the use 
of such an estimate.
    (vii) Nothing in this section shall be construed as prejudicing a 
copyright owner's ability to challenge whether a digital music provider 
has satisfied the requirements for the limitation on liability.
    (6) If the total accrued royalty reported under paragraph (c)(5) of 
this section does not reconcile with the royalties actually transferred 
to the mechanical licensing collective, or if the royalties reported 
employ an estimate as permitted under paragraph (c)(5)(i) of this 
section, a clear and detailed explanation of the difference and the 
basis for it.
    (d) The royalty payment and accounting information called for by 
paragraph (c)(4)(i) of this section shall consist of the following:
    (1) A detailed and step-by-step accounting of the calculation of 
attributable royalties under applicable provisions of this section and 
part 385 of this title, sufficient to allow the mechanical licensing 
collective to assess the manner in which the digital music provider 
determined the royalty and the accuracy of the royalty calculations, 
including but not limited to the number of payable units, including, as 
applicable, permanent downloads, plays, and constructive plays, for each 
reported sound recording.
    (2) Where computation of the attributable royalties depends on an 
input that is unable to be finally determined at the time the cumulative 
statement of account is delivered to the mechanical licensing collective 
and where the reason the input cannot be finally determined is outside 
of the digital music provider's control (e.g., the amount of applicable 
public performance royalties and the amount of applicable consideration 
for sound recording copyright rights), a reasonable estimation of such 
input, determined in accordance with GAAP, may be used or provided by 
the digital music provider. Royalty payments based on such estimates 
shall be adjusted pursuant to paragraph (k) of this section after being 
finally determined. A cumulative statement of account containing an 
estimate permitted by this paragraph (d)(2) should identify each input 
that has been estimated, and provide the reason(s) why such input(s) 
needed to be estimated

[[Page 753]]

and an explanation as to the basis for the estimate(s).
    (3) All information and calculations provided pursuant to paragraph 
(d) of this section shall be made in good faith and on the basis of the 
best knowledge, information, and belief of the digital music provider at 
the time the cumulative statement of account is delivered to the 
mechanical licensing collective, and subject to any additional 
accounting and certification requirements under 17 U.S.C. 115 and this 
section.
    (e) For each sound recording embodying a musical work required to be 
reported under paragraph (c)(4)(ii) of this section, the digital music 
provider shall provide the information referenced in Sec.210.6(c)(3) 
that would have been provided to the copyright owner had the digital 
music provider been serving Monthly Statements of Account as a 
compulsory licensee in accordance with this subpart on the copyright 
owner from initial use of the work, plus the unique identifier assigned 
by the digital music provider to the sound recording and a unique 
identifier assigned by the digital music provider to each individual 
usage line.
    (f) The information required by paragraphs (c), (d), (e), (k), and 
(o) of this section requires intelligible, legible, and unambiguous 
statements in the cumulative statements of account, without 
incorporation of facts or information contained in other documents or 
records.
    (g) References to part 385 of this title, as used in paragraphs (c), 
(d), and (k) of this section, refer to the rates and terms of royalty 
payments, including any defined activities or offerings, as in effect as 
to each particular reported use based on when the use occurred.
    (h) If requested by a digital music provider, the mechanical 
licensing collective shall deliver an invoice and/or a response file to 
the digital music provider within a reasonable period of time after the 
cumulative statement of account and related royalties are received. The 
response file shall contain such information as is common in the 
industry to be reported in response files, backup files, and any other 
similar such files provided to digital music providers by applicable 
third-party administrators.
    (i)(1) To the extent practicable, each cumulative statement of 
account delivered to the mechanical licensing collective under paragraph 
(b)(3)(i) of this section, and each supplemental metadata report 
delivered to the mechanical licensing collective under paragraph (o) of 
this section, shall be delivered in a machine-readable format that is 
compatible with the information technology systems of the mechanical 
licensing collective as reasonably determined by the mechanical 
licensing collective and set forth on its website, taking into 
consideration relevant industry standards and the potential for 
different degrees of sophistication among digital music providers. The 
mechanical licensing collective must offer an option that is accessible 
to smaller digital music providers that may not be reasonably capable of 
complying with the requirements of a sophisticated reporting or data 
standard or format. Nothing in this section shall be construed as 
prohibiting the mechanical licensing collective from adopting more than 
one reporting or data standard or format. A digital music provider may 
use an alternative reporting or data standard or format pursuant to an 
agreement with the mechanical licensing collective under paragraph (l) 
of this section, consent to which shall not be unreasonably withheld by 
the mechanical licensing collective.
    (2) Royalty payments shall be delivered to the mechanical licensing 
collective in such manner and form as the mechanical licensing 
collective may reasonably determine and set forth on its website. A 
cumulative statement of account and its related royalty payment may be 
delivered together or separately, but if delivered separately, the 
payment must include information reasonably sufficient to allow the 
mechanical licensing collective to match the cumulative statement of 
account to the payment.
    (j) Each cumulative statement of account delivered to the mechanical 
licensing collective under paragraph (b)(3)(i) of this section shall be 
accompanied by:

[[Page 754]]

    (1) The name of the person who is signing and certifying the 
cumulative statement of account.
    (2) A signature, which in the case of a digital music provider that 
is a corporation or partnership, shall be the signature of a duly 
authorized officer of the corporation or of a partner.
    (3) The date of signature and certification.
    (4) If the digital music provider is a corporation or partnership, 
the title or official position held in the partnership or corporation by 
the person who is signing and certifying the cumulative statement of 
account.
    (5) One of the following statements:
    (i) Statement one:
    I certify that (1) I am duly authorized to sign this cumulative 
statement of account on behalf of the digital music provider, (2) I have 
examined this cumulative statement of account, and (3) all statements of 
fact contained herein are true, complete, and correct to the best of my 
knowledge, information, and belief, and are made in good faith.
    (ii) Statement two:
    I certify that (1) I am duly authorized to sign this cumulative 
statement of account on behalf of the digital music provider, (2) I have 
prepared or supervised the preparation of the data used by the digital 
music provider and/or its agent to generate this cumulative statement of 
account, (3) such data is true, complete, and correct to the best of my 
knowledge, information, and belief, and was prepared in good faith, and 
(4) this cumulative statement of account was prepared by the digital 
music provider and/or its agent using processes and internal controls 
that were subject to an examination, during the past year, by a licensed 
certified public accountant in accordance with the attestation standards 
established by the American Institute of Certified Public Accountants, 
the opinion of whom was that the processes and internal controls were 
suitably designed to generate monthly statements that accurately 
reflect, in all material respects, the digital music provider's usage of 
musical works, the statutory royalties applicable thereto, and any other 
data that is necessary for the proper calculation of the statutory 
royalties in accordance with 17 U.S.C. 115 and applicable regulations.
    (6) A certification by a duly authorized officer of the digital 
music provider that the digital music provider has fulfilled the 
requirements of 17 U.S.C. 115(d)(10)(B)(i) and (ii) but has not been 
successful in locating or identifying the copyright owner.
    (k)(1) A digital music provider may adjust its previously delivered 
cumulative statement of account, including related royalty payments, by 
delivering to the mechanical licensing collective a statement of 
adjustment.
    (2) A statement of adjustment shall be clearly and prominently 
identified as a ``Statement of Adjustment of a Cumulative Statement of 
Account.''
    (3) A statement of adjustment shall include a clear statement of the 
following information:
    (i) The previously delivered cumulative statement of account, 
including related royalty payments, to which the adjustment applies.
    (ii) The specific change(s) to the previously delivered cumulative 
statement of account, including a detailed description of any changes to 
any of the inputs upon which computation of the royalties payable by the 
digital music provider depends. Such description shall include the 
adjusted royalties payable and all information used to compute the 
adjusted royalties payable, in accordance with the requirements of this 
section and part 385 of this title, such that the mechanical licensing 
collective can provide a detailed and step-by-step accounting of the 
calculation of the adjustment under applicable provisions of this 
section and part 385 of this title, sufficient to allow each applicable 
copyright owner to assess the manner in which the digital music provider 
determined the adjustment and the accuracy of the adjustment. As 
appropriate, an adjustment may be calculated using estimates permitted 
under paragraph (d)(2) of this section.
    (iii) Where applicable, the particular sound recordings and uses to 
which the adjustment applies.
    (iv) A description of the reason(s) for the adjustment.
    (4) In the case of an underpayment of royalties, the digital music 
provider

[[Page 755]]

shall pay the difference to the mechanical licensing collective 
contemporaneously with delivery of the statement of adjustment or 
promptly after being notified by the mechanical licensing collective of 
the amount due. A statement of adjustment and its related royalty 
payment may be delivered together or separately, but if delivered 
separately, the payment must include information reasonably sufficient 
to allow the mechanical licensing collective to match the statement of 
adjustment to the payment.
    (5) In the case of an overpayment of royalties, the mechanical 
licensing collective shall appropriately credit or offset the excess 
payment amount and apply it to the digital music provider's account, or 
upon request, issue a refund within a reasonable period of time.
    (6)(i) A statement of adjustment must be delivered to the mechanical 
licensing collective no later than 6 months after the occurrence of any 
of the scenarios specified by paragraph (k)(6)(ii) of this section, 
where such an event necessitates an adjustment. Where more than one 
scenario applies to the same cumulative statement of account at 
different points in time, a separate 6-month period runs for each such 
triggering event. Where more than one scenario necessitates the same 
particular adjustment, the 6-month deadline to make the adjustment 
begins to run from the occurrence of the earliest triggering event.
    (ii) A statement of adjustment may only be made:
    (A) Except as otherwise provided for by paragraph (c)(5) of this 
section, where the digital music provider discovers, or is notified of 
by the mechanical licensing collective or a copyright owner, licensor, 
or author (or their respective representatives, including by an 
administrator or a collective management organization) of a relevant 
sound recording or musical work that is embodied in such a sound 
recording, an inaccuracy in the cumulative statement of account, or in 
the amounts of royalties owed, based on information that was not 
previously known to the digital music provider despite its good-faith 
efforts;
    (B) When making an adjustment to a previously estimated input under 
paragraph (d)(2) of this section;
    (C) Following an audit of a digital music provider that concludes 
after the cumulative statement of account is delivered and that has the 
result of affecting the computation of the royalties payable by the 
digital music provider (e.g., as applicable, an audit by a sound 
recording copyright owner concerning the amount of applicable 
consideration paid for sound recording copyright rights); or
    (D) In response to a change in applicable rates or terms under part 
385 of this title.
    (E) To ensure consistency with any adjustments made in an Annual 
Statement of Account generated under Sec.210.7 for the most recent 
fiscal year.
    (7) A statement of adjustment must be certified in the same manner 
as a cumulative statement of account under paragraph (j) of this 
section.
    (l)(1) Subject to the provisions of 17 U.S.C. 115, a digital music 
provider and the mechanical licensing collective may agree in writing to 
vary or supplement the procedures described in this section, including 
but not limited to pursuant to an agreement to administer a voluntary 
license, provided that any such change does not materially prejudice 
copyright owners owed royalties required to be transferred to the 
mechanical licensing collective for the digital music provider to be 
eligible for the limitation on liability described in 17 U.S.C. 
115(d)(10). The procedures surrounding the certification requirements of 
paragraph (j) of this section may not be altered by agreement. This 
paragraph (l)(1) does not empower the mechanical licensing collective to 
agree to alter any substantive requirements described in this section, 
including but not limited to the required royalty payment and accounting 
information and sound recording and musical work information.
    (2) The mechanical licensing collective shall maintain a current, 
free, and publicly accessible online list of all agreements made 
pursuant to paragraph (l)(1) of this section that includes the name of 
the digital music provider (and, if different, the trade or consumer-
facing brand name(s) of the

[[Page 756]]

services(s), including any specific offering(s), through which the 
digital music provider engages, or has engaged at any time during the 
period identified in paragraph (c)(1) of this section, in covered 
activities) and the start and end dates of the agreement. Any such 
agreement shall be considered a record that a copyright owner may access 
in accordance with 17 U.S.C. 115(d)(3)(M)(ii). Where an agreement made 
pursuant to paragraph (l)(1) of this section is made pursuant to an 
agreement to administer a voluntary license or any other agreement, only 
those portions that vary or supplement the procedures described in this 
section and that pertain to the administration of a requesting copyright 
owner's musical works must be made available to that copyright owner.
    (m) Each digital music provider shall, for a period of at least 
seven years from the date of delivery of a cumulative statement of 
account or statement of adjustment to the mechanical licensing 
collective, keep and retain in its possession all records and documents 
necessary and appropriate to support fully the information set forth in 
such statement (except that such records and documents that relate to an 
estimated input permitted under paragraph (d)(2) of this section must be 
kept and retained for a period of at least seven years from the date of 
delivery of the statement containing the final adjustment of such 
input).
    (n) Errors in a cumulative statement of account or statement of 
adjustment that do not materially prejudice the rights of the copyright 
owner shall be deemed harmless, and shall not render that statement 
invalid.
    (o)(1) By June 15, 2021, the digital music provider must submit a 
supplemental metadata report that includes all of the information 
provided in the cumulative statement of account pursuant to paragraph 
(c) of this section, as well as, separately or together with such 
information, the following information for each sound recording 
embodying a musical work that was reported under paragraph (c)(4)(ii) of 
this section:
    (i) Identifying information for the sound recording, including but 
not limited to:
    (A) Sound recording name(s), including, to the extent practicable, 
all known alternative and parenthetical titles for the sound recording;
    (B) Featured artist(s);
    (C) Unique identifier assigned by the digital music provider, if 
any, including to the extent practicable, any code(s) that can be used 
to locate and listen to the sound recording through the digital music 
provider's public-facing service;
    (D) Actual playing time measured from the sound recording audio 
file, where available; and
    (E) To the extent acquired by the digital music provider in 
connection with its use of sound recordings of musical works to engage 
in covered activities, and to the extent practicable:
    (1) Sound recording copyright owner(s);
    (2) Producer(s);
    (3) International standard recording code(s) (ISRC);
    (4) Any other unique identifier(s) for or associated with the sound 
recording, including any unique identifier(s) for any associated album, 
including but not limited to:
    (i) Catalog number(s);
    (ii) Universal product code(s) (UPC); and
    (iii) Unique identifier(s) assigned by any distributor;
    (5) Version(s);
    (6) Release date(s);
    (7) Album title(s);
    (8) Label name(s); and
    (9) Distributor(s).
    (ii) Identifying information for the musical work embodied in the 
reported sound recording, to the extent acquired by the digital music 
provider in the metadata provided by sound recording copyright owners or 
other licensors of sound recordings in connection with the use of sound 
recordings of musical works to engage in covered activities, and to the 
extent practicable:
    (A) Information concerning authorship of the applicable rights in 
the musical work embodied in the sound recording, including but not 
limited to:
    (1) Songwriter(s); and
    (2) International standard name identifier(s) (ISNI) and interested 
parties information code(s) (IPI) for each such songwriter;

[[Page 757]]

    (B) International standard musical work code(s) (ISWC) for the 
musical work embodied in the sound recording; and
    (C) Musical work name(s) for the musical work embodied in the sound 
recording, including any alternative or parenthetical titles for the 
musical work.
    (iii)(A) For each track for which a share of a musical work has been 
matched and for which accrued royalties for such share have been paid, 
but for which one or more shares of the musical work remains unmatched 
and unpaid, the digital music provider must provide, for each usage line 
for such track, a reference to the specific unique identifier for the 
usage line reported under paragraph (e) of this section, and a clear 
identification of the percentage share(s) that have been matched and 
paid and the owner(s) of such matched and paid share(s) (including any 
unique party identifiers for such owner(s) that are known by the digital 
music provider).
    (B) If, for a particular track, a digital music provider cannot 
provide a clear identification of the percentage share(s) that have been 
matched and paid and the owner(s) of such share(s) because this 
information is subject to a contractual confidentiality restriction or 
the conditions of paragraph (o)(1)(iii)(C) of this section apply with 
respect to such information, the digital music provider must provide 
alternate information for the track, namely, a clear identification of 
the total aggregate percentage share that has been matched and paid and 
the owner(s) of the aggregate matched and paid share (including any 
unique party identifiers for such owner(s) that are known by the digital 
music provider). If the digital music provider still cannot provide such 
alternate information because of the conditions of paragraph 
(o)(1)(iii)(C) of this section, the information required by this 
paragraph (o)(1)(iii)(B) may be omitted for the track from the 
supplemental metadata report. A digital music provider reporting under 
this paragraph (o)(1)(iii)(B) must deliver a certification to the 
mechanical licensing collective stating that the conditions of being 
permitted to report under this paragraph (o)(1)(iii)(B) apply with 
respect to the provision of alternate information or omission of 
percentage share(s) information entirely, as specified in the 
certification.
    (C) The conditions referred to in paragraph (o)(1)(iii)(B) of this 
section are:
    (1) The information is maintained only by a third-party vendor;
    (2) The digital music provider does not have any contractual or 
other rights to access the information;
    (3) The digital music provider is unable to compile the information 
from records in its possession using commercially reasonable efforts 
within the required reporting timeframe; and
    (4) The vendor refuses to make the information available to the 
digital music provider on commercially reasonable terms.
    (2) Any obligation under paragraph (o)(1) of this section concerning 
information about sound recording copyright owners may be satisfied by 
reporting the information for applicable sound recordings provided to 
the digital music provider by sound recording copyright owners or other 
licensors of sound recordings (or their representatives) contained in 
each of the following DDEX fields: LabelName and PLine. Where a digital 
music provider acquires this information in addition to other 
information identifying a relevant sound recording copyright owner, all 
such information must be reported to the extent practicable.
    (3) As used in this paragraph (o), it is practicable to provide the 
enumerated information if:
    (i) It belongs to a category of information expressly required to be 
reported by the enumerated list of information contained in Sec.
210.6(c)(3);
    (ii) It belongs to a category of information that has been reported, 
or is required to be reported, by the particular digital music provider 
to the mechanical licensing collective under the blanket license; or
    (iii) It belongs to a category of information that is reported by 
the particular digital music provider to the mechanical licensing 
collective under a voluntary license or individual download license.

[[Page 758]]

    (4) The supplemental metadata report provided for in this paragraph 
(o) is not a condition for eligibility for the limitation on liability 
in 17 U.S.C. 115(d)(10), or a condition of the blanket license.

[83 FR 63065, Dec. 7, 2018. Redesignated at 85 FR 58143, Sept. 17, 2020. 
Amended at 86 FR 2203, Jan. 11, 2021; 86 FR 7653, Feb. 1, 2021]



Sec.210.11  Record companies using individual download licenses.

    A record company that obtains an individual download license under 
17 U.S.C. 115(b)(3) shall provide statements of account and pay 
royalties as a compulsory licensee in accordance with this subpart.

[83 FR 63065, Dec. 7, 2018. Redesignated at 85 FR 58143, Sept. 17, 2020]



Sec.210.12-210.20  [Reserved]



   Subpart B_Blanket Compulsory License for Digital Uses, Mechanical 
         Licensing Collective, and Digital Licensee Coordinator

    Source: 85 FR 58143, Sept. 17, 2020, unless otherwise noted.



Sec.210.21  General.

    This subpart prescribes rules for the compulsory blanket license to 
make and distribute digital phonorecord deliveries of nondramatic 
musical works pursuant to 17 U.S.C. 115(d), including rules for digital 
music providers, significant nonblanket licensees, the mechanical 
licensing collective, and the digital licensee coordinator.



Sec.210.22  Definitions.

    For purposes of this subpart:
    (a) Unless otherwise specified, the terms used have the meanings set 
forth in 17 U.S.C. 115(e).
    (b) The term blanket licensee means a digital music provider 
operating under a blanket license.
    (c) The term DDEX means Digital Data Exchange, LLC.
    (d) The term GAAP means U.S. Generally Accepted Accounting 
Principles, except that if the U.S. Securities and Exchange Commission 
permits or requires entities with securities that are publicly traded in 
the U.S. to employ International Financial Reporting Standards, as 
issued by the International Accounting Standards Board, or as accepted 
by the Securities and Exchange Commission if different from that issued 
by the International Accounting Standards Board, in lieu of Generally 
Accepted Accounting Principles, then an entity may employ International 
Financial Reporting Standards as ``GAAP'' for purposes of this section.
    (e) The term IPI means interested parties information code.
    (f) The term ISNI means international standard name identifier.
    (g) The term ISRC means international standard recording code.
    (h) The term ISWC means international standard musical work code.
    (i) The term producer means the primary person(s) contracted by and 
accountable to the content owner for the task of delivering the sound 
recording as a finished product.
    (j) The term UPC means universal product code.



Sec.210.23  Designation of the mechanical licensing collective and 
digital licensee coordinator.

    The following entities are designated pursuant to 17 U.S.C. 
115(d)(3)(B) and (d)(5)(B). Additional information regarding these 
entities is available on the Copyright Office's website.
    (a) Mechanical Licensing Collective, incorporated in Delaware on 
March 5, 2019, is designated as the mechanical licensing collective; and
    (b) Digital Licensee Coordinator, Inc., incorporated in Delaware on 
March 20, 2019, is designated as the digital licensee coordinator.



Sec.210.24  Notices of blanket license.

    (a) General. This section prescribes rules under which a digital 
music provider completes and submits a notice of license to the 
mechanical licensing collective pursuant to 17 U.S.C. 115(d)(2)(A) for 
purposes of obtaining a statutory blanket license.
    (b) Form and content. A notice of license shall be prepared in 
accordance

[[Page 759]]

with any reasonable formatting instructions established by the 
mechanical licensing collective, and shall include all of the following 
information:
    (1) The full legal name of the digital music provider and, if 
different, the trade or consumer-facing brand name(s) of the service(s), 
including any specific offering(s), through which the digital music 
provider is engaging, or seeks to engage, in any covered activity.
    (2) The full address, including a specific number and street name or 
rural route, of the place of business of the digital music provider. A 
post office box or similar designation will not be sufficient except 
where it is the only address that can be used in that geographic 
location.
    (3) A telephone number and email address for the digital music 
provider where an individual responsible for managing the blanket 
license can be reached.
    (4) Any website(s), software application(s), or other online 
locations(s) where the digital music provider's applicable service(s) 
is/are, or expected to be, made available.
    (5) A description sufficient to reasonably establish the digital 
music provider's eligibility for a blanket license and to provide 
reasonable notice to the mechanical licensing collective, copyright 
owners, and songwriters of the manner in which the digital music 
provider is engaging, or seeks to engage, in any covered activity 
pursuant to the blanket license. Such description shall be sufficient if 
it includes at least the following information:
    (i) A statement that the digital music provider has a good-faith 
belief, informed by review of relevant law and regulations, that it:
    (A) Satisfies all requirements to be eligible for a blanket license, 
including that it satisfies the eligibility criteria to be considered a 
digital music provider pursuant to 17 U.S.C. 115(e)(8); and
    (B) Is, or will be before the date of initial use of musical works 
pursuant to the blanket license, able to comply with all payments, 
terms, and responsibilities associated with the blanket license.
    (ii) A statement that where the digital music provider seeks or 
expects to engage in any activity identified in its notice of license, 
it has a good-faith intention to do so within a reasonable period of 
time.
    (iii) A general description of the digital music provider's 
service(s), or expected service(s), and the manner in which it uses, or 
seeks to use, phonorecords of nondramatic musical works.
    (iv) Identification of each of the following digital phonorecord 
delivery configurations the digital music provider is, or seeks to be, 
making as part of its covered activities:
    (A) Permanent downloads.
    (B) Limited downloads.
    (C) Interactive streams.
    (D) Noninteractive streams.
    (E) Other configurations, accompanied by a brief description.
    (v) Identification of each of the following service types the 
digital music provider offers, or seeks to offer, as part of its covered 
activities (the digital music provider may, but is not required to, 
associate specific service types with specific digital phonorecord 
delivery configurations or with particular types of activities or 
offerings that may be defined in part 385 of this title):
    (A) Subscriptions.
    (B) Bundles.
    (C) Lockers.
    (D) Services available through discounted pricing plans, such as for 
families or students.
    (E) Free-to-the-user services.
    (F) Other applicable services, accompanied by a brief description.
    (vi) Any other information the digital music provider wishes to 
provide.
    (6) The date, or expected date, of initial use of musical works 
pursuant to the blanket license.
    (7) Identification of any amendment made pursuant to paragraph (f) 
of this section, including the submission date of the notice being 
amended.
    (8) A description of any applicable voluntary license the digital 
music provider is, or expects to be, operating under concurrently with 
the blanket license that is sufficient for the mechanical licensing 
collective to fulfill its obligations under 17 U.S.C.

[[Page 760]]

115(d)(3)(G)(i)(I)(bb). This description should be provided as an 
addendum to the rest of the notice of license to help preserve any 
confidentiality to which it may be entitled. This paragraph (b)(8) does 
not apply to any authority obtained by a digital music provider from 
licensors of sound recordings to make and distribute permanent downloads 
of musical works embodied in such sound recordings pursuant to an 
individual download license or voluntary license. With respect to any 
applicable voluntary license executed and in effect before March 31, 
2021, the description required by this paragraph (b)(8) must be 
delivered to the mechanical licensing collective either no later than 10 
business days after such license is executed, or at least 90 calendar 
days before delivering a report of usage covering the first reporting 
period during which such license is in effect, whichever is later. For 
any reporting period ending on or before March 31, 2021, the mechanical 
licensing collective shall not be required to undertake any obligations 
otherwise imposed on it by this subpart with respect to any voluntary 
license for which the collective has not received the description 
required by this paragraph (b)(8) at least 90 calendar days prior to the 
delivery of a report of usage for such period, but such obligations 
attach and are ongoing with respect to such license for subsequent 
periods. The rest of the notice of license may be delivered separately 
from such description. The description required by this paragraph (b)(8) 
shall be sufficient if it includes at least the following information:
    (i) An identification of each of the digital music provider's 
services, including by reference to any applicable types of activities 
or offerings that may be defined in part 385 of this title, through 
which musical works are, or are expected to be, used pursuant to any 
such voluntary license. If such a license pertains to all of the digital 
music provider's applicable services, it may state so without 
identifying each service.
    (ii) The start and end dates.
    (iii) The musical work copyright owner, identified by name and any 
known and appropriate unique identifiers, and appropriate contact 
information for the musical work copyright owner or for an administrator 
or other representative who has entered into an applicable license on 
behalf of the relevant copyright owner.
    (iv) A satisfactory identification of any applicable catalog 
exclusions.
    (v) At the digital music provider's option, and in lieu of providing 
the information listed in paragraph (b)(8)(iv) of this section, a list 
of all covered musical works, identified by appropriate unique 
identifiers.
    (vi) A unique identifier for each such license.
    (9) A description of the extent to which the digital music provider 
is operating under authority obtained from licensors of sound recordings 
to make and distribute permanent downloads of musical works embodied in 
such sound recordings pursuant to an individual download license or 
voluntary license. Such description may indicate that such authority 
exists for all permanent downloads. Otherwise, such description shall 
include a list of all sound recordings for which the digital music 
provider has obtained such authority from the respective sound recording 
licensors, or a list of any applicable catalog exclusions where the 
digital music provider indicates that such authority otherwise exists 
for all permanent downloads. Such description shall also include an 
identification of the digital music provider's covered activities 
operated under such authority.
    (c) Certification and signature. The notice of license shall be 
signed by an appropriate duly authorized officer or representative of 
the digital music provider. The signature shall be accompanied by the 
name and title of the person signing the notice and the date of the 
signature. The notice may be signed electronically. The person signing 
the notice shall certify that he or she has appropriate authority to 
submit the notice of license to the mechanical licensing collective on 
behalf of the digital music provider and that all information submitted 
as part of the notice is true, accurate, and complete to the best of the 
signer's knowledge, information, and belief, and is provided in good 
faith.
    (d) Submission, fees, and acceptance. Except as provided by 17 
U.S.C.

[[Page 761]]

115(d)(9)(A), to obtain a blanket license, a digital music provider must 
submit a notice of license to the mechanical licensing collective. 
Notices of license shall be submitted to the mechanical licensing 
collective in a manner reasonably determined by the collective. No fee 
may be charged for submitting notices of license. Upon submitting a 
notice of license to the mechanical licensing collective, a digital 
music provider shall be provided with a prompt response from the 
collective confirming receipt of the notice and the date of receipt. The 
mechanical licensing collective shall send any rejection of a notice of 
license to both the street address and email address provided in the 
notice.
    (e) Harmless errors. Errors in the submission or content of a notice 
of license, including the failure to timely submit an amended notice of 
license, that do not materially affect the adequacy of the information 
required to serve the purposes of 17 U.S.C. 115(d) shall be deemed 
harmless, and shall not render the notice invalid or provide a basis for 
the mechanical licensing collective to reject a notice or terminate a 
blanket license. This paragraph (e) shall apply only to errors made in 
good faith and without any intention to deceive, mislead, or conceal 
relevant information.
    (f) Amendments. A digital music provider may submit an amended 
notice of license to cure any deficiency in a rejected notice pursuant 
to 17 U.S.C. 115(d)(2)(A). A digital music provider operating under a 
blanket license must submit a new notice of license within 45 calendar 
days after any of the information required by paragraphs (b)(1) through 
(6) of this section contained in the notice on file with the mechanical 
licensing collective has changed. An amended notice shall indicate that 
it is an amendment and shall contain the submission date of the notice 
being amended. The mechanical licensing collective shall retain copies 
of all prior notices of license submitted by a digital music provider. 
Where the information required by paragraph (b)(8) of this section has 
changed, instead of submitting an amended notice of license, the digital 
music provider must promptly deliver updated information to the 
mechanical licensing collective in an alternative manner reasonably 
determined by the collective. To the extent commercially reasonable, the 
digital music provider must deliver such updated information either no 
later than 10 business days after such license is executed, or at least 
30 calendar days before delivering a report of usage covering the first 
reporting period during which such license is in effect, whichever is 
later. Except as otherwise provided for by paragraph (b)(8) of this 
section, the mechanical licensing collective shall not be required to 
undertake any obligations otherwise imposed on it by this subpart with 
respect to any voluntary license for which the collective has not 
received the description required by paragraph (b)(8) of this section at 
least 30 calendar days prior to the delivery of a report of usage for 
such period, but such obligations attach and are ongoing with respect to 
such license for subsequent periods.
    (g) Transition to blanket licenses. Where a digital music provider 
obtains a blanket license automatically pursuant to 17 U.S.C. 
115(d)(9)(A) and seeks to continue operating under the blanket license, 
a notice of license must be submitted to the mechanical licensing 
collective within 45 calendar days after the license availability date 
and the mechanical licensing collective shall begin accepting such 
notices at least 30 calendar days before the license availability date, 
provided, however, that any description required by paragraph (b)(8) of 
this section must be delivered within the time period described in 
paragraph (b)(8). In such cases, the blanket license shall be effective 
as of the license availability date, rather than the date on which the 
notice is submitted to the collective. Failure to comply with this 
paragraph (g), including by failing to timely submit the required notice 
or cure a rejected notice, shall not affect an applicable digital music 
provider's blanket license, except that such blanket license may become 
subject to default and termination under 17 U.S.C. 115(d)(4)(E). The 
mechanical licensing collective shall not take any action pursuant to 17 
U.S.C. 115(d)(4)(E) before the conclusion of any proceedings under 17 
U.S.C.

[[Page 762]]

115(d)(2)(A)(iv) or (v), provided that the digital music provider meets 
the blanket license's other required terms and conditions.
    (h) Additional information. Nothing in this section shall be 
construed to prohibit the mechanical licensing collective from seeking 
additional information from a digital music provider that is not 
required by this section, which the digital music provider may 
voluntarily elect to provide, provided that the collective may not 
represent that such information is required to comply with the terms of 
this section.
    (i) Public access. The mechanical licensing collective shall 
maintain a current, free, and publicly accessible and searchable online 
list of all blanket licenses that, subject to any confidentiality to 
which they may be entitled, includes:
    (1) All information contained in each notice of license, including 
amended and rejected notices;
    (2) Contact information for all blanket licensees;
    (3) The effective dates of all blanket licenses;
    (4) For any amended or rejected notice, a clear indication of its 
amended or rejected status and its relationship to other relevant 
notices;
    (5) For any rejected notice, the collective's reason(s) for 
rejecting it; and
    (6) For any terminated blanket license, a clear indication of its 
terminated status, the date of termination, and the collective's 
reason(s) for terminating it.

[85 FR 58143, Sept. 17, 2020, as amended at 86 FR 12826, Mar. 5, 2021]



Sec.210.25  Notices of nonblanket activity.

    (a) General. This section prescribes rules under which a significant 
nonblanket licensee completes and submits a notice of nonblanket 
activity to the mechanical licensing collective pursuant to 17 U.S.C. 
115(d)(6)(A) for purposes of notifying the mechanical licensing 
collective that the licensee has been engaging in covered activities.
    (b) Form and content. A notice of nonblanket activity shall be 
prepared in accordance with any reasonable formatting instructions 
established by the mechanical licensing collective, and shall include 
all of the following information:
    (1) The full legal name of the significant nonblanket licensee and, 
if different, the trade or consumer-facing brand name(s) of the 
service(s), including any specific offering(s), through which the 
significant nonblanket licensee is engaging, or expects to engage, in 
any covered activity.
    (2) The full address, including a specific number and street name or 
rural route, of the place of business of the significant nonblanket 
licensee. A post office box or similar designation will not be 
sufficient except where it is the only address that can be used in that 
geographic location.
    (3) A telephone number and email address for the significant 
nonblanket licensee where an individual responsible for managing 
licenses associated with covered activities can be reached.
    (4) Any website(s), software application(s), or other online 
locations(s) where the significant nonblanket licensee's applicable 
service(s) is/are, or expected to be, made available.
    (5) A description sufficient to reasonably establish the licensee's 
qualifications as a significant nonblanket licensee and to provide 
reasonable notice to the mechanical licensing collective, digital 
licensee coordinator, copyright owners, and songwriters of the manner in 
which the significant nonblanket licensee is engaging, or expects to 
engage, in any covered activity. Such description shall be sufficient if 
it includes at least the following information:
    (i) A statement that the significant nonblanket licensee has a good-
faith belief, informed by review of relevant law and regulations, that 
it satisfies all requirements to qualify as a significant nonblanket 
licensee under 17 U.S.C. 115(e)(31).
    (ii) A statement that where the significant nonblanket licensee 
expects to engage in any activity identified in its notice of nonblanket 
activity, it has a good-faith intention to do so within a reasonable 
period of time.
    (iii) A general description of the significant nonblanket licensee's 
service(s), or expected service(s), and the manner in which it uses, or 
expects to

[[Page 763]]

use, phonorecords of nondramatic musical works.
    (iv) Identification of each of the following digital phonorecord 
delivery configurations the significant nonblanket licensee is, or 
expects to be, making as part of its covered activities:
    (A) Permanent downloads.
    (B) Limited downloads.
    (C) Interactive streams.
    (D) Noninteractive streams.
    (E) Other configurations, accompanied by a brief description.
    (v) Identification of each of the following service types the 
significant nonblanket licensee offers, or expects to offer, as part of 
its covered activities (the significant nonblanket licensee may, but is 
not required to, associate specific service types with specific digital 
phonorecord delivery configurations or with particular types of 
activities or offerings that may be defined in part 385 of this title):
    (A) Subscriptions.
    (B) Bundles.
    (C) Lockers.
    (D) Services available through discounted pricing plans, such as for 
families or students.
    (E) Free-to-the-user services.
    (F) Other applicable services, accompanied by a brief description.
    (vi) Any other information the significant nonblanket licensee 
wishes to provide.
    (6) Acknowledgement of whether the significant nonblanket licensee 
is operating under authority obtained from licensors of sound recordings 
to make and distribute permanent downloads of musical works embodied in 
such sound recordings pursuant to an individual download license or 
voluntary license. Where such authority does not cover all permanent 
downloads made available on the service, the significant nonblanket 
licensee shall maintain with the mechanical licensing collective a list 
of all sound recordings for which it has obtained such authority from 
the respective sound recording licensors, or a list of any applicable 
catalog exclusions where the significant nonblanket licensee indicates 
that such authority otherwise exists for all permanent downloads.
    (7) The date of initial use of musical works pursuant to any covered 
activity.
    (8) Identification of any amendment made pursuant to paragraph (f) 
of this section, including the submission date of the notice being 
amended.
    (c) Certification and signature. The notice of nonblanket activity 
shall be signed by an appropriate duly authorized officer or 
representative of the significant nonblanket licensee. The signature 
shall be accompanied by the name and title of the person signing the 
notice and the date of the signature. The notice may be signed 
electronically. The person signing the notice shall certify that he or 
she has appropriate authority to submit the notice of nonblanket 
activity to the mechanical licensing collective on behalf of the 
significant nonblanket licensee and that all information submitted as 
part of the notice is true, accurate, and complete to the best of the 
signer's knowledge, information, and belief, and is provided in good 
faith.
    (d) Submission, fees, and acceptance. Notices of nonblanket activity 
shall be submitted to the mechanical licensing collective in a manner 
reasonably determined by the collective. No fee may be charged for 
submitting notices of nonblanket activity. Upon submitting a notice of 
nonblanket activity to the mechanical licensing collective, a 
significant nonblanket licensee shall be provided with a prompt response 
from the collective confirming receipt of the notice and the date of 
receipt.
    (e) Harmless errors. Errors in the submission or content of a notice 
of nonblanket activity, including the failure to timely submit an 
amended notice of nonblanket activity, that do not materially affect the 
adequacy of the information required to serve the purposes of 17 U.S.C. 
115(d) shall be deemed harmless, and shall not render the notice invalid 
or provide a basis for the mechanical licensing collective or digital 
licensee coordinator to engage in legal enforcement efforts under 17 
U.S.C. 115(d)(6)(C). This paragraph (e) shall apply only to errors made 
in good faith and without any intention to deceive, mislead, or conceal 
relevant information.

[[Page 764]]

    (f) Amendments. A significant nonblanket licensee must submit a new 
notice of nonblanket activity with its report of usage that is next due 
after any of the information required by paragraphs (b)(1) through (7) 
of this section contained in the notice on file with the mechanical 
licensing collective has changed. An amended notice shall indicate that 
it is an amendment and shall contain the submission date of the notice 
being amended. The mechanical licensing collective shall retain copies 
of all prior notices of nonblanket activity submitted by a significant 
nonblanket licensee.
    (g) Transition to blanket licenses. Where a digital music provider 
that would otherwise qualify as a significant nonblanket licensee 
obtains a blanket license automatically pursuant to 17 U.S.C. 
115(d)(9)(A) and does not seek to operate under the blanket license, if 
such licensee submits a valid notice of nonblanket activity within 45 
calendar days after the license availability date in accordance with 17 
U.S.C. 115(d)(6)(A)(i), such licensee shall not be considered to have 
ever operated under the statutory blanket license until such time as the 
licensee submits a valid notice of license pursuant to 17 U.S.C. 
115(d)(2)(A).
    (h) Additional information. Nothing in this section shall be 
construed to prohibit the mechanical licensing collective from seeking 
additional information from a significant nonblanket licensee that is 
not required by this section, which the significant nonblanket licensee 
may voluntarily elect to provide, provided that the collective may not 
represent that such information is required to comply with the terms of 
this section.
    (i) Public access. The mechanical licensing collective shall 
maintain a current, free, and publicly accessible and searchable online 
list of all significant nonblanket licensees that, subject to any 
confidentiality to which they may be entitled, includes:
    (1) All information contained in each notice of nonblanket activity, 
including amended notices;
    (2) Contact information for all significant nonblanket licensees;
    (3) The date of receipt of each notice of nonblanket activity; and
    (4) For any amended notice, a clear indication of its amended status 
and its relationship to other relevant notices.

[85 FR 58143, Sept. 17, 2020, as amended at 86 FR 12826, Mar. 5, 2021]



Sec.210.26  Data collection and delivery efforts by digital music 
providers and musical work copyright owners.

    (a) General. This section prescribes rules under which digital music 
providers and musical work copyright owners shall engage in efforts to 
collect and provide information to the mechanical licensing collective 
that may assist the collective in matching musical works to sound 
recordings embodying those works and identifying and locating the 
copyright owners of those works.
    (b) Digital music providers. (1)(i) Pursuant to 17 U.S.C. 
115(d)(4)(B), in addition to obtaining sound recording names and 
featured artists and providing them in reports of usage, a digital music 
provider operating under a blanket license shall engage in good-faith, 
commercially reasonable efforts to obtain from sound recording copyright 
owners and other licensors of sound recordings made available through 
the service(s) of such digital music provider the information belonging 
to the categories identified in Sec.210.27(e)(1)(i)(E) and (e)(1)(ii), 
without regard to any limitations that may apply to the reporting of 
such information in reports of usage. Such efforts must be undertaken 
periodically, and be specific and targeted to obtaining information not 
previously obtained from the applicable owner or other licensor for the 
specific sound recordings and musical works embodied therein for which 
the digital music provider lacks such information. Such efforts must 
also solicit updates for any previously obtained information if 
reasonably requested by the mechanical licensing collective. The digital 
music provider shall keep the mechanical licensing collective reasonably 
informed of the efforts it undertakes pursuant to this section.

[[Page 765]]

    (ii) Any information required by paragraph (b)(1)(i) of this 
section, including any updates to such information, provided to the 
digital music provider by sound recording copyright owners or other 
licensors of sound recordings (or their representatives) shall be 
delivered to the mechanical licensing collective in reports of usage in 
accordance with Sec.210.27(e).
    (2)(i) Notwithstanding paragraph (b)(1) of this section, a digital 
music provider may satisfy its obligations under 17 U.S.C. 115(d)(4)(B) 
with respect to a particular sound recording by arranging, or 
collectively arranging with others, for the mechanical licensing 
collective to receive the information required by paragraph (b)(1)(i) of 
this section from an authoritative source of sound recording 
information, such as the collective designated by the Copyright Royalty 
Judges to collect and distribute royalties under the statutory licenses 
established in 17 U.S.C. 112 and 114, provided that:
    (A) Such arrangement requires such source to inform, including 
through periodic updates, the digital music provider and mechanical 
licensing collective about any relevant gaps in its repertoire coverage 
known to such source, including but not limited to particular categories 
of information identified in Sec.210.27(e)(1)(i)(E) and (e)(1)(ii), 
sound recording copyright owners and/or other licensors of sound 
recordings (e.g., labels, distributors), genres, and/or countries of 
origin, that are either not covered or materially underrepresented as 
compared to overall market representation; and
    (B) Such digital music provider does not have actual knowledge or 
has not been notified by the source, the mechanical licensing 
collective, or a copyright owner, licensor, or author (or their 
respective representatives, including by an administrator or a 
collective management organization) of the relevant sound recording or 
musical work that is embodied in such sound recording, that the source 
lacks such information for the relevant sound recording or a set of 
sound recordings encompassing such sound recording.
    (ii) Satisfying the requirements of 17 U.S.C. 115(d)(4)(B) in the 
manner set out in paragraph (b)(2)(i) of this section does not excuse a 
digital music provider from having to report sound recording and musical 
work information in accordance with Sec.210.27(e).
    (3) The requirements of paragraph (b) of this section are without 
prejudice to what a court of competent jurisdiction may determine 
constitutes good-faith, commercially reasonable efforts for purposes of 
eligibility for the limitation on liability described in 17 U.S.C. 
115(d)(10).
    (c) Musical work copyright owners. (1) Pursuant to 17 U.S.C. 
115(d)(3)(E)(iv), each musical work copyright owner with any musical 
work listed in the musical works database shall engage in commercially 
reasonable efforts to deliver to the mechanical licensing collective, 
including for use in the musical works database, by providing, to the 
extent a musical work copyright owner becomes aware that such 
information is not then available in the database and to the extent the 
musical work copyright owner has such missing information, information 
regarding the names of the sound recordings in which that copyright 
owner's musical works (or shares thereof) are embodied, to the extent 
practicable.
    (2) As used in paragraph (c)(1) of this section, ``information 
regarding the names of the sound recordings'' shall include, for each 
applicable sound recording:
    (i) Sound recording name(s), including any alternative or 
parenthetical titles for the sound recording;
    (ii) Featured artist(s); and
    (iii) ISRC(s).



Sec.210.27  Reports of usage and payment for blanket licensees.

    (a) General. This section prescribes rules for the preparation and 
delivery of reports of usage and payment of royalties for the making and 
distribution of phonorecords of nondramatic musical works to the 
mechanical licensing collective by a digital music provider operating 
under a blanket license pursuant to 17 U.S.C. 115(d). A blanket licensee 
shall report and pay royalties to the mechanical licensing collective on 
a monthly basis in accordance with 17 U.S.C. 115(c)(2)(I), 17 U.S.C. 
115(d)(4)(A), and this section. A blanket licensee

[[Page 766]]

shall also report to the mechanical licensing collective on an annual 
basis in accordance with 17 U.S.C. 115(c)(2)(I) and this section. A 
blanket licensee may make adjustments to its reports of usage and 
royalty payments in accordance with this section.
    (b) Definitions. For purposes of this section, in addition to those 
terms defined in Sec.210.22:
    (1) The term report of usage, unless otherwise specified, refers to 
all reports of usage required to be delivered by a blanket licensee to 
the mechanical licensing collective under the blanket license, including 
reports of adjustment. As used in this section, it does not refer to 
reports required to be delivered by significant nonblanket licensees 
under 17 U.S.C. 115(d)(6)(A)(ii) and Sec.210.28.
    (2) A monthly report of usage is a report of usage accompanying 
monthly royalty payments identified in 17 U.S.C. 115(c)(2)(I) and 17 
U.S.C. 115(d)(4)(A), and required to be delivered by a blanket licensee 
to the mechanical licensing collective under the blanket license.
    (3) An annual report of usage is a statement of account identified 
in 17 U.S.C. 115(c)(2)(I), and required to be delivered by a blanket 
licensee annually to the mechanical licensing collective under the 
blanket license.
    (4) A report of adjustment is a report delivered by a blanket 
licensee to the mechanical licensing collective under the blanket 
license adjusting one or more previously delivered monthly reports of 
usage or annual reports of usage, including related royalty payments.
    (c) Content of monthly reports of usage. A monthly report of usage 
shall be clearly and prominently identified as a ``Monthly Report of 
Usage Under Compulsory Blanket License for Making and Distributing 
Phonorecords,'' and shall include a clear statement of the following 
information:
    (1) The period (month and year) covered by the monthly report of 
usage.
    (2) The full legal name of the blanket licensee and, if different, 
the trade or consumer-facing brand name(s) of the service(s), including 
any specific offering(s), through which the blanket licensee engages in 
covered activities. If the blanket licensee has a unique DDEX identifier 
number, it must also be provided.
    (3) The full address, including a specific number and street name or 
rural route, of the place of business of the blanket licensee. A post 
office box or similar designation will not be sufficient except where it 
is the only address that can be used in that geographic location.
    (4) For each sound recording embodying a musical work that is used 
by the blanket licensee in covered activities during the applicable 
monthly reporting period, a detailed statement, from which the 
mechanical licensing collective may separate reported information for 
each applicable activity or offering including as may be defined in part 
385 of this title, of all of:
    (i) The royalty payment and accounting information required by 
paragraph (d) of this section; and
    (ii) The sound recording and musical work information required by 
paragraph (e) of this section.
    (5)(i) For any voluntary license in effect during the applicable 
monthly reporting period, the information required under Sec.
210.24(b)(8). If this information has been separately provided to the 
mechanical licensing collective, it need not be contained in the monthly 
report of usage, provided the report states that the information has 
been provided separately and includes the date on which such information 
was last provided to the mechanical licensing collective. This paragraph 
(c)(5)(i) does not apply to any authority obtained by a digital music 
provider from licensors of sound recordings to make and distribute 
permanent downloads of musical works embodied in such sound recordings 
pursuant to an individual download license or voluntary license.
    (ii) For any authority obtained by a digital music provider from 
licensors of sound recordings to make and distribute permanent downloads 
of musical works embodied in such sound recordings pursuant to an 
individual download license or voluntary license, and where such 
authority does not cover all permanent downloads made available on the 
service, a list of all sound recordings for which the digital

[[Page 767]]

music provider has obtained such authority from the respective sound 
recording licensors, or a list of any applicable catalog exclusions 
where the digital music provider indicates that such authority otherwise 
exists for all permanent downloads, and an identification of the digital 
music provider's covered activities operated under such authority. If 
this information has been separately provided to the mechanical 
licensing collective, it need not be contained in the monthly report of 
usage, provided the report states that the information has been provided 
separately and includes the date on which such information was last 
provided to the mechanical licensing collective.
    (6) Where the blanket licensee will not receive an invoice prior to 
delivering its royalty payment under paragraph (g)(1) of this section:
    (i) The total royalty payable by the blanket licensee under the 
blanket license for the applicable monthly reporting period, computed in 
accordance with the requirements of this section and part 385 of this 
title, and including detailed information regarding how the royalty was 
computed, with such total royalty payable broken down by each applicable 
activity or offering including as may be defined in part 385 of this 
title; and
    (ii) The amount of late fees, if applicable, included in the payment 
associated with the monthly report of usage.
    (d) Royalty payment and accounting information. The royalty payment 
and accounting information called for by paragraph (c)(4)(i) of this 
section shall consist of the following:
    (1) Calculations. (i) Where the blanket licensee will not receive an 
invoice prior to delivering its royalty payment under paragraph (g)(1) 
of this section, a detailed and step-by-step accounting of the 
calculation of royalties payable by the blanket licensee under the 
blanket license under applicable provisions of this section and part 385 
of this title, sufficient to allow the mechanical licensing collective 
to assess the manner in which the blanket licensee determined the 
royalty owed and the accuracy of the royalty calculations, including but 
not limited to the number of payable units, including, as applicable, 
permanent downloads, plays, and constructive plays, for each reported 
sound recording, whether pursuant to a blanket license, voluntary 
license, or individual download license.
    (ii) Where the blanket licensee will receive an invoice prior to 
delivering its royalty payment under paragraph (g)(1) of this section, 
all information necessary for the mechanical licensing collective to 
compute, in accordance with the requirements of this section and part 
385 of this title, the royalties payable by the blanket licensee under 
the blanket license, and all information necessary to enable the 
mechanical licensing collective to provide a detailed and step-by-step 
accounting of the calculation of such royalties under applicable 
provisions of this section and part 385 of this title, sufficient to 
allow each applicable copyright owner to assess the manner in which the 
mechanical licensing collective, using the blanket licensee's 
information, determined the royalty owed and the accuracy of the royalty 
calculations, including but not limited to the number of payable units, 
including, as applicable, permanent downloads, plays, and constructive 
plays, for each reported sound recording, whether pursuant to a blanket 
license, voluntary license, or individual download license.
    (2) Estimates. (i) Where computation of the royalties payable by the 
blanket licensee under the blanket license depends on an input that is 
unable to be finally determined at the time the report of usage is 
delivered to the mechanical licensing collective and where the reason 
the input cannot be finally determined is outside of the blanket 
licensee's control (e.g., as applicable, the amount of applicable public 
performance royalties and the amount of applicable consideration for 
sound recording copyright rights), a reasonable estimation of such 
input, determined in accordance with GAAP, may be used or provided by 
the blanket licensee. Royalty payments based on such estimates shall be 
adjusted pursuant to paragraph (k) of this section after being finally 
determined. A report of usage containing an estimate permitted by this 
paragraph (d)(2)(i) should identify each input that has been estimated, 
and provide the reason(s) why such input(s) needed to be estimated and 
an

[[Page 768]]

explanation as to the basis for the estimate(s).
    (ii) Where the blanket licensee will not receive an invoice prior to 
delivering its royalty payment under paragraph (g)(1) of this section, 
and the blanket licensee is dependent upon the mechanical licensing 
collective to confirm usage subject to applicable voluntary licenses and 
individual download licenses, the blanket licensee shall compute the 
royalties payable by the blanket licensee under the blanket license 
using a reasonable estimation of the amount of payment for such non-
blanket usage to be deducted from royalties that would otherwise be due 
under the blanket license, determined in accordance with GAAP. Royalty 
payments based on such estimates shall be adjusted within 5 calendar 
days after the mechanical licensing collective confirms such amount to 
be deducted and notifies the blanket licensee under paragraph (g)(2) of 
this section. Any overpayment of royalties shall be handled in 
accordance with paragraph (k)(5) of this section. Where the blanket 
licensee will receive an invoice prior to delivering its royalty payment 
under paragraph (g)(1) of this section, the blanket licensee shall not 
provide an estimate of or deduct such amount in the information 
delivered to the mechanical licensing collective under paragraph 
(d)(1)(ii) of this section.
    (3) Good faith. All information and calculations provided pursuant 
to paragraph (d) of this section shall be made in good faith and on the 
basis of the best knowledge, information, and belief of the blanket 
licensee at the time the report of usage is delivered to the mechanical 
licensing collective, and subject to any additional accounting and 
certification requirements under 17 U.S.C. 115 and this section.
    (e) Sound recording and musical work information. (1) The following 
information must be provided for each sound recording embodying a 
musical work required to be reported under paragraph (c)(4)(ii) of this 
section:
    (i) Identifying information for the sound recording, including but 
not limited to:
    (A) Sound recording name(s), including all known alternative and 
parenthetical titles for the sound recording;
    (B) Featured artist(s);
    (C) Unique identifier(s) assigned by the blanket licensee, including 
unique identifier(s) (such as, if applicable, Uniform Resource Locators 
(URLs)) that can be used to locate and listen to the sound recording, 
accompanied by clear instructions describing how to do so (such audio 
access may be limited to a preview or sample of the sound recording 
lasting at least 30 seconds), subject to paragraph (e)(3) of this 
section;
    (D) Actual playing time measured from the sound recording audio 
file; and
    (E) To the extent acquired by the blanket licensee in connection 
with its use of sound recordings of musical works to engage in covered 
activities, including pursuant to 17 U.S.C. 115(d)(4)(B):
    (1) Sound recording copyright owner(s);
    (2) Producer(s);
    (3) ISRC(s);
    (4) Any other unique identifier(s) for or associated with the sound 
recording, including any unique identifier(s) for any associated album, 
including but not limited to:
    (i) Catalog number(s);
    (ii) UPC(s); and
    (iii) Unique identifier(s) assigned by any distributor;
    (5) Version(s);
    (6) Release date(s);
    (7) Album title(s);
    (8) Label name(s);
    (9) Distributor(s); and
    (10) Other information commonly used in the industry to identify 
sound recordings and match them to the musical works the sound 
recordings embody.
    (ii) Identifying information for the musical work embodied in the 
reported sound recording, to the extent acquired by the blanket licensee 
in the metadata provided by sound recording copyright owners or other 
licensors of sound recordings in connection with the use of sound 
recordings of musical works to engage in covered activities, including 
pursuant to 17 U.S.C. 115(d)(4)(B):
    (A) Information concerning authorship and ownership of the 
applicable

[[Page 769]]

rights in the musical work embodied in the sound recording, including 
but not limited to:
    (1) Songwriter(s);
    (2) Publisher(s) with applicable U.S. rights;
    (3) Musical work copyright owner(s);
    (4) ISNI(s) and IPI(s) for each such songwriter, publisher, and 
musical work copyright owner; and
    (5) Respective ownership shares of each such musical work copyright 
owner;
    (B) ISWC(s) for the musical work embodied in the sound recording; 
and
    (C) Musical work name(s) for the musical work embodied in the sound 
recording, including any alternative or parenthetical titles for the 
musical work.
    (iii) Whether the blanket licensee, or any corporate parent, 
subsidiary, or affiliate of the blanket licensee, is a copyright owner 
of the musical work embodied in the sound recording.
    (2) Where any of the information called for by paragraph (e)(1) of 
this section, except for playing time, is acquired by the blanket 
licensee from sound recording copyright owners or other licensors of 
sound recordings (or their representatives), and the blanket licensee 
revises, re-titles, or otherwise modifies such information (which, for 
avoidance of doubt, does not include the act of filling in or 
supplementing empty or blank data fields, to the extent such information 
is known to the licensee), the blanket licensee shall report as follows:
    (i) It shall be sufficient for the blanket licensee to report either 
the licensor-provided version or the modified version of such 
information to satisfy its obligations under paragraph (e)(1) of this 
section, except for the reporting of any information belonging to a 
category of information that was not periodically modified by that 
blanket licensee prior to the license availability date, any unique 
identifier (including but not limited to ISRC and ISWC), or any release 
date. On and after September 17, 2021, it additionally shall not be 
sufficient for the blanket licensee to report a modified version of any 
sound recording name, featured artist, version, or album title.
    (ii) Where the blanket licensee must otherwise report the licensor-
provided version of such information under paragraph (e)(2)(i) of this 
section, but to the best of its knowledge, information, and belief no 
longer has possession, custody, or control of the licensor-provided 
version, reporting the modified version of such information will satisfy 
its obligations under paragraph (e)(1) of this section if the blanket 
licensee certifies to the mechanical licensing collective that to the 
best of the blanket licensee's knowledge, information, and belief: The 
information at issue belongs to a category of information called for by 
paragraph (e)(1) of this section (each of which must be identified) that 
was periodically modified by the particular blanket licensee prior to 
October 19, 2020; and that despite engaging in good-faith, commercially 
reasonable efforts, the blanket licensee has not located the licensor-
provided version in its records. A certification need not identify 
specific sound recordings or musical works, and a single certification 
may encompass all licensor-provided information satisfying the 
conditions of the preceding sentence. The blanket licensee should 
deliver this certification prior to or contemporaneously with the first-
delivered report of usage containing information to which this paragraph 
(e)(2)(ii) is applicable and need not provide the same certification to 
the mechanical licensing collective more than once.
    (3) With respect to the obligation under paragraph (e)(1) of this 
section for blanket licensees to report unique identifiers that can be 
used to locate and listen to sound recordings accompanied by clear 
instructions describing how to do so:
    (i) On and after the license availability date, blanket licensees 
providing such unique identifiers may not impose conditions that 
materially diminish the degree of access to sound recordings in 
connection with their potential use by the mechanical licensing 
collective or its registered users in connection with their use of the 
collective's claiming portal (e.g., if a paid subscription is not 
required to listen to a sound recording as of the license availability 
date, the blanket licensee

[[Page 770]]

should not later impose a subscription fee for users to access the 
recording through the portal). Nothing in this paragraph (e)(3)(i) shall 
be construed as restricting a blanket licensee from otherwise imposing 
conditions or diminishing access to sound recordings: With respect to 
other users or methods of access to its service(s), including the 
general public; if required by a relevant agreement with a sound 
recording copyright owner or other licensor of sound recordings; or 
where such sound recordings are no longer made available through its 
service(s).
    (ii) Blanket licensees who do not assign such unique identifiers as 
of September 17, 2020, may make use of a transition period ending 
September 17, 2021, during which the requirement to report such unique 
identifiers accompanied by instructions shall be waived upon 
notification, including a description of any implementation obstacles, 
to the mechanical licensing collective.
    (iii)(A) By no later than December 16, 2020, and on a quarterly 
basis for the succeeding year, or as otherwise directed by the Copyright 
Office, the mechanical licensing collective and digital licensee 
coordinator shall report to the Copyright Office regarding the ability 
of users to listen to sound recordings for identification purposes 
through the collective's claiming portal. In addition to any other 
information requested, each report shall:
    (1) Identify any implementation obstacles preventing the audio of 
any reported sound recording from being accessed directly or indirectly 
through the portal without cost to portal users (including any obstacles 
described by any blanket licensee pursuant to paragraph (e)(3)(ii) of 
this section, along with such licensee's identity), and any other 
obstacles to improving the experience of portal users seeking to 
identify musical works and their owners;
    (2) Identify an implementation strategy for addressing any 
identified obstacles, and, as applicable, what progress has been made in 
addressing such obstacles; and
    (3) Identify any agreements between the mechanical licensing 
collective and blanket licensee(s) to provide for access to the relevant 
sound recordings for portal users seeking to identify musical works and 
their owners through an alternate method rather than by reporting unique 
identifiers through reports of usage (e.g., separately licensed 
solutions). If such an alternate method is implemented pursuant to any 
such agreement, the requirement to report unique identifiers that can be 
used to locate and listen to sound recordings accompanied by clear 
instructions describing how to do so is lifted for the relevant blanket 
licensee(s) for the duration of the agreement.
    (B) The mechanical licensing collective and digital licensee 
coordinator shall cooperate in good faith to produce the reports 
required under paragraph (e)(3)(iii)(A) of this section, and shall 
submit joint reports with respect to areas on which they can reach 
substantial agreement, but which may contain separate report sections on 
areas where they are unable to reach substantial agreement. Such 
cooperation may include work through the operations advisory committee.
    (4) Any obligation under paragraph (e)(1) of this section concerning 
information about sound recording copyright owners may be satisfied by 
reporting the information for applicable sound recordings provided to 
the blanket licensee by sound recording copyright owners or other 
licensors of sound recordings (or their representatives) contained in 
each of the following DDEX fields: LabelName and PLine. Where a blanket 
licensee acquires this information in addition to other information 
identifying a relevant sound recording copyright owner, all such 
information should be reported.
    (5) A blanket licensee may make use of a transition period ending 
September 17, 2021, during which the blanket licensee need not report 
information that would otherwise be required by paragraph (e)(1)(i)(E) 
or (e)(1)(ii) of this section, unless:
    (i) It belongs to a category of information expressly required by 
the enumerated list of information contained in 17 U.S.C. 
115(d)(4)(A)(ii)(I)(aa) or (bb);
    (ii) It belongs to a category of information that is reported by the 
particular blanket licensee pursuant to

[[Page 771]]

any voluntary license or individual download license; or
    (iii) It belongs to a category of information that was periodically 
reported by the particular blanket licensee prior to the license 
availability date.
    (f) Content of annual reports of usage. An annual report of usage, 
covering the full fiscal year of the blanket licensee, shall be clearly 
and prominently identified as an ``Annual Report of Usage Under 
Compulsory Blanket License for Making and Distributing Phonorecords,'' 
and shall include a clear statement of the following information:
    (1) The fiscal year covered by the annual report of usage.
    (2) The full legal name of the blanket licensee and, if different, 
the trade or consumer-facing brand name(s) of the service(s), including 
any specific offering(s), through which the blanket licensee engages in 
covered activities. If the blanket licensee has a unique DDEX identifier 
number, it must also be provided.
    (3) The full address, including a specific number and street name or 
rural route, of the place of business of the blanket licensee. A post 
office box or similar designation will not be sufficient except where it 
is the only address that can be used in that geographic location.
    (4) The following information, cumulative for the applicable annual 
reporting period, for each month for each applicable activity or 
offering including as may be defined in part 385 of this title, and 
broken down by month and by each such applicable activity or offering:
    (i) The total royalty payable by the blanket licensee under the 
blanket license, computed in accordance with the requirements of this 
section and part 385 of this title.
    (ii) The total sum paid to the mechanical licensing collective under 
the blanket license, including the amount of any adjustment delivered 
contemporaneously with the annual report of usage.
    (iii) The total adjustment(s) made by any report of adjustment 
adjusting any monthly report of usage covered by the applicable annual 
reporting period, including any adjustment made in connection with the 
annual report of usage as described in paragraph (k)(1) of this section.
    (iv) The total number of payable units, including, as applicable, 
permanent downloads, plays, and constructive plays, for each sound 
recording used, whether pursuant to a blanket license, voluntary 
license, or individual download license.
    (v) To the extent applicable to the calculation of royalties owed by 
the blanket licensee under the blanket license:
    (A) Total service provider revenue, as may be defined in part 385 of 
this title.
    (B) Total costs of content, as may be defined in part 385 of this 
title.
    (C) Total deductions of performance royalties, as may be defined in 
and permitted by part 385 of this title.
    (D) Total subscribers, as may be defined in part 385 of this title.
    (5) The amount of late fees, if applicable, included in any payment 
associated with the annual report of usage.
    (g) Processing and timing. (1) Each monthly report of usage and 
related royalty payment must be delivered to the mechanical licensing 
collective no later than 45 calendar days after the end of the 
applicable monthly reporting period. Where a monthly report of usage 
satisfying the requirements of 17 U.S.C. 115 and this section is 
delivered to the mechanical licensing collective no later than 15 
calendar days after the end of the applicable monthly reporting period, 
the mechanical licensing collective shall deliver an invoice to the 
blanket licensee no later than 40 calendar days after the end of the 
applicable monthly reporting period that sets forth the royalties 
payable by the blanket licensee under the blanket license for the 
applicable monthly reporting period, which shall be broken down by each 
applicable activity or offering including as may be defined in part 385 
of this title.
    (2) After receiving a monthly report of usage, the mechanical 
licensing collective shall engage in the following actions, among any 
other actions required of it:
    (i) The mechanical licensing collective shall engage in efforts to 
identify the musical works embodied in sound recordings reflected in 
such report, and

[[Page 772]]

the copyright owners of such musical works (and shares thereof).
    (ii) The mechanical licensing collective shall engage in efforts to 
confirm uses of musical works subject to voluntary licenses and 
individual download licenses, and, if applicable, the corresponding 
amounts to be deducted from royalties that would otherwise be due under 
the blanket license. These efforts may include providing copyright 
owners with information on usage of their respective musical works that 
was identified by a digital music provider as subject to a voluntary 
license or individual download license.
    (iii) Where the blanket licensee will not receive an invoice prior 
to delivering its royalty payment under paragraph (g)(1) of this 
section, the mechanical licensing collective shall engage in efforts to 
confirm proper payment of the royalties payable by the blanket licensee 
under the blanket license for the applicable monthly reporting period, 
computed in accordance with the requirements of this section and part 
385 of this title, after accounting for, if applicable, amounts to be 
deducted under paragraph (g)(2)(ii) of this section.
    (iv) Where the blanket licensee will receive an invoice prior to 
delivering its royalty payment under paragraph (g)(1) of this section, 
the mechanical licensing collective shall engage in efforts to compute, 
in accordance with the requirements of this section and part 385 of this 
title, the royalties payable by the blanket licensee under the blanket 
license for the applicable monthly reporting period, after accounting 
for, if applicable, amounts to be deducted under paragraph (g)(2)(ii) of 
this section.
    (v) The mechanical licensing collective shall deliver a response 
file to the blanket licensee if requested by the blanket licensee, and 
the blanket licensee may request an invoice even if not entitled to an 
invoice prior to delivering its royalty payment under paragraph (g)(1) 
of this section. Such requests may be made in connection with a 
particular monthly report of usage or via a one-time request that 
applies to future reporting periods. Where the blanket licensee will 
receive an invoice prior to delivering its royalty payment under 
paragraph (g)(1) of this section, the mechanical licensing collective 
shall deliver the response file to the blanket licensee 
contemporaneously with such invoice. The mechanical licensing collective 
shall otherwise deliver the response file and/or invoice, as applicable, 
to the blanket licensee in a reasonably timely manner, but no later than 
70 calendar days after the end of the applicable monthly reporting 
period if the blanket licensee has delivered its monthly report of usage 
and related royalty payment no later than 45 calendar days after the end 
of the applicable monthly reporting period. In all cases, the response 
file shall contain such information as is common in the industry to be 
reported in response files, backup files, and any other similar such 
files provided to digital music providers by applicable third-party 
administrators, and shall include the results of the process described 
in paragraphs (g)(2)(i) through (iv) of this section on a track-by-track 
and ownership-share basis, with updates to reflect any new results from 
the previous month. Response files shall include the following minimum 
information: song title, mechanical licensing collective-assigned song 
code, composer(s), publisher name, including top publisher, original 
publisher, and admin publisher, publisher split, mechanical licensing 
collective-assigned publisher number, publisher/license status (whether 
each work share is subject to the blanket license or a voluntary license 
or individual download license), royalties per work share, effective 
per-play rate, time-adjusted plays, and the unique identifier for each 
applicable voluntary license or individual download license provided to 
the mechanical licensing collective pursuant to Sec.210.24(b)(8)(vi).
    (3) Each annual report of usage and, if any, related royalty payment 
must be delivered to the mechanical licensing collective no later than 
the 20th day of the sixth month following the end of the fiscal year 
covered by the annual report of usage.
    (4) The required timing for any report of adjustment and, if any, 
related royalty payment shall be as follows:

[[Page 773]]

    (i) Where a report of adjustment adjusting a monthly report of usage 
is not combined with an annual report of usage, as described in 
paragraph (k)(1) of this section, a report of adjustment adjusting a 
monthly report of usage must be delivered to the mechanical licensing 
collective after delivery of the monthly report of usage being adjusted 
and before delivery of the annual report of usage for the annual period 
covering such monthly report of usage.
    (ii) A report of adjustment adjusting an annual report of usage must 
be delivered to the mechanical licensing collective no later than 6 
months after the occurrence of any of the scenarios specified by 
paragraph (k)(6) of this section, where such an event necessitates an 
adjustment. Where more than one scenario applies to the same annual 
report of usage at different points in time, a separate 6-month period 
runs for each such triggering event.
    (h) Format and delivery. (1) Reports of usage shall be delivered to 
the mechanical licensing collective in a machine-readable format that is 
compatible with the information technology systems of the mechanical 
licensing collective as reasonably determined by the mechanical 
licensing collective and set forth on its website, taking into 
consideration relevant industry standards and the potential for 
different degrees of sophistication among blanket licensees. The 
mechanical licensing collective must offer at least two options, where 
one is dedicated to smaller blanket licensees that may not be reasonably 
capable of complying with the requirements of a reporting or data 
standard or format that the mechanical licensing collective may see fit 
to adopt for larger blanket licensees with more sophisticated 
operations. Nothing in this section shall be construed as prohibiting 
the mechanical licensing collective from adopting more than two 
reporting or data standards or formats.
    (2) Royalty payments shall be delivered to the mechanical licensing 
collective in such manner and form as the mechanical licensing 
collective may reasonably determine and set forth on its website. A 
report of usage and its related royalty payment may be delivered 
together or separately, but if delivered separately, the payment must 
include information reasonably sufficient to allow the mechanical 
licensing collective to match the report of usage to the payment.
    (3) The mechanical licensing collective may modify the requirements 
it adopts under paragraphs (h)(1) and (2) of this section at any time, 
after good-faith consultation with the operations advisory committee and 
taking into consideration any technological and cost burdens that may 
reasonably be expected to result and the proportionality of those 
burdens to any reasonably expected benefits, provided that advance 
notice of any such change is reflected on its website and delivered to 
blanket licensees using the contact information provided in each 
respective licensee's notice of license. A blanket licensee shall not be 
required to comply with any such change before the first reporting 
period ending at least 30 calendar days after delivery of such notice, 
unless such change is a significant change, in which case, compliance 
shall not be required before the first reporting period ending at least 
one year after delivery of such notice. For purposes of this paragraph 
(h)(3), a significant change occurs where the mechanical licensing 
collective changes any policy requiring information to be provided under 
particular reporting or data standards or formats. Where delivery of the 
notice required by this paragraph (h)(3) is attempted but unsuccessful 
because the contact information in the blanket licensee's notice of 
license is not current, the grace periods established by this paragraph 
(h)(3) shall begin to run from the date of attempted delivery. Nothing 
in this paragraph (h)(3) empowers the mechanical licensing collective to 
impose reporting requirements that are otherwise inconsistent with the 
regulations prescribed by this section.
    (4) The mechanical licensing collective shall, by no later than the 
license availability date, establish an appropriate process by which any 
blanket licensee may voluntarily make advance deposits of funds with the 
mechanical licensing collective against which future royalty payments 
may be charged.
    (5) A separate monthly report of usage shall be delivered for each 
month

[[Page 774]]

during which there is any activity relevant to the payment of mechanical 
royalties for covered activities. An annual report of usage shall be 
delivered for each fiscal year during which at least one monthly report 
of usage was required to have been delivered. An annual report of usage 
does not replace any monthly report of usage.
    (6)(i) Where a blanket licensee attempts to timely deliver a report 
of usage and/or related royalty payment to the mechanical licensing 
collective but cannot because of the fault of the collective or an 
error, outage, disruption, or other issue with any of the collective's 
applicable information technology systems (whether or not such issue is 
within the collective's direct control) the occurrence of which the 
blanket licensee knew or should have known at the time, if the blanket 
licensee attempts to contact the collective about the problem within 2 
business days, provides a sworn statement detailing the encountered 
problem to the Copyright Office within 5 business days (emailed to the 
Office of the General Counsel at [email protected]), and 
delivers the report of usage and/or related royalty payment to the 
collective within 5 business days after receiving written notice from 
the collective that the problem is resolved, then the mechanical 
licensing collective shall act as follows:
    (A) The mechanical licensing collective shall fully credit the 
blanket licensee for any applicable late fee paid by the blanket 
licensee as a result of the untimely delivery of the report of usage 
and/or related royalty payment.
    (B) The mechanical licensing collective shall not use the untimely 
delivery of the report of usage and/or related royalty payment as a 
basis to terminate the blanket licensee's blanket license.
    (ii) In the event of a good-faith dispute regarding whether a 
blanket licensee knew or should have known of the occurrence of an 
error, outage, disruption, or other issue with any of the mechanical 
licensing collective's applicable information technology systems, a 
blanket licensee that complies with the requirements of paragraph 
(h)(6)(i) of this section within a reasonable period of time shall 
receive the protections of paragraphs (h)(6)(i)(A) and (B) of this 
section.
    (7) The mechanical licensing collective shall provide a blanket 
licensee with written confirmation of receipt no later than 2 business 
days after receiving a report of usage and no later than 2 business days 
after receiving any payment.
    (i) Certification of monthly reports of usage. Each monthly report 
of usage shall be accompanied by:
    (1) The name of the person who is signing and certifying the monthly 
report of usage.
    (2) A signature, which in the case of a blanket licensee that is a 
corporation or partnership, shall be the signature of a duly authorized 
officer of the corporation or of a partner.
    (3) The date of signature and certification.
    (4) If the blanket licensee is a corporation or partnership, the 
title or official position held in the partnership or corporation by the 
person who is signing and certifying the monthly report of usage.
    (5) One of the following statements:

    (i) Statement one:
    I certify that (1) I am duly authorized to sign this monthly report 
of usage on behalf of the blanket licensee, (2) I have examined this 
monthly report of usage, and (3) all statements of fact contained herein 
are true, complete, and correct to the best of my knowledge, 
information, and belief, and are made in good faith.

    (ii) Statement two:

    I certify that (1) I am duly authorized to sign this monthly report 
of usage on behalf of the blanket licensee, (2) I have prepared or 
supervised the preparation of the data used by the blanket licensee and/
or its agent to generate this monthly report of usage, (3) such data is 
true, complete, and correct to the best of my knowledge, information, 
and belief, and was prepared in good faith, and (4) this monthly report 
of usage was prepared by the blanket licensee and/or its agent using 
processes and internal controls that were subject to an examination, 
during the past year, by a licensed certified public accountant in 
accordance with the attestation standards established by the American 
Institute of Certified Public Accountants, the opinion of whom was that 
(A) the processes generated monthly reports of usage that accurately 
reflect, in all material respects, the blanket licensee's usage of 
musical works,

[[Page 775]]

the statutory royalties applicable thereto (to the extent reported), and 
any other data that is necessary for the proper calculation of the 
statutory royalties in accordance with 17 U.S.C. 115 and applicable 
regulations, and (B) the internal controls relevant to the processes 
used by or on behalf of the blanket licensee to generate monthly reports 
of usage were suitably designed and operated effectively during the 
period covered by the monthly reports of usage.

    (6) A certification that the blanket licensee has, for the period 
covered by the monthly report of usage, engaged in good-faith, 
commercially reasonable efforts to obtain information about applicable 
sound recordings and musical works pursuant to 17 U.S.C. 115(d)(4)(B) 
and Sec.210.26.
    (j) Certification of annual reports of usage. (1) Each annual report 
of usage shall be accompanied by:
    (i) The name of the person who is signing the annual report of usage 
on behalf of the blanket licensee.
    (ii) A signature, which in the case of a blanket licensee that is a 
corporation or partnership, shall be the signature of a duly authorized 
officer of the corporation or of a partner.
    (iii) The date of signature.
    (iv) If the blanket licensee is a corporation or partnership, the 
title or official position held in the partnership or corporation by the 
person signing the annual report of usage.
    (v) The following statement: I am duly authorized to sign this 
annual report of usage on behalf of the blanket licensee.
    (vi) A certification that the blanket licensee has, for the period 
covered by the annual report of usage, engaged in good-faith, 
commercially reasonable efforts to obtain information about applicable 
sound recordings and musical works pursuant to 17 U.S.C. 115(d)(4)(B) 
and Sec.210.26.
    (2) Each annual report of usage shall also be certified by a 
licensed certified public accountant. Such certification shall comply 
with the following requirements:
    (i) Except as provided in paragraph (j)(2)(ii) of this section, the 
accountant shall certify that it has conducted an examination of the 
annual report of usage prepared by the blanket licensee in accordance 
with the attestation standards established by the American Institute of 
Certified Public Accountants, and has rendered an opinion based on such 
examination that the annual report of usage conforms with the standards 
in paragraph (j)(2)(iv) of this section.
    (ii) If such accountant determines in its professional judgment that 
the volume of data attributable to a particular blanket licensee renders 
it impracticable to certify the annual report of usage as required by 
paragraph (j)(2)(i) of this section, the accountant may instead certify 
the following:
    (A) That the accountant has conducted an examination in accordance 
with the attestation standards established by the American Institute of 
Certified Public Accountants of the following assertions by the blanket 
licensee's management:
    (1) That the processes used by or on behalf of the blanket licensee 
generated annual reports of usage that conform with the standards in 
paragraph (j)(2)(iv) of this section; and
    (2) That the internal controls relevant to the processes used by or 
on behalf of the blanket licensee to generate annual reports of usage 
were suitably designed and operated effectively during the period 
covered by the annual reports of usage.
    (B) That such examination included examining, either on a test basis 
or otherwise as the accountant considered necessary under the 
circumstances and in its professional judgment, evidence supporting the 
management assertions in paragraph (j)(2)(ii)(A) of this section, and 
performing such other procedures as the accountant considered necessary 
in the circumstances.
    (C) That the accountant has rendered an opinion based on such 
examination that the processes used to generate the annual report of 
usage generated annual reports of usage that conform with the standards 
in paragraph (j)(2)(iv) of this section, and that the internal controls 
relevant to the processes used to generate annual reports of usage were 
suitably designed and operated effectively during the period covered by 
the annual reports of usage.
    (iii) In the event a third party or third parties acting on behalf 
of the blanket licensee provided services related to the annual report 
of usage, the

[[Page 776]]

accountant making a certification under either paragraph (j)(2)(i) or 
(ii) of this section may, as the accountant considers necessary under 
the circumstances and in its professional judgment, rely on a report and 
opinion rendered by a licensed certified public accountant in accordance 
with the attestation standards established by the American Institute of 
Certified Public Accountants that the processes and/or internal controls 
of the third party or third parties relevant to the generation of the 
blanket licensee's annual reports of usage were suitably designed and 
operated effectively during the period covered by the annual reports of 
usage, if such reliance is disclosed in the certification.
    (iv) An annual report of usage conforms with the standards of this 
paragraph (j) if it presents fairly, in all material respects, the 
blanket licensee's usage of musical works in covered activities during 
the period covered by the annual report of usage, the statutory 
royalties applicable thereto (to the extent reported), and such other 
data as are relevant to the calculation of statutory royalties in 
accordance with 17 U.S.C. 115 and applicable regulations.
    (v) Each certificate shall be signed by an individual, or in the 
name of a partnership or a professional corporation with two or more 
shareholders. The certificate number and jurisdiction are not required 
if the certificate is signed in the name of a partnership or a 
professional corporation with two or more shareholders.
    (3) If the annual report of usage is delivered electronically, the 
blanket licensee may deliver an electronic facsimile of the original 
certification of the annual report of usage signed by the licensed 
certified public accountant. The blanket licensee shall retain the 
original certification of the annual report of usage signed by the 
licensed certified public accountant for the period identified in 
paragraph (m) of this section, which shall be made available to the 
mechanical licensing collective upon demand.
    (k) Adjustments. (1) A blanket licensee may adjust one or more 
previously delivered monthly reports of usage or annual reports of 
usage, including related royalty payments, by delivering to the 
mechanical licensing collective a report of adjustment. A report of 
adjustment adjusting one or more monthly reports of usage may, but need 
not, be combined with the annual report of usage for the annual period 
covering such monthly reports of usage and related payments. In such 
cases, such an annual report of usage shall also be considered a report 
of adjustment, and must satisfy the requirements of both paragraphs (f) 
and (k) of this section.
    (2) A report of adjustment, except when combined with an annual 
report of usage, shall be clearly and prominently identified as a 
``Report of Adjustment Under Compulsory Blanket License for Making and 
Distributing Phonorecords.'' A report of adjustment that is combined 
with an annual report of usage shall be identified in the same manner as 
any other annual report of usage.
    (3) A report of adjustment shall include a clear statement of the 
following information:
    (i) The previously delivered monthly reports of usage or annual 
reports of usage, including related royalty payments, to which the 
adjustment applies.
    (ii) The specific change(s) to the applicable previously delivered 
monthly reports of usage or annual reports of usage, including a 
detailed description of any changes to any of the inputs upon which 
computation of the royalties payable by the blanket licensee under the 
blanket license depends. Such description shall include all information 
necessary for the mechanical licensing collective to compute, in 
accordance with the requirements of this section and part 385 of this 
title, the adjusted royalties payable by the blanket licensee under the 
blanket license, and all information necessary to enable the mechanical 
licensing collective to provide a detailed and step-by-step accounting 
of the calculation of the adjustment under applicable provisions of this 
section and part 385 of this title, sufficient to allow each applicable 
copyright owner to assess the manner in which the mechanical licensing 
collective, using the blanket licensee's

[[Page 777]]

information, determined the adjustment and the accuracy of the 
adjustment. As appropriate, an adjustment may be calculated using 
estimates permitted under paragraph (d)(2)(i) of this section.
    (iii) Where applicable, the particular sound recordings and uses to 
which the adjustment applies.
    (iv) A description of the reason(s) for the adjustment.
    (4) In the case of an underpayment of royalties, the blanket 
licensee shall pay the difference to the mechanical licensing collective 
contemporaneously with delivery of the report of adjustment or promptly 
after being notified by the mechanical licensing collective of the 
amount due. A report of adjustment and its related royalty payment may 
be delivered together or separately, but if delivered separately, the 
payment must include information reasonably sufficient to allow the 
mechanical licensing collective to match the report of adjustment to the 
payment.
    (5) In the case of an overpayment of royalties, the mechanical 
licensing collective shall appropriately credit or offset the excess 
payment amount and apply it to the blanket licensee's account, or upon 
request, issue a refund within a reasonable period of time.
    (6) A report of adjustment adjusting an annual report of usage may 
only be made:
    (i) In exceptional circumstances;
    (ii) When making an adjustment to a previously estimated input under 
paragraph (d)(2)(i) of this section;
    (iii) Following an audit under 17 U.S.C. 115(d)(4)(D);
    (iv) Following any other audit of a blanket licensee that concludes 
after the annual report of usage is delivered and that has the result of 
affecting the computation of the royalties payable by the blanket 
licensee under the blanket license (e.g., as applicable, an audit by a 
sound recording copyright owner concerning the amount of applicable 
consideration paid for sound recording copyright rights); or
    (v) In response to a change in applicable rates or terms under part 
385 of this title.
    (7) A report of adjustment adjusting a monthly report of usage must 
be certified in the same manner as a monthly report of usage under 
paragraph (i) of this section. A report of adjustment adjusting an 
annual report of usage must be certified in the same manner as an annual 
report of usage under paragraph (j) of this section, except that the 
examination by a certified public accountant under paragraph (j)(2) of 
this section may be limited to the adjusted material and related 
recalculation of royalties payable. Where a report of adjustment is 
combined with an annual report of usage, its content shall be subject to 
the certification covering the annual report of usage with which it is 
combined.
    (l) Clear statements. The information required by this section 
requires intelligible, legible, and unambiguous statements in the 
reports of usage, without incorporation of facts or information 
contained in other documents or records.
    (m) Documentation and records of use. (1) Each blanket licensee 
shall, for a period of at least seven years from the date of delivery of 
a report of usage to the mechanical licensing collective, keep and 
retain in its possession all records and documents necessary and 
appropriate to support fully the information set forth in such report of 
usage (except that such records and documents that relate to an 
estimated input permitted under paragraph (d)(2) of this section must be 
kept and retained for a period of at least seven years from the date of 
delivery of the report of usage containing the final adjustment of such 
input), including but not limited to the following:
    (i) Records and documents accounting for digital phonorecord 
deliveries that do not constitute plays, constructive plays, or other 
payable units.
    (ii) Records and documents pertaining to any promotional or free 
trial uses that are required to be maintained under applicable 
provisions of part 385 of this title.
    (iii) Records and documents identifying or describing each of the 
blanket licensee's applicable activities or offerings including as may 
be defined in part 385 of this title, including information sufficient 
to reasonably demonstrate whether the activity or offering qualifies as 
any particular activity or offering for which specific rates and

[[Page 778]]

terms have been established in part 385 of this title, and which 
specific rates and terms apply to such activity or offering.
    (iv) Records and documents with information sufficient to reasonably 
demonstrate, if applicable, whether service revenue and total cost of 
content, as those terms may be defined in part 385 of this title, are 
properly calculated in accordance with part 385 of this title.
    (v) Records and documents with information sufficient to reasonably 
demonstrate whether and how any royalty floor established in part 385 of 
this title does or does not apply.
    (vi) Records and documents containing such other information as is 
necessary to reasonably support and confirm all usage and calculations 
(including of any inputs provided to the mechanical licensing collective 
to enable further calculations) contained in the report of usage, 
including but not limited to, as applicable, relevant information 
concerning subscriptions, devices and platforms, discount plans 
(including how eligibility was assessed), bundled offerings (including 
their constituent components and pricing information), and numbers of 
end users and subscribers (including unadjusted numbers and numbers 
adjusted as may be permitted by part 385 of this title).
    (vii) Any other records or documents that may be appropriately 
examined pursuant to an audit under 17 U.S.C. 115(d)(4)(D).
    (2) The mechanical licensing collective or its agent shall be 
entitled to reasonable access to records and documents described in 
paragraph (m)(1) of this section, which shall be provided promptly and 
arranged for no later than 30 calendar days after the mechanical 
licensing collective's reasonable request, subject to any 
confidentiality to which they may be entitled. The mechanical licensing 
collective shall be entitled to make one request per quarter covering a 
period of up to one quarter in the aggregate. With respect to the total 
cost of content, as that term may be defined in part 385 of this title, 
the access permitted by this paragraph (m)(2) shall be limited to 
accessing the aggregated figure kept by the blanket licensee on its 
books for the relevant reporting period(s). Neither the mechanical 
licensing collective nor its agent shall be entitled to access any 
records or documents retained solely pursuant to paragraph (m)(1)(vii) 
of this section outside of an applicable audit. Each report of usage 
must include clear instructions on how to request access to records and 
documents under this paragraph (m).
    (3) Each blanket licensee shall, in accordance with paragraph (m)(4) 
of this section, keep and retain in its possession and report the 
following information:
    (i) With respect to each sound recording, that embodies a musical 
work, first licensed or obtained for use in covered activities by the 
blanket licensee on or after the effective date of its blanket license:
    (A) Each of the following dates to the extent reasonably available:
    (1) The date on which the sound recording was first reproduced by 
the blanket licensee on its server (``server fixation date'').
    (2) The date on which the sound recording was first released on the 
blanket licensee's service (``street date'').
    (B) If neither of the dates specified in paragraph (m)(3)(i)(A) of 
this section is reasonably available, the date that, in the assessment 
of the blanket licensee, provides a reasonable estimate of the date the 
sound recording was first distributed on its service within the United 
States (``estimated first distribution date'').
    (ii) A record of materially all sound recordings embodying musical 
works in its database or similar electronic system as of a time 
reasonably approximate to the effective date of its blanket license. For 
each recording, the record shall include the sound recording name(s), 
featured artist(s), unique identifier(s) assigned by the blanket 
licensee, actual playing time, and, to the extent acquired by the 
blanket licensee in connection with its use of sound recordings of 
musical works to engage in covered activities, ISRC(s). The blanket 
licensee shall use commercially reasonable efforts to make this record 
as accurate and complete as reasonably possible in representing the 
blanket licensee's repertoire as of immediately

[[Page 779]]

prior to the effective date of its blanket license.
    (4)(i) Each blanket licensee must deliver the information described 
in paragraph (m)(3)(i) of this section to the mechanical licensing 
collective at least annually and keep and retain this information until 
delivered. Such reporting must include the following:
    (A) For each sound recording, the same categories of information 
described in paragraph (m)(3)(ii) of this section.
    (B) For each date, an identification of which type of date it is 
(i.e., server fixation date, street date, or estimated first 
distribution date).
    (ii) A blanket licensee must deliver the information described in 
paragraph (m)(3)(ii) of this section to the mechanical licensing 
collective as soon as commercially reasonable, and no later than 
contemporaneously with its first reporting under paragraph (m)(4)(i) of 
this section.
    (iii) Prior to being delivered to the mechanical licensing 
collective, the collective or its agent shall be entitled to reasonable 
access to the information kept and retained pursuant to paragraphs 
(m)(4)(i) and (ii) of this section if needed in connection with 
applicable directions, instructions, or orders concerning the 
distribution of royalties.
    (5) Nothing in paragraph (m)(3) or (4) of this section, nor the 
collection, maintenance, or delivery of information under paragraphs 
(m)(3) and (4) of this section, nor the information itself, shall be 
interpreted or construed:
    (i) To alter, limit, or diminish in any way the ability of an author 
or any other person entitled to exercise rights of termination under 
section 203 or 304 of title 17 of the United States Code from fully 
exercising or benefiting from such rights;
    (ii) As determinative of the date of the license grant with respect 
to works as it pertains to sections 203 and 304 of title 17 of the 
United States Code; or
    (iii) To affect in any way the scope or effectiveness of the 
exercise of termination rights, including as pertaining to derivative 
works, under section 203 or 304 of title 17 of the United States Code.
    (n) Voluntary agreements with mechanical licensing collective to 
alter process. (1) Subject to the provisions of 17 U.S.C. 115, a blanket 
licensee and the mechanical licensing collective may agree in writing to 
vary or supplement the procedures described in this section, including 
but not limited to pursuant to an agreement to administer a voluntary 
license, provided that any such change does not materially prejudice 
copyright owners owed royalties due under a blanket license. The 
procedures surrounding the certification requirements of paragraphs (i) 
and (j) of this section may not be altered by agreement. This paragraph 
(n)(1) does not empower the mechanical licensing collective to agree to 
alter any substantive requirements described in this section, including 
but not limited to the required royalty payment and accounting 
information and sound recording and musical work information.
    (2) The mechanical licensing collective shall maintain a current, 
free, and publicly accessible online list of all agreements made 
pursuant to paragraph (n)(1) of this section that includes the name of 
the blanket licensee (and, if different, the trade or consumer-facing 
brand name(s) of the services(s), including any specific offering(s), 
through which the blanket licensee engages in covered activities) and 
the start and end dates of the agreement. Any such agreement shall be 
considered a record that a copyright owner may access in accordance with 
17 U.S.C. 115(d)(3)(M)(ii). Where an agreement made pursuant to 
paragraph (n)(1) of this section is made pursuant to an agreement to 
administer a voluntary license or any other agreement, only those 
portions that vary or supplement the procedures described in this 
section and that pertain to the administration of a requesting copyright 
owner's musical works must be made available to that copyright owner.

[85 FR 58143, Sept. 17, 2020, as amended at 86 FR 12826, Mar. 5, 2021]



Sec.210.28  Reports of usage for significant nonblanket licensees.

    (a) General. This section prescribes rules for the preparation and 
delivery of reports of usage for the making and distribution of 
phonorecords of nondramatic musical works to the mechanical licensing 
collective by a significant

[[Page 780]]

nonblanket licensee pursuant to 17 U.S.C. 115(d)(6)(A)(ii). A 
significant nonblanket licensee shall report to the mechanical licensing 
collective on a monthly basis in accordance with 17 U.S.C. 
115(d)(6)(A)(ii) and this section. A significant nonblanket licensee may 
make adjustments to its reports of usage in accordance with this 
section.
    (b) Definitions. For purposes of this section, in addition to those 
terms defined in Sec.210.22:
    (1) The term report of usage, unless otherwise specified, refers to 
all reports of usage required to be delivered by a significant 
nonblanket licensee to the mechanical licensing collective, including 
reports of adjustment. As used in this section, it does not refer to 
reports required to be delivered by blanket licensees under 17 U.S.C. 
115(d)(4)(A) and Sec.210.27.
    (2) A monthly report of usage is a report of usage identified in 17 
U.S.C. 115(d)(6)(A)(ii), and required to be delivered by a significant 
nonblanket licensee to the mechanical licensing collective.
    (3) A report of adjustment is a report delivered by a significant 
nonblanket licensee to the mechanical licensing collective adjusting one 
or more previously delivered monthly reports of usage.
    (c) Content of monthly reports of usage. A monthly report of usage 
shall be clearly and prominently identified as a ``Significant 
Nonblanket Licensee Monthly Report of Usage for Making and Distributing 
Phonorecords,'' and shall include a clear statement of the following 
information:
    (1) The period (month and year) covered by the monthly report of 
usage.
    (2) The full legal name of the significant nonblanket licensee and, 
if different, the trade or consumer-facing brand name(s) of the 
service(s), including any specific offering(s), through which the 
significant nonblanket licensee engages in covered activities. If the 
significant nonblanket licensee has a unique DDEX identifier number, it 
must also be provided.
    (3) The full address, including a specific number and street name or 
rural route, of the place of business of the significant nonblanket 
licensee. A post office box or similar designation will not be 
sufficient except where it is the only address that can be used in that 
geographic location.
    (4) For each sound recording embodying a musical work that is used 
by the significant nonblanket licensee in covered activities during the 
applicable monthly reporting period, a detailed statement, from which 
the mechanical licensing collective may separate reported information 
for each applicable activity or offering including as may be defined in 
part 385 of this title, of all of:
    (i) The royalty payment and accounting information required by 
paragraph (d) of this section; and
    (ii) The sound recording and musical work information required by 
paragraph (e) of this section.
    (5)(i) For each voluntary license in effect during the applicable 
monthly reporting period, the information required under Sec.
210.24(b)(8). If this information has been separately provided to the 
mechanical licensing collective, it need not be contained in the monthly 
report of usage, provided the report states that the information has 
been provided separately and includes the date on which such information 
was last provided to the mechanical licensing collective. This paragraph 
(c)(5)(i) does not apply to any authority obtained by a significant 
nonblanket licensee from licensors of sound recordings to make and 
distribute permanent downloads of musical works embodied in such sound 
recordings pursuant to an individual download license or voluntary 
license.
    (ii) For any authority obtained by a significant nonblanket licensee 
from licensors of sound recordings to make and distribute permanent 
downloads of musical works embodied in such sound recordings pursuant to 
an individual download license or voluntary license, and where such 
authority does not cover all permanent downloads made available on the 
service, a list of all sound recordings for which the significant 
nonblanket licensee has obtained such authority from the respective 
sound recording licensors, or a list of any applicable catalog 
exclusions where the significant nonblanket licensee indicates that such 
authority otherwise exists for all permanent

[[Page 781]]

downloads, and identification of the significant nonblanket licensee's 
covered activities operated under such authority. If this information 
has been separately provided to the mechanical licensing collective, it 
need not be contained in the monthly report of usage, provided the 
report states that the information has been provided separately and 
includes the date on which such information was last provided to the 
mechanical licensing collective.
    (d) Royalty payment and accounting information. The royalty payment 
and accounting information called for by paragraph (c)(4)(i) of this 
section shall consist of the following:
    (1) The mechanical royalties payable by the significant nonblanket 
licensee for the applicable monthly reporting period for engaging in 
covered activities pursuant to each applicable voluntary license and 
individual download license.
    (2) The number of payable units, including, as applicable, permanent 
downloads, plays, and constructive plays, for each reported sound 
recording.
    (e) Sound recording and musical work information. (1) The following 
information must be provided for each sound recording embodying a 
musical work required to be reported under paragraph (c)(4)(ii) of this 
section:
    (i) Identifying information for the sound recording, including but 
not limited to:
    (A) Sound recording name(s), including all known alternative and 
parenthetical titles for the sound recording;
    (B) Featured artist(s);
    (C) Unique identifier(s) assigned by the significant nonblanket 
licensee, if any, including any code(s) that can be used to locate and 
listen to the sound recording through the significant nonblanket 
licensee's public-facing service;
    (D) Actual playing time measured from the sound recording audio 
file; and
    (E) To the extent acquired by the significant nonblanket licensee in 
connection with its use of sound recordings of musical works to engage 
in covered activities:
    (1) Sound recording copyright owner(s);
    (2) Producer(s);
    (3) ISRC(s);
    (4) Any other unique identifier(s) for or associated with the sound 
recording, including any unique identifier(s) for any associated album, 
including but not limited to:
    (i) Catalog number(s);
    (ii) UPC(s); and
    (iii) Unique identifier(s) assigned by any distributor;
    (5) Version(s);
    (6) Release date(s);
    (7) Album title(s);
    (8) Label name(s);
    (9) Distributor(s); and
    (10) Other information commonly used in the industry to identify 
sound recordings and match them to the musical works the sound 
recordings embody.
    (ii) Identifying information for the musical work embodied in the 
reported sound recording, to the extent acquired by the significant 
nonblanket licensee in the metadata provided by sound recording 
copyright owners or other licensors of sound recordings in connection 
with the use of sound recordings of musical works to engage in covered 
activities:
    (A) Information concerning authorship and ownership of the 
applicable rights in the musical work embodied in the sound recording, 
including but not limited to:
    (1) Songwriter(s);
    (2) Publisher(s) with applicable U.S. rights;
    (3) Musical work copyright owner(s);
    (4) ISNI(s) and IPI(s) for each such songwriter, publisher, and 
musical work copyright owner; and
    (5) Respective ownership shares of each such musical work copyright 
owner;
    (B) ISWC(s) for the musical work embodied in the sound recording; 
and
    (C) Musical work name(s) for the musical work embodied in the sound 
recording, including any alternative or parenthetical titles for the 
musical work.

[[Page 782]]

    (iii) Whether the significant nonblanket licensee, or any corporate 
parent, subsidiary, or affiliate of the significant nonblanket licensee, 
is a copyright owner of the musical work embodied in the sound 
recording.
    (2) Where any of the information called for by paragraph (e)(1) of 
this section, except for playing time, is acquired by the significant 
nonblanket licensee from sound recording copyright owners or other 
licensors of sound recordings (or their representatives), and the 
significant nonblanket licensee revises, re-titles, or otherwise 
modifies such information (which, for avoidance of doubt, does not 
include the act of filling in or supplementing empty or blank data 
fields, to the extent such information is known to the licensee), the 
significant nonblanket licensee shall report as follows:
    (i) It shall be sufficient for the significant nonblanket licensee 
to report either the licensor-provided version or the modified version 
of such information to satisfy its obligations under paragraph (e)(1) of 
this section, except that it shall not be sufficient for the significant 
nonblanket licensee to report a modified version of any information 
belonging to a category of information that was not periodically 
modified by that significant nonblanket licensee prior to the license 
availability date, any unique identifier (including but not limited to 
ISRC and ISWC), or any release date.
    (ii) Where the significant nonblanket licensee must otherwise report 
the licensor-provided version of such information under paragraph 
(e)(2)(i) of this section, but to the best of its knowledge, 
information, and belief no longer has possession, custody, or control of 
the licensor-provided version, reporting the modified version of such 
information will satisfy its obligations under paragraph (e)(1) of this 
section if the significant nonblanket licensee certifies to the 
mechanical licensing collective that to the best of the significant 
nonblanket licensee's knowledge, information, and belief: The 
information at issue belongs to a category of information called for by 
paragraph (e)(1) of this section (each of which must be identified) that 
was periodically modified by the particular significant nonblanket 
licensee prior to October 19, 2020; and that despite engaging in good-
faith, commercially reasonable efforts, the significant nonblanket 
licensee has not located the licensor-provided version in its records. A 
certification need not identify specific sound recordings or musical 
works, and a single certification may encompass all licensor-provided 
information satisfying the conditions of the preceding sentence. The 
significant nonblanket licensee should deliver this certification prior 
to or contemporaneously with the first-delivered report of usage 
containing information to which this paragraph (e)(2)(ii) is applicable 
and need not provide the same certification to the mechanical licensing 
collective more than once.
    (3) Any obligation under paragraph (e)(1) of this section concerning 
information about sound recording copyright owners may be satisfied by 
reporting the information for applicable sound recordings provided to 
the significant nonblanket licensee by sound recording copyright owners 
or other licensors of sound recordings (or their representatives) 
contained in each of the following DDEX fields: LabelName and PLine. 
Where a significant nonblanket licensee acquires this information in 
addition to other information identifying a relevant sound recording 
copyright owner, all such information should be reported.
    (4) A significant nonblanket licensee may make use of a transition 
period ending September 17, 2021, during which the significant 
nonblanket licensee need not report information that would otherwise be 
required by paragraph (e)(1)(i)(E) or (e)(1)(ii) of this section, 
unless:
    (i) It belongs to a category of information expressly required by 
the enumerated list of information contained in 17 U.S.C. 
115(d)(4)(A)(ii)(I)(aa) or (bb);
    (ii) It belongs to a category of information that is reported by the 
particular significant nonblanket licensee pursuant to any voluntary 
license or individual download license; or
    (iii) It belongs to a category of information that was periodically 
reported

[[Page 783]]

by the particular significant nonblanket licensee prior to the license 
availability date.
    (f) Timing. (1) An initial report of usage must be delivered to the 
mechanical licensing collective contemporaneously with the significant 
nonblanket licensee's notice of nonblanket activity. Each subsequent 
monthly report of usage must be delivered to the mechanical licensing 
collective no later than 45 calendar days after the end of the 
applicable monthly reporting period.
    (2) A report of adjustment may only be delivered to the mechanical 
licensing collective once annually, between the end of the significant 
nonblanket licensee's fiscal year and 6 months after the end of its 
fiscal year. Such report may only adjust one or more previously 
delivered monthly reports of usage from the applicable fiscal year.
    (g) Format and delivery. (1) Reports of usage shall be delivered to 
the mechanical licensing collective in any format accepted by the 
mechanical licensing collective for blanket licensees under Sec.
210.27(h). With respect to any modifications to formatting requirements 
that the mechanical licensing collective adopts, the mechanical 
licensing collective shall follow the consultation process as under 
Sec.210.27(h), and significant nonblanket licensees shall be entitled 
to the same advance notice and grace periods as apply to blanket 
licensees under Sec.210.27(h), except the mechanical licensing 
collective shall use the contact information provided in each respective 
significant nonblanket licensee's notice of nonblanket activity. Nothing 
in this paragraph (g)(1) empowers the mechanical licensing collective to 
impose reporting requirements that are otherwise inconsistent with the 
regulations prescribed by this section.
    (2) A separate monthly report of usage shall be delivered for each 
month during which there is any activity relevant to the payment of 
mechanical royalties for covered activities.
    (3) Where a significant nonblanket licensee attempts to timely 
deliver a report of usage to the mechanical licensing collective but 
cannot because of the fault of the collective or an error, outage, 
disruption, or other issue with any of the collective's applicable 
information technology systems (whether or not such issue is within the 
collective's direct control) the occurrence of which the significant 
nonblanket licensee knew or should have known at the time, if the 
significant nonblanket licensee attempts to contact the collective about 
the problem within 2 business days, provides a sworn statement detailing 
the encountered problem to the Copyright Office within 5 business days 
(emailed to the Office of the General Counsel at 
[email protected]), and delivers the report of usage to 
the collective within 5 business days after receiving written notice 
from the collective that the problem is resolved, then neither the 
mechanical licensing collective nor the digital licensee coordinator may 
use the untimely delivery of the report of usage as a basis to engage in 
legal enforcement efforts under 17 U.S.C. 115(d)(6)(C). In the event of 
a good-faith dispute regarding whether a significant nonblanket licensee 
knew or should have known of the occurrence of an error, outage, 
disruption, or other issue with any of the mechanical licensing 
collective's applicable information technology systems, neither the 
mechanical licensing collective nor the digital licensee coordinator may 
use the untimely delivery of the report of usage as a basis to engage in 
legal enforcement efforts under 17 U.S.C. 115(d)(6)(C) as long as the 
significant nonblanket licensee complies with the requirements of this 
paragraph (g)(3) within a reasonable period of time.
    (4) The mechanical licensing collective shall provide a significant 
nonblanket licensee with written confirmation of receipt no later than 2 
business days after receiving a report of usage.
    (h) Certification of monthly reports of usage. Each monthly report 
of usage shall be accompanied by:
    (1) The name of the person who is signing and certifying the monthly 
report of usage.
    (2) A signature, which in the case of a significant nonblanket 
licensee that is a corporation or partnership, shall be the signature of 
a duly authorized officer of the corporation or of a partner.

[[Page 784]]

    (3) The date of signature and certification.
    (4) If the significant nonblanket licensee is a corporation or 
partnership, the title or official position held in the partnership or 
corporation by the person who is signing and certifying the monthly 
report of usage.
    (5) One of the following statements:
    (i) Statement one:

    I certify that (1) I am duly authorized to sign this monthly report 
of usage on behalf of the significant nonblanket licensee, (2) I have 
examined this monthly report of usage, and (3) all statements of fact 
contained herein are true, complete, and correct to the best of my 
knowledge, information, and belief, and are made in good faith.

    (ii) Statement two:

    I certify that (1) I am duly authorized to sign this monthly report 
of usage on behalf of the significant nonblanket licensee, (2) I have 
prepared or supervised the preparation of the data used by the 
significant nonblanket licensee and/or its agent to generate this 
monthly report of usage, (3) such data is true, complete, and correct to 
the best of my knowledge, information, and belief, and was prepared in 
good faith, and (4) this monthly report of usage was prepared by the 
significant nonblanket licensee and/or its agent using processes and 
internal controls that were subject to an examination, during the past 
year, by a licensed certified public accountant in accordance with the 
attestation standards established by the American Institute of Certified 
Public Accountants, the opinion of whom was that (A) the processes 
generated monthly reports of usage that accurately reflect, in all 
material respects, the significant nonblanket licensee's usage of 
musical works and the royalties applicable thereto, and (B) the internal 
controls relevant to the processes used by or on behalf of the 
significant nonblanket licensee to generate monthly reports of usage 
were suitably designed and operated effectively during the period 
covered by the monthly reports of usage.

    (i) Adjustments. (1) A significant nonblanket licensee may adjust 
one or more previously delivered monthly reports of usage by delivering 
to the mechanical licensing collective a report of adjustment.
    (2) A report of adjustment shall be clearly and prominently 
identified as a ``Significant Nonblanket Licensee Report of Adjustment 
for Making and Distributing Phonorecords.''
    (3) A report of adjustment shall include a clear statement of the 
following information:
    (i) The previously delivered monthly report(s) of usage to which the 
adjustment applies.
    (ii) The specific change(s) to the applicable previously delivered 
monthly report(s) of usage.
    (iii) Where applicable, the particular sound recordings and uses to 
which the adjustment applies.
    (iv) A description of the reason(s) for the adjustment.
    (4) A report of adjustment must be certified in the same manner as a 
monthly report of usage under paragraph (h) of this section.
    (j) Clear statements. The information required by this section 
requires intelligible, legible, and unambiguous statements in the 
reports of usage, without incorporation of facts or information 
contained in other documents or records.
    (k) Harmless errors. Errors in the delivery or content of a report 
of usage that do not materially affect the adequacy of the information 
required to serve the purpose of 17 U.S.C. 115(d) shall be deemed 
harmless, and shall not render the report invalid or provide a basis for 
the mechanical licensing collective or digital licensee coordinator to 
engage in legal enforcement efforts under 17 U.S.C. 115(d)(6)(C). This 
paragraph (k) shall apply only to errors made in good faith and without 
any intention to deceive, mislead, or conceal relevant information.
    (l) Voluntary agreements with mechanical licensing collective to 
alter process. (1) Subject to the provisions of 17 U.S.C. 115, a 
significant nonblanket licensee and the mechanical licensing collective 
may agree in writing to vary or supplement the procedures described in 
this section, including but not limited to pursuant to an agreement to 
administer a voluntary license, provided that any such change does not 
materially prejudice copyright owners owed royalties due under a blanket 
license. The procedures surrounding the certification requirements of 
paragraph (h) of this section may not be altered by agreement. This 
paragraph (l)(1) does not empower the mechanical licensing

[[Page 785]]

collective to agree to alter any substantive requirements described in 
this section, including but not limited to the required royalty payment 
and accounting information and sound recording and musical work 
information.
    (2) The mechanical licensing collective shall maintain a current, 
free, and publicly accessible online list of all agreements made 
pursuant to paragraph (l)(1) of this section that includes the name of 
the significant nonblanket licensee (and, if different, the trade or 
consumer-facing brand name(s) of the services(s), including any specific 
offering(s), through which the significant nonblanket licensee engages 
in covered activities) and the start and end dates of the agreement. Any 
such agreement shall be considered a record that a copyright owner may 
access in accordance with 17 U.S.C. 115(d)(3)(M)(ii). Where an agreement 
made pursuant to paragraph (l)(1) of this section is made pursuant to an 
agreement to administer a voluntary license or any other agreement, only 
those portions that vary or supplement the procedures described in this 
section and that pertain to the administration of a requesting copyright 
owner's musical works must be made available to that copyright owner.

[85 FR 58143, Sept. 17, 2020, as amended at 86 FR 12827, Mar. 5, 2021]



Sec.210.29  Reporting and distribution of royalties to copyright 
owners by the mechanical licensing collective.

    (a) General. This section prescribes reporting obligations of the 
mechanical licensing collective to copyright owners for the distribution 
of royalties for musical works, licensed under the blanket license for 
digital uses prescribed in 17 U.S.C. 115(d)(1), that have been matched, 
either through the processing by the mechanical licensing collective 
upon receipt of a report of usage and royalty payment from a digital 
music provider, or during the holding period for unmatched works as 
defined in 17 U.S.C. 115(d)(3)(H)(i).
    (b) Distribution of royalties and royalty statements. (1) Royalty 
distributions shall be made on a monthly basis and shall include, 
separately or together:
    (i) All royalties payable to a copyright owner for a musical work 
matched in the ordinary course under 17 U.S.C. 115(d)(3)(G)(i)(II); and
    (ii) All accrued royalties for any particular musical work that has 
been matched and a proportionate amount of accrued interest associated 
with that work.
    (2) Royalty distributions based on adjustments to reports of usage 
by digital music providers in prior periods shall be made by the 
mechanical licensing collective at least once annually, upon submission 
of the annual reports of usage by digital music providers reporting 
total adjustments to the mechanical licensing collective pursuant to 
Sec.210.27(f) and (g)(3) and (4).
    (3) Royalty distributions shall be accompanied by corresponding 
royalty statements containing the information set forth in paragraph (c) 
of this section for the royalties contained in the distribution.
    (c) Content--(1) General content of royalty statements. Accompanying 
the distribution of royalties to a copyright owner, the mechanical 
licensing collective shall provide to the copyright owner a statement 
that includes, at a minimum, the following information:
    (i) The period (month and year) covered by the statement, and the 
period (month and year) during which the reported activity occurred. For 
adjustments, the mechanical licensing collective shall report both the 
period (month and year) during which the original reported activity 
occurred and the date on which the digital music provider reported the 
adjustment.
    (ii) The name and address of the mechanical licensing collective.
    (iii) The name and mechanical licensing collective identification 
number of the copyright owner.
    (iv) ISNI and IPI name and identification number for each 
songwriter, administrator, and musical work copyright owner, to the 
extent it has been provided to the mechanical licensing collective by a 
copyright owner.
    (v) The name and mechanical licensing collective identification 
number of the copyright owner's administrator (if applicable), to the 
extent one has been provided to the mechanical licensing collective by a 
copyright owner.
    (vi) Payment information, such as check number, automated clearing

[[Page 786]]

house (ACH) identification, or wire transfer number.
    (vii) The total royalty payable to the relevant copyright owner for 
the month covered by the royalty statement.
    (2) Musical work information. For each matched musical work owned by 
the copyright owner for which accompanying royalties are being 
distributed to that copyright owner, the mechanical licensing collective 
shall report the following information:
    (i) The musical work name, including primary and any alternative and 
parenthetical titles for the musical work known to the mechanical 
licensing collective.
    (ii) ISWC for the musical work, to the extent it is known to the 
mechanical licensing collective.
    (iii) The mechanical licensing collective's standard identification 
number of the musical work.
    (iv) The administrator's unique identifier for the musical work, to 
the extent one has been provided to the mechanical licensing collective 
by a copyright owner or its administrator.
    (v) The name(s) of the songwriter(s), to the extent they are known 
to the mechanical licensing collective.
    (vi) The percentage share of musical work owned or controlled by the 
copyright owner.
    (vii) For each sound recording embodying the musical work, the 
identifying information enumerated in paragraph (c)(3) of this section 
and the royalty information enumerated in paragraph (c)(4) of this 
section.
    (3) Sound recording information. (i) For each sound recording 
embodying a musical work included in a royalty statement, the mechanical 
licensing collective shall report the following information:
    (A) The sound recording name(s), including all known alternative and 
parenthetical titles for the sound recording.
    (B) The featured artist(s).
    (ii) The mechanical licensing collective shall report the following 
information to the extent it is known to the mechanical licensing 
collective:
    (A) The record label name(s).
    (B) ISRC(s).
    (C) The sound recording copyright owner(s).
    (D) Playing time.
    (E) Album title(s) or product name(s).
    (F) Album or product featured artist(s), if different from sound 
recording featured artist(s).
    (G) Distributor(s).
    (H) UPC(s).
    (4) Royalty information. The mechanical licensing collective shall 
separately report, for each service, offering, or activity reported by a 
blanket licensee, the following royalty information for each sound 
recording embodying a musical work included in a royalty statement:
    (i) The name of the blanket licensee and, if different, the trade or 
consumer facing brand name(s) of the service(s), including any specific 
offering(s), through which the blanket licensee engages in covered 
activities.
    (ii) The service tier or service description.
    (iii) The use type (download, limited download, or stream).
    (iv) The number of payable units, including, as applicable, 
permanent downloads, plays, and constructive plays.
    (v) A detailed and step-by-step accounting of the calculation of 
royalties under applicable provisions of part 385 of this title, 
sufficient to allow the copyright owner to assess the manner in which 
the royalty owed was determined and the accuracy of the royalty 
calculations, which shall include details on each of the components used 
in the calculation of the payable royalty pool.
    (vi) The royalty rate and amount.
    (vii) The interest amount.
    (viii) The distribution amount.
    (d) Cumulative statements of account, and adjustments. (1) For 
royalties reported under paragraph (b)(1)(ii) of this section, the 
mechanical licensing collective shall provide a cumulative statement of 
account that includes, in addition to the information in paragraph (c) 
of this section, a clear identification of the total period covered and 
the total royalty payable for the period.

[[Page 787]]

    (2) For adjustments reported under paragraph (b)(2) of this section, 
the mechanical licensing collective shall clearly indicate the original 
reporting period of the royalties being adjusted.
    (e) Delivery of royalty statements. (1) Royalty statements may be 
delivered electronically, including by providing access to statements 
through an online password protected portal, accompanied by written 
notification of the availability of the statement in the portal.
    (2) The mechanical licensing collective shall provide by request a 
separate, simplified report containing fewer data fields that may be 
more understandable for the copyright owner, and may provide royalty 
information to copyright owners by request in alternative formats.
    (3) Upon written request of the copyright owner, the mechanical 
licensing collective may deliver a physical statement by mail where the 
statement reports a total royalty payable to the copyright owner for the 
period covered that is equal or greater than $100. Royalty statements 
delivered by mail are not required to contain all information identified 
in paragraph (c) of this section, but may instead provide information in 
a simplified or summary format.
    (f) Clear statements. The information required by paragraph (c) of 
this section requires intelligible, legible, and unambiguous statements 
in the royalty statements without incorporation of facts or information 
contained in other documents or records.
    (g) Certification. (1) Each royalty statement in which the total 
royalty payable to the relevant copyright owner for the month covered is 
equal to or greater than $100 shall be accompanied by:
    (i) The name of the person who is signing and certifying the 
statement.
    (ii) A signature of a duly authorized officer of the mechanical 
licensing collective.
    (iii) The date of signature and certification.
    (iv) The title or official position held by the person who is 
signing and certifying the statement.
    (v) The following statement: This statement was prepared by the 
Mechanical Licensing Collective and/or its agent using processes and 
internal controls that were suitably designed to generate monthly 
statements that accurately allocate royalties using usage and royalty 
information provided by digital music providers and musical works 
information as reflected in the Mechanical Licensing Collective's 
musical works database.
    (2) Beginning in the first calendar year following the license 
availability date, the certification must also include a statement 
establishing that such processes and internal controls were subject to 
an examination, during the past year, by a licensed Certified Public 
Accountant in accordance with the attestation standards established by 
the American Institute of Certified Public Accountants, the opinion of 
whom was that the processes and internal controls were so suitably 
designed.
    (h) Reporting threshold. (1) Subject to paragraph (h)(2) of this 
section, a separate royalty statement shall be provided for each month 
during which there is any activity relevant to the distribution of 
royalties under the blanket license.
    (2) Royalties under the blanket license shall not be considered 
payable, and no royalty statement shall be required, until the 
cumulative unpaid royalties collected for the copyright owner equal at 
least one cent. Moreover, in any case in which the cumulative unpaid 
royalties under the blanket license that would otherwise be distributed 
by the mechanical licensing collective to the copyright owner are less 
than $5 if the copyright owner receives payment by direct deposit, $100 
if the copyright owner receives payment by physical check, or $250 if 
the copyright owner receives payment by wire transfer, the mechanical 
licensing collective may choose to defer the payment date for such 
royalties and provide no royalty statements until the earlier of the 
time for rendering the royalty statement for the month in which the 
unpaid royalties under the blanket license for the copyright owner 
exceed the threshold, at which time the mechanical licensing collective 
may provide one statement and payment covering the entire period

[[Page 788]]

for which royalty payments were deferred.
    (3) Where the mechanical licensing collective elects to defer the 
royalty payment and statement to a copyright owner pursuant to paragraph 
(h)(2) of this section because the accrued royalties did not exceed the 
applicable threshold, and if a copyright owner submits a written 
request, the mechanical licensing collective shall make available to 
that copyright owner information detailing the accrued unpaid royalties 
processed as of the date of the request.
    (4) If the mechanical licensing collective is required, under 
applicable tax law and regulations, to make backup withholding from its 
payments required hereunder, the mechanical licensing collective shall 
indicate the amount of such withholding on the royalty statement or on 
or with the distribution.
    (i) Annual statement. The mechanical license collective shall 
provide an annual statement by electronic means to any copyright owner 
who has received at least one royalty statement under paragraph (h)(1) 
of this section in the calendar year preceding. The annual statement 
shall include a cumulative statement of the information reported in the 
monthly royalty statements in the year preceding, as well as a statement 
of any adjustments to royalty distributions reported in the year 
preceding.

[85 FR 58165, Sept. 17, 2020]



Sec.210.30  Temporary exception to certain reporting requirements
about certain permanent download licenses.

    (a) Where a requirement of Sec.210.24(b)(8), Sec.210.25(b)(6), 
Sec.210.27(c)(5), or Sec.210.28(c)(5) has not been satisfied with 
respect to an individual download license or voluntary pass-through 
license before April 5, 2021, in connection with a submission to the 
mechanical licensing collective before such date, a submitter may take 
additional time to comply with such reporting obligations, as amended, 
by no later than May 19, 2021. Taking such additional time shall not 
render an otherwise compliant notice of license, notice of nonblanket 
activity, or report of usage invalid, or provide a basis for the 
mechanical licensing collective to reject an otherwise compliant notice 
of license, serve a notice of default on an otherwise compliant blanket 
licensee, terminate an otherwise compliant blanket license, or engage in 
legal enforcement efforts against an otherwise compliant significant 
nonblanket licensee. Any deadline otherwise applicable to any such 
action by the mechanical licensing collective shall be tolled with 
respect to a submitter permitted to take additional time to comply with 
these reporting obligations until May 19, 2021.
    (b) For purposes of this section, a voluntary pass-through license 
is a voluntary license obtained by a licensor of sound recordings to 
make and distribute, or authorize the making and distribution of, 
permanent downloads embodying musical works through which a digital 
music provider or significant nonblanket licensee has obtained authority 
from such licensor of sound recordings to make and distribute permanent 
downloads of musical works embodied in such sound recordings.

[85 FR 84245, Dec. 28, 2020, as amended at 86 FR 12827, Mar. 5, 2021]



Sec.210.31  Musical works database information.

    (a) General. This section prescribes the rules under which the 
mechanical licensing collective will provide information relating to 
musical works (and shares of such works), and sound recordings in which 
the musical works are embodied, in the public musical works database 
prescribed by 17 U.S.C. 115(d)(3)(E), and to increase usability of the 
database.
    (b) Matched musical works. With respect to musical works (or shares 
thereof) where the copyright owners have been identified and located, 
the musical works database shall contain, at a minimum, the following:
    (1) Information regarding the musical work:
    (i) Musical work title(s);
    (ii) The copyright owner of the musical work (or share thereof), and 
the ownership percentage of that owner. The copyright owner of the 
musical work owns any one of the exclusive

[[Page 789]]

rights comprised in the copyright for that work. A copyright owner 
includes entities, including foreign collective management organizations 
(CMOs), to which copyright ownership has been transferred through an 
assignment, mortgage, exclusive license, or any other conveyance, 
alienation, or hypothecation of a copyright or of any of the exclusive 
rights comprised in a copyright, whether or not it is limited in time or 
place of effect, but not including a nonexclusive license;
    (iii) Contact information for the copyright owner of the musical 
work (or share thereof), which can be a post office box or similar 
designation, or a ``care of'' address (e.g., publisher);
    (iv) The mechanical licensing collective's standard identifier for 
the musical work; and
    (v) To the extent reasonably available to the mechanical licensing 
collective:
    (A) Any alternative or parenthetical titles for the musical work;
    (B) ISWC;
    (C) Songwriter(s), with the mechanical licensing collective having 
the discretion to allow songwriters, or their authorized 
representatives, to have songwriter information listed anonymously or 
pseudonymously. The mechanical licensing collective shall develop and 
make publicly available a policy on how the collective will consider 
requests by copyright owners or administrators to change songwriter 
names to be listed anonymously or pseudonymously for matched musical 
works;
    (D) Administrator(s) or other authorized entity(ies) who license the 
musical work (or share thereof) and/or collect mechanical royalties for 
use of such musical work (or share thereof) in the United States;
    (E) ISNI(s) and/or IPI(s) for each musical work copyright owner, 
and, if different, songwriter, and administrator;
    (F) Unique identifier(s) assigned by the blanket licensee, if 
reported by the blanket licensee; and
    (G) For classical compositions, opus and catalog numbers.
    (2) Information regarding the sound recording(s) in which the 
musical work is embodied, to the extent reasonably available to the 
mechanical licensing collective:
    (i) ISRC;
    (ii) Sound recording name(s), including all known alternative and 
parenthetical titles for the sound recording;
    (iii) Information related to the sound recording copyright owner, 
including LabelName and PLine. Should the mechanical licensing 
collective decide to include DDEX Party Identifier (DPID) in the public 
database, the DPID party's name may be included, but not the numerical 
identifier;
    (iv) Featured artist(s);
    (v) Playing time;
    (vi) Version;
    (vii) Release date(s);
    (viii) Producer;
    (ix) UPC; and
    (x) Other non-confidential information that the MLC reasonably 
believes, based on common usage, would be useful to assist in 
associating sound recordings with musical works.
    (c) Unmatched musical works. With respect to musical works (or 
shares thereof) where the copyright owners have not been identified or 
located, the musical works database shall include, to the extent 
reasonably available to the mechanical licensing collective:
    (1) Information regarding the musical work:
    (i) Musical work title(s), including any alternative or 
parenthetical titles for the musical work;
    (ii) The ownership percentage of the musical work for which an owner 
has not been identified;
    (iii) If a musical work copyright owner has been identified but not 
located, the identity of such owner and the ownership percentage of that 
owner. The copyright owner of the musical work owns any one of the 
exclusive rights comprised in the copyright for that work. A copyright 
owner includes entities, including foreign collective management 
organizations (CMOs), to which copyright ownership has been transferred 
through an assignment, mortgage, exclusive license, or any other 
conveyance, alienation, or hypothecation of a copyright or of any of the 
exclusive rights comprised in a copyright, whether or not it is limited

[[Page 790]]

in time or place of effect, but not including a nonexclusive license;
    (iv) The mechanical licensing collective's standard identifier for 
the musical work;
    (v) ISWC;
    (vi) Songwriter(s), with the mechanical licensing collective having 
the discretion to allow songwriters, or their authorized 
representatives, to have songwriter information listed anonymously or 
pseudonymously. The mechanical licensing collective shall develop and 
make publicly available a policy on how the collective will consider 
requests by copyright owners or administrators to change songwriter 
names to be listed anonymously or pseudonymously for unmatched musical 
works;
    (vii) Administrator(s) or other authorized entity(ies) who license 
the musical work (or share thereof) and/or collect mechanical royalties 
for use of such musical work (or share thereof) in the United States;
    (viii) ISNI(s) and/or IPI(s) for each musical work copyright owner, 
and, if different, songwriter and administrator;
    (ix) Unique identifier(s) assigned by the blanket licensee, if 
reported by the blanket licensee; and
    (x) For classical compositions, opus and catalog numbers.
    (2) Information regarding the sound recording(s) in which the 
musical work is embodied:
    (i) ISRC;
    (ii) Sound recording name(s), including all known alternative and 
parenthetical titles for the sound recording;
    (iii) Information related to the sound recording copyright owner, 
including LabelName and PLine. Should the mechanical licensing 
collective decide to include DDEX Party Identifier (DPID) in the public 
database, the DPID party's name may be included, but not the numerical 
identifier;
    (iv) Featured artist(s);
    (v) Playing time;
    (vi) Version;
    (vii) Release date(s);
    (viii) Producer;
    (ix) UPC; and
    (x) Other non-confidential information that the MLC reasonably 
believes, based on common usage, would be useful to assist in 
associating sound recordings with musical works, and any additional non-
confidential information reported to the mechanical licensing collective 
that may assist in identifying musical works.
    (d) Field labeling. The mechanical licensing collective shall 
consider industry practices when labeling fields in the public database 
to reduce the likelihood of user confusion, particularly regarding 
information relating to sound recording copyright owner. Fields 
displaying PLine, LabelName, or, if applicable, DPID, information may 
not on their own be labeled ``sound recording copyright owner.''
    (e) Data provenance. For information relating to sound recordings, 
the mechanical licensing collective shall identify the source of such 
information in the public musical works database. For sound recording 
information received from a digital music provider, the MLC shall 
include the name of the digital music provider.
    (f) Historical data. The mechanical licensing collective shall 
maintain at regular intervals historical records of the information 
contained in the public musical works database, including a record of 
changes to such database information and changes to the source of 
information in database fields, in order to allow tracking of changes to 
the ownership of musical works in the database over time. The mechanical 
licensing collective shall determine, in its reasonable discretion, the 
most appropriate method for archiving and maintaining such historical 
data to track ownership and other information changes in the database.
    (g) Personally identifiable information. The mechanical licensing 
collective shall not include in the public musical works database any 
individual's Social Security Number (SSN), taxpayer identification 
number, financial account number(s), date of birth (DOB), or home 
address or personal email to the extent it is not musical work copyright 
owner contact information required under 17 U.S.C. 
115(d)(3)(E)(ii)(III). The mechanical licensing collective shall also 
engage in reasonable, good-faith efforts to ensure that other personally

[[Page 791]]

identifying information (i.e., information that can be used to 
distinguish or trace an individual's identity, either alone or when 
combined with other information that is linked or linkable to such 
specific individual), is not available in the public musical works 
database, other than to the extent it is required by law.
    (h) Disclaimer. The mechanical licensing collective shall include in 
the public-facing version of the musical works database a conspicuous 
disclaimer that states that the database is not an authoritative source 
for sound recording information, and explains the labeling of 
information related to sound recording copyright owner, including the 
``LabelName'' and ``PLine'' fields.
    (i) Ownership. The data in the public musical works database 
prescribed by 17 U.S.C. 115(d)(3)(E) is public data not owned by the 
mechanical licensing collective or any of the collective's employees, 
agents, consultants, vendors, or independent contractors.

[85 FR 86822, Dec. 31, 2020]



Sec.210.32  Musical works database usability, interoperability, 
and usage restrictions.

    This section prescribes rules under which the mechanical licensing 
collective shall ensure the usability, interoperability, and proper 
usage of the public musical works database created pursuant to 17 U.S.C. 
115(d)(3)(E).
    (a) Database access. (1)(i) The mechanical licensing collective 
shall make the musical works database available to members of the public 
in a searchable, real-time, online format, free of charge. In addition, 
the mechanical licensing collective shall make the musical works 
database available in a bulk, real-time, machine-readable format through 
a process for bulk data management widely adopted among music rights 
administrators to:
    (A) Digital music providers operating under the authority of valid 
notices of license, and their authorized vendors, free of charge;
    (B) Significant nonblanket licensees in compliance with their 
obligations under 17 U.S.C. 115(d)(6), and their authorized vendors, 
free of charge;
    (C) The Register of Copyrights, free of charge; and
    (D) Any other person or entity, including agents, consultants, 
vendors, and independent contractors of the mechanical licensing 
collective for any purpose other than the ordinary course of their work 
for the mechanical licensing collective, for a fee not to exceed the 
marginal cost to the mechanical licensing collective of providing the 
database to such person or entity.
    (ii) Starting December 31, 2021, the mechanical licensing collective 
shall make the musical works database available at least in a bulk, 
real-time, machine-readable format under this paragraph (a)(1) through 
application programming interfaces (APIs).
    (2) Notwithstanding paragraph (a)(1) of this section, the mechanical 
licensing collective shall establish appropriate terms of use or other 
policies governing use of the database that allows the mechanical 
licensing collective to suspend access to any individual or entity that 
appears, in the mechanical licensing collective's reasonable 
determination, to be attempting to bypass the mechanical licensing 
collective's right to charge a fee to recover its marginal costs for 
bulk access outlined in 17 U.S.C. 115(d)(3)(E)(v)(V) through repeated 
queries, or to otherwise be engaging in unlawful activity with respect 
to the database (including, without limitation, seeking to hack or 
unlawfully access confidential, non-public information contained in the 
database) or misappropriating or using information from the database for 
improper purposes. The mechanical licensing collective's terms of use or 
other policies governing use of the database shall comply with this 
section.
    (b) Point of contact for inquiries and complaints. In accordance 
with its obligations under 17 U.S.C. 115(d)(3)(D)(ix)(I)(bb), the 
mechanical licensing collective shall designate a point of contact for 
inquiries and complaints with timely redress, including complaints 
regarding the public musical works database and/or the mechanical 
licensing collective's activities. The mechanical licensing collective 
must make publicly available, including prominently on its website, the 
following information:

[[Page 792]]

    (1) The name of the designated point of contact for inquiries and 
complaints. The designated point of contact may be an individual (e.g., 
``Jane Doe'') or a specific position or title held by an individual at 
the mechanical licensing collective (e.g., ``Customer Relations 
Manager''). Only a single point of contact may be designated.
    (2) The physical mail address (street address or post office box), 
telephone number, and email address of the designated point of contact.

[85 FR 86822, Dec. 31, 2020]



Sec.210.33  Annual reporting by the mechanical licensing collective.

    (a) General. This section prescribes the rules under which the 
mechanical licensing collective will provide certain information in its 
annual report pursuant to 17 U.S.C. 115(d)(3)(D)(vii), and a one-time 
written update regarding the collective's operations in 2021.
    (b) Contents. Each of the mechanical licensing collective's annual 
reports shall contain, at a minimum, the following information:
    (1) The operational and licensing practices of the mechanical 
licensing collective;
    (2) How the mechanical licensing collective collects and distributes 
royalties, including the average processing and distribution times for 
distributing royalties for the preceding calendar year. The mechanical 
licensing collective shall disclose how it calculated processing and 
distribution times for distributing royalties for the preceding calendar 
year;
    (3) Budgeting and expenditures for the mechanical licensing 
collective;
    (4) The mechanical licensing collective's total costs for the 
preceding calendar year;
    (5) The projected annual mechanical licensing collective budget;
    (6) Aggregated royalty receipts and payments;
    (7) Expenses that are more than 10 percent of the annual mechanical 
licensing collective budget;
    (8) The efforts of the mechanical licensing collective to locate and 
identify copyright owners of unmatched musical works (and shares of 
works);
    (9) The mechanical licensing collective's selection of board members 
and criteria used in selecting any new board members during the 
preceding calendar year;
    (10) The mechanical licensing collective's selection of new vendors 
during the preceding calendar year, including the criteria used in 
deciding to select such vendors, and key findings from any performance 
reviews of the mechanical licensing collective's current vendors. Such 
description shall include a general description of any new request for 
information (RFI) and/or request for proposals (RFP) process, either 
copies of the relevant RFI and/or RFP or a list of the functional 
requirements covered in the RFI or RFP, the names of the parties 
responding to the RFI and/or RFP. In connection with the disclosure 
described in this paragraph (b)(10), the mechanical licensing collective 
shall not be required to disclose any confidential or sensitive business 
information. For the purposes of this paragraph (b)(10), ``vendor'' 
means any vendor performing materially significant technology or 
operational services related to the mechanical licensing collective's 
matching and royalty accounting activities;
    (11) Whether during the preceding calendar year the mechanical 
licensing collective, pursuant to 17 U.S.C. 115(d)(7)(C), applied any 
unclaimed accrued royalties on an interim basis to defray costs in the 
event that the administrative assessment is inadequate to cover 
collective total costs, including the amount of unclaimed accrued 
royalties applied and plans for future reimbursement of such royalties 
from future collection of the assessment; and
    (12) Whether during the preceding calendar year the mechanical 
licensing collective suspended access to the public database to any 
individual or entity attempting to bypass the collective's right to 
charge a fee to recover its marginal costs for bulk access outlined in 
17 U.S.C. 115(d)(3)(E)(v)(V) through repeated queries, or to otherwise 
be engaging in unlawful activity with respect to the database 
(including, without limitation, seeking to hack or unlawfully access 
confidential, non-public information contained in the database) or 
misappropriating or using information from the database for improper

[[Page 793]]

purposes. If the mechanical licensing collective so suspended access to 
the public database to any individual or entity, the annual report must 
identify such individual(s) and entity(ies) and provide the reason(s) 
for suspension.
    (c) December 31, 2021 Update. No later than December 31, 2021, the 
mechanical licensing collective shall post, and make available online 
for a period of not less than three years, a one-time written report 
that contains, at a minimum, the categories of information required in 
paragraph (b) of this section, addressing activities following the 
license availability date. If it is not practicable for the mechanical 
licensing collective to provide information in this one-time report 
regarding a certain category of information required under paragraph (b) 
of this section, the MLC may so state but shall explain the reason(s) 
for such impracticability and, as appropriate, may address such 
categories in an abbreviated fashion.

[85 FR 86822, Dec. 31, 2020]



Sec.210.34  Treatment of confidential and other sensitive information.

    (a) General. This section prescribes the rules under which the 
mechanical licensing collective and digital licensee coordinator shall 
ensure that confidential, private, proprietary, or privileged 
information received by the mechanical licensing collective or digital 
licensee coordinator or contained in their records is not improperly 
disclosed or used, in accordance with 17 U.S.C. 115(d)(12)(C), including 
with respect to disclosure or use by the board of directors, committee 
members, and personnel of the mechanical licensing collective or digital 
licensee coordinator.
    (b) Definitions. For purposes of this section:
    (1) ``Confidential Information'' means sensitive financial or 
business information, including trade secrets or information relating to 
financial or business terms that could cause competitive disadvantage or 
be used for commercial advantage, disclosed by digital music providers, 
significant non-blanket licensees, and copyright owners (or any of their 
authorized agents or vendors) to the mechanical licensing collective or 
digital licensee coordinator. ``Confidential Information'' also means 
sensitive personal information, including but not limited to, an 
individual's Social Security number, taxpayer identification number, 
financial account number(s), or date of birth.
    (i) ``Confidential Information'' specifically includes usage data 
and other sensitive data used to compute market shares when distributing 
unclaimed accrued royalties, sensitive data provided by digital music 
providers related to royalty calculations, sensitive data shared between 
the mechanical licensing collective and digital licensee coordinator 
regarding any significant nonblanket licensee, sensitive data concerning 
voluntary licenses or individual download licenses administered by and/
or disclosed to the mechanical licensing collective, and sensitive data 
concerning agreements between sound recording companies and digital 
music providers. ``Confidential information'' also includes sensitive 
financial or business information disclosed to the mechanical licensing 
collective or digital licensee coordinator by a third party that is 
reasonably designated as confidential by the party disclosing the 
information, subject to the other provisions of this section.
    (ii) ``Confidential Information'' does not include:
    (A) Information that is public or may be made public by law or 
regulation, including but not limited to information made publicly 
available through:
    (1) Notices of license, excluding any addendum that provides a 
description of any applicable voluntary license or individual download 
license the digital music provider is, or expects to be, operating under 
concurrently with the blanket license.
    (2) Notices of nonblanket activity, information in the public 
musical works database prescribed by 17 U.S.C. 115(d)(3)(E), and 
information disclosable through the mechanical licensing collective's 
bylaws, annual report, audit report, or the mechanical licensing 
collective's adherence to transparency and accountability with respect 
to the collective's policies or practices, including its anti-
commingling policy, pursuant to 17 U.S.C. 115(d)(3)(D)(ii),(vii), and 
(ix).

[[Page 794]]

    (B) Information that at the time of delivery to the mechanical 
licensing collective or digital licensee coordinator is public 
knowledge, or is subsequently publicly disclosed by the party to whom 
the information would otherwise be considered confidential. The party 
seeking information from the mechanical licensing collective or digital 
licensee coordinator based on a claim that the information sought is a 
matter of public knowledge shall have the burden of proving that fact.
    (C) Top-level compilation data presented in anonymized format that 
does not allow identification of such data as belonging to any specific 
digital music provider, significant nonblanket licensee, or copyright 
owner.
    (2) ``MLC Internal Information'' means sensitive financial or 
business information created by or collected by the mechanical licensing 
collective for purposes of its internal operations, such as personnel, 
procurement, or technology information. ``MLC Internal Information'' 
does not include:
    (i) Information that is public or may be made public by law or 
regulation, information in the public musical works database prescribed 
by 17 U.S.C. 115(d)(3)(E), and information in the mechanical licensing 
collective's bylaws, annual report, audit report, or the mechanical 
licensing collective's adherence to transparency and accountability with 
respect to the collective's policies or practices, including its anti-
commingling policy, pursuant to 17 U.S.C. 115(d)(3)(D)(ii), (vii), and 
(ix); or
    (ii) Information that at the time of delivery to the mechanical 
licensing collective is public knowledge, or is subsequently publicly 
disclosed by the party to whom the information would otherwise be 
considered confidential. The party seeking information from the 
mechanical licensing collective based on a claim that the information 
sought is a matter of public knowledge shall have the burden of proving 
that fact.
    (3) ``DLC Internal Information'' means sensitive financial or 
business information created by or collected by the digital licensee 
coordinator for purposes of its internal operations, such as personnel, 
procurement, or technology information. ``DLC Internal Information'' 
does not include:
    (i) Information that is public or may be made public by law or 
regulation, information in the public musical works database prescribed 
by 17 U.S.C. 115(d)(3)(E), and information disclosable through the 
digital licensee coordinator's bylaws; or
    (ii) Information that at the time of delivery to the digital 
licensee coordinator is public knowledge, or is subsequently publicly 
disclosed by the party to whom the information would otherwise be 
considered confidential. The party seeking information from the digital 
licensee coordinator based on a claim that the information sought is a 
matter of public knowledge shall have the burden of proving that fact.
    (c) Disclosure of Confidential Information. (1) The mechanical 
licensing collective shall limit disclosure of Confidential Information 
to employees, agents, consultants, vendors, and independent contractors 
of the mechanical licensing collective who are engaged in the 
collective's authorized functions under 17 U.S.C. 115(d) and activities 
related directly thereto and who require access to Confidential 
Information for the purpose of performing their duties during the 
ordinary course of their work for the mechanical licensing collective, 
subject to an appropriate written confidentiality agreement. The 
mechanical licensing collective shall not disclose Confidential 
Information to members of the mechanical licensing collective's board of 
directors and committees, including the collective's Unclaimed Royalties 
Oversight Committee, or the digital licensee coordinator's board of 
directors or committees.
    (2) Notwithstanding paragraph (c)(1) of this section, the mechanical 
licensing collective shall be permitted to fulfill its disclosure 
obligations under section 115 including, but not limited to:
    (i) Providing monthly reports to the digital licensee coordinator 
setting forth any significant nonblanket licensees of which the 
collective is aware that have failed to comply with the Office's 
regulations regarding submission of a notice of nonblanket activity for 
purposes of notifying the mechanical licensing collective that the 
licensee

[[Page 795]]

has been engaging in covered activities, or regarding the delivery of 
reports of usage for the making and distribution of phonorecords of 
nondramatic musical works; and
    (ii) Preparing and delivering royalty statements to musical work 
copyright owners that include the minimum information required in 
accordance with 37 CFR 210.29(c), but without including additional 
Confidential Information that does not relate to the recipient copyright 
owner or relevant songwriter. Once a copyright owner receives a royalty 
statement from the mechanical licensing collective, there are no 
restrictions on the copyright owner's ability to use the statement or 
disclose its contents.
    (A) Members of the mechanical licensing collective's board of 
directors and committees shall not have access to musical work copyright 
owners' royalty statements, except where a copyright owner discloses 
their own royalty statement to the members of the mechanical licensing 
collective's board of directors or committees. Notwithstanding this 
paragraph, members of the mechanical licensing collective's board and 
committees are not restricted in accessing their own royalty statements 
from the mechanical licensing collective.
    (B) The digital licensee coordinator, including members of the 
digital licensee coordinator's board of directors and committees, shall 
not have access to musical work copyright owners' royalty statements, 
except where a copyright owner discloses their own royalty statement to 
the mechanical licensing collective's board of directors or committees.
    (3) The digital licensee coordinator shall limit disclosure of 
Confidential Information to employees, agents, consultants, vendors, and 
independent contractors of the digital licensee coordinator who are 
engaged in the digital licensee coordinator's authorized functions under 
17 U.S.C. 115(d)(5)(C) and activities related directly thereto and 
require access to Confidential Information for the purpose of performing 
their duties during the ordinary course of their work for the digital 
licensee coordinator, subject to an appropriate written confidentiality 
agreement. The digital licensee coordinator shall not disclose 
Confidential Information to members of the digital licensee 
coordinator's board of directors and committees, or the mechanical 
licensing collective's board of directors or committees.
    (4) In addition to the permitted disclosure of Confidential 
Information in this paragraph (c), the mechanical licensing collective 
and digital licensee coordinator may disclose Confidential Information 
to:
    (i) A qualified auditor or outside counsel, pursuant to 17 U.S.C. 
115(d)(4)(D), who is authorized to act on behalf of the mechanical 
licensing collective with respect to verification of royalty payments by 
a digital music provider operating under the blanket license, subject to 
an appropriate written confidentiality agreement;
    (ii) A qualified auditor or outside counsel, pursuant to 17 U.S.C. 
115(d)(3)(L), who is authorized to act on behalf of a copyright owner or 
group of copyright owners with respect to verification of royalty 
payments by the mechanical licensing collective, subject to an 
appropriate written confidentiality agreement; and
    (iii) Attorneys and other authorized agents of parties to 
proceedings before federal courts, the Copyright Office, or the 
Copyright Royalty Judges, or when such disclosure is required by court 
order or subpoena, subject to an appropriate protective order or 
agreement.
    (5) With the exception of persons receiving information pursuant to 
paragraph (c)(4) of this section, anyone to whom the mechanical 
licensing collective or digital licensee coordinator discloses 
Confidential Information as permitted in section shall not disclose such 
Confidential Information to anyone else except as expressly permitted in 
this section.
    (d) Use of Confidential Information. (1) The mechanical licensing 
collective shall not use any Confidential Information for any purpose 
other than the collective's authorized functions under 17 U.S.C. 115(d) 
and activities related directly thereto. Anyone to whom the mechanical 
licensing collective discloses Confidential Information as permitted in 
this section shall not use any

[[Page 796]]

Confidential Information for any purpose other than in performing their 
duties during the ordinary course of their work for the mechanical 
licensing collective or as otherwise permitted under paragraph (c)(4) of 
this section.
    (2) The digital licensee coordinator shall not use any Confidential 
Information for any purpose other than its authorized functions under 17 
U.S.C. 115(d)(5)(C) and activities related directly thereto. Anyone to 
whom the digital licensee coordinator discloses Confidential Information 
as permitted in this section shall not use any Confidential Information 
for any purpose other than in performing their duties during the 
ordinary course of their work for the digital licensee coordinator or as 
otherwise permitted under paragraph (c)(4) of this section.
    (e) Disclosure and Use of MLC Internal Information and DLC Internal 
Information. (1) The mechanical licensing collective may disclose MLC 
Internal Information to members of the mechanical licensing collective's 
board of directors and committees, including representatives of the 
digital licensee coordinator who serve on the board of directors or 
committees of the mechanical licensing collective, subject to an 
appropriate written confidentiality agreement. The MLC may also disclose 
MLC Internal Information to other individuals in its discretion, subject 
to the adoption of reasonable confidentiality policies.
    (2) Representatives of the digital licensee coordinator who serve on 
the board of directors or committees of the mechanical licensing 
collective and receive MLC Internal Information may share such MLC 
Internal Information with the following persons:
    (i) Employees, agents, consultants, vendors, and independent 
contractors of the digital licensing coordinator who require access to 
MLC Internal Information for the purpose of performing their duties 
during the ordinary course of their work for the digital licensee 
coordinator, subject to an appropriate written confidentiality 
agreement;
    (ii) Individuals serving on the board of directors and committees of 
the digital licensee coordinator or mechanical licensing collective who 
require access to MLC Internal Information for the purpose of performing 
their duties during the ordinary course of their work for the digital 
licensee coordinator or mechanical licensing collective, subject to an 
appropriate written confidentiality agreement;
    (iii) Individuals otherwise employed by members of the digital 
licensee coordinator who require access to MLC Internal Information for 
the purpose of performing their duties during the ordinary course of 
their work for the digital licensee coordinator, subject to an 
appropriate written confidentiality agreement.
    (3) The digital licensee coordinator may disclose DLC Internal 
Information to the following persons:
    (i) Members of the digital licensee coordinator's board of directors 
and committees, subject to an appropriate written confidentiality 
agreement; and
    (ii) Members of the mechanical licensing collective's board of 
directors and committees, including music publisher representatives, 
songwriters, and representatives of the digital licensee coordinator who 
serve on the board of directors or committees of the mechanical 
licensing collective, subject to an appropriate written confidentiality 
agreement.
    (iii) The DLC may also disclose DLC Internal Information to other 
individuals in its discretion, subject to the adoption of reasonable 
confidentiality policies.
    (f) Safeguarding Confidential Information. The mechanical licensing 
collective, digital licensee coordinator, and any person or entity 
authorized to access Confidential Information from either of those 
entities as permitted in this section, must implement procedures to 
safeguard against unauthorized access to or dissemination of 
Confidential Information using a reasonable standard of care, but no 
less than the same degree of security that the recipient uses to protect 
its own Confidential Information or similarly sensitive information. The 
mechanical licensing collective and digital licensee coordinator shall 
each implement and enforce reasonable policies governing the 
confidentiality of their records, subject to the other provisions of 
this section.

[[Page 797]]

    (g) Maintenance of records. Any written confidentiality agreements 
relating to the use or disclosure of Confidential Information must be 
maintained and stored by the relevant parties until at least seven years 
after disclosures cease to be made pursuant to them.
    (h) Confidentiality agreements. The use of confidentiality 
agreements by the mechanical licensing collective and digital licensee 
coordinator shall not be inconsistent with the other provisions of this 
section.

[86 FR 9019, Feb. 11, 2021]



PART 211_MASK WORK PROTECTION--Table of Contents



Sec.
211.1 General provisions.
211.2 Recordation of documents pertaining to mask works.
211.3 Mask work fees.
211.4 Registration of claims of protection in mask works.
211.5 Deposit of identifying material.
211.6 Methods of affixation and placement of mask work notice.
211.7 Reconsideration procedure for refusals to register.

    Authority: 17 U.S.C. 702, 908.

    Source: 50 FR 26719, June 28, 1985, unless otherwise noted.



Sec.211.1  General provisions.

    (a) Mail and other communications with the Copyright Office 
concerning the Semiconductor Chip Protection Act of 1984, Pub. L. 98-
620, chapter 9 of title 17 U.S.C., should be sent to the address 
specified in Sec.201.1(b) of this chapter.
    (b) Section 201.2 of this chapter relating to the information given 
by the Copyright Office, and parts 203 and 204 of this chapter 
pertaining to the Freedom of Information Act and Privacy Act, shall 
apply, where appropriate, to the administration by the Copyright Office 
of the Semiconductor Chip Protection Act of 1984, Pub. L. 98-620.
    (c) For purposes of this part, the terms semiconductor chip product, 
mask work, fixed, commercially exploited, and owner, shall have the 
meanings set forth in section 901 of title 17 U.S.C.

[50 FR 26719, June 28, 1985, as amended at 82 FR 9365, Feb. 6, 2017]



Sec.211.2  Recordation of documents pertaining to mask works.

    The conditions prescribed in Sec.201.4 of this chapter for 
recordation of transfers of copyright ownership and other documents 
pertaining to copyright are applicable to the recordation of documents 
pertaining to mask works under section 903 of title 17 U.S.C.

[50 FR 26719, June 28, 1985, as amended at 66 FR 34373, June 28, 2001]



Sec.211.3  Mask work fees.

    (a) Section 201.3 of this chapter prescribes the fees or charges 
established by the Register of Copyrights for services relating to mask 
works.
    (b) Section 201.6 of this chapter on the payment and refund of 
Copyright Office fees shall apply to mask work fees.

[50 FR 26719, June 28, 1985, as amended at 56 FR 59886, Nov. 26, 1991; 
59 FR 38372, July 28, 1994; 63 FR 29139, May 28, 1998; 64 FR 29522, June 
1, 1999]



Sec.211.4  Registration of claims of protection in mask works.

    (a) General. This section prescribes conditions for the registration 
of claims of protection in mask works pursuant to section 908 of title 
17 U.S.C.
    (b) Application for registration. (1) For purposes of registration 
of mask work claims, the Register of Copyrights has designated ``Form 
MW'' to be used for all applications. Copies of the form are available 
free from the Copyright Office website or upon request to the Copyright 
Information Section, U.S. Copyright Office, Library of Congress, 
Washington, DC 20559- 6000.
    (2) An application for registration of a mask work claim may be 
submitted by the owner of the mask work, or the duly authorized agent of 
any such owner.
    (i) The owner of a mask work includes a party that has obtained the 
transfer of all of the exclusive rights in the work, but does not 
include the transferee of less than all of the exclusive rights, or the 
licensee of all or less than all of these rights.
    (ii) For purposes of eligibility to claim mask work protection 
pursuant to section 902(a)(1)(A) of 17 U.S.C., the

[[Page 798]]

owner of the mask work must be either the initial owner or a person who 
has obtained by transfer the totality of rights in the mask work under 
the Act.
    (3) An application for registration shall be submitted on Form MW 
prescribed by the Register under paragraph (b)(1) of this section, and 
shall be accompanied by the registration fee and deposit required under 
17 U.S.C. 908 and Sec. Sec.211.3 and 211.5 of these regulations. The 
application shall contain the information required by the form and its 
accompanying instructions, and shall include a certification. The 
certification shall consist of:
    (i) A declaration that the applicant is authorized to submit the 
application and that the statements made are correct to the best of that 
person's knowledge; and
    (ii) The typed, printed, or handwritten signature of the applicant, 
accompanied by the typed or printed name of that person if the signature 
is handwritten.
    (c) One registration per mask work. (1) Subject to the exception 
specified in paragraph (c)(2) of this section, only one registration can 
generally be made for the same version of a mask work fixed in an 
intermediate or final form of any semiconductor chip product. However, 
where an applicant for registration alleges that an earlier registration 
for the same version of the work is unauthorized and legally invalid and 
submits for recordation a signed affidavit, a registration may be made 
in the applicant's name.
    (2) Notwithstanding the general rule permitting only one 
registration per work, owners of mask works in final forms of 
semiconductor chip products that are produced by adding metal-connection 
layers to unpersonalized gate arrays may separately register the entire 
unpersonalized gate array and the custom metallization layers. 
Applicants seeking to register separately entire unpersonalized gate 
arrays or custom metallization layers should make the nature of their 
claim clear at Space 8 of application Form MW. For these purposes, an 
``unpersonalized gate array'' is an intermediate form chip product that 
includes a plurality of circuit elements that are adaptable to be 
personalized into a plurality of different final form chip products, in 
which some of the circuit elements are, or will be, connected as gates.
    (d) Registration for one mask work. Subject to the exceptions 
specified in paragraph (c)(2) of this section, for purposes of 
registration on one application and upon payment of one filing fee, the 
following shall be considered one work:
    (1) In the case of a mask work that has not been commercially 
exploited: All original mask work elements fixed in a particular form of 
a semiconductor chip product at the time an application for registration 
is filed and in which the owner or owners of the mask work is or are the 
same; and
    (2) In the case of a mask work that has been commercially exploited: 
All original mask work elements fixed in a semiconductor chip product at 
the time that product was first commercially exploited and in which the 
owner or owners of the mask work is or are the same.
    (e) Registration in most complete form. Owners seeking registration 
of a mask work contribution must submit the entire original mask work 
contribution in its most complete form as fixed in a semiconductor chip 
product. The most complete form means the stage of the manufacturing 
process which is closest to completion. In cases where the owner is 
unable to register on the basis of the most complete form because he or 
she lacks control over the most complete form, an averment of this fact 
must be made at Space 2 of Form MW. Where such an averment is made, the 
owner may register on the basis of the most complete form in his or her 
possession. For applicants seeking to register an unpersonalized gate 
array or custom metallization layers under paragraph (c)(2) of this 
section, the most complete form is the entire chip on which the 
unpersonalized gate array or custom metallization layers reside(s), and 
registration covers those elements of the chip in which work protection 
is asserted.
    (f) Corrections and amplifications of prior registration. Except for 
errors or omissions made by the Copyright Office, no corrections or 
amplifications can be made to the information contained in the record of 
a completed registration after the effective date of the

[[Page 799]]

registration. A document purporting to correct or amplify the 
information in a completed registration may be recorded in the Copyright 
Office for whatever effect a court of competent jurisdiction may later 
give to it, if the document is signed by the owner of the mask work, as 
identified in the registration record, or by a duly authorized agent of 
the owner.

[50 FR 26719, June 28, 1985, as amended at 56 FR 7818, Feb. 26, 1991; 64 
FR 36575, July 7, 1999; 66 FR 34374, June 28, 2001; 73 FR 37840, July 2, 
2008; 82 FR 9365, Feb. 6, 2017; 83 FR 66630, Dec. 27, 2018]



Sec.211.5  Deposit of identifying material.

    (a) General. This section prescribes rules pertaining to the deposit 
of identifying material for registration of a claim of protection in a 
mask work under section 908 of title 17 U.S.C.
    (b) Nature of required deposit. Subject to the provisions of 
paragraph (c) of this section, the deposit of identifying material to 
accompany an application for registration of a mask work claim under 
Sec.211.4 shall consist of:
    (1) In the case of a commercially exploited mask work, four 
reproductions of the mask work fixed in the form of the semiconductor 
chip product in which it was first commercially exploited. Defective 
chips may be deposited under this section provided that the mask work 
contribution would be revealed in reverse dissection of the chips. The 
four reproductions shall be accompanied by a visually perceptible 
representation of each layer of the mask work consisting of:
    (i) Sets of plastic color overlay sheets;
    (ii) Drawings or plots in composite form on a single sheet or on 
separate sheets; or
    (iii) A photograph of each layer of the work fixed in a 
semiconductor chip product.
    (2) The visually perceptible representation of a mask work deposited 
under this section shall be reproduced on material which can be readily 
stored in an 8\1/2\ x 11 inch format, and shall be reproduced at a 
magnification sufficient to reveal the basic circuitry design of the 
mask work and which shall in all cases be at least 20 times 
magnification.
    (3) In the case of a mask work that has not been commercially 
exploited, one of the following:
    (i) Where the mask work contribution in which registration is sought 
represents twenty percent or more of the area of the intended final 
form, a visually perceptible representation of the work in accordance 
with paragraph (b)(1)(i) or (ii) of this section. In addition to the 
deposit of visually perceptible representations of the work, an 
applicant may, at his or her option, deposit four reproductions in the 
most complete form of the mask work as fixed in a semiconductor product.
    (ii) Where the mask work contribution in which registration is 
sought represents less than twenty percent of the area of the intended 
final form, a visually perceptible representation of the work which 
reveals the totality of the mask work contribution to a person trained 
in the state of the art. The visually perceptible representations may 
consist of any combination of plastic color overlay sheets, drawing or 
plots in composite form, or a photograph or photographs of the entire 
mask set. If the visually perceptible representation fails to identify 
all of the elements of the mask work contribution, they may be 
accompanied by additional explanatory material. The visually perceptible 
representation of a mask work deposited under this section shall be 
reproduced on material which can be readily stored in an 8\1/2\ x 11 
inch format and shall be of sufficient magnification and completeness to 
reveal all elements of the mask work contribution. In addition to the 
deposit of visually perceptible representations of the work, an 
applicant may, at his or her option, deposit four reproductions in the 
most complete form of the mask work as fixed in a semiconductor chip 
product.
    (c) Trade secret protection. Where specific layers of a mask work 
fixed in a semiconductor chip product contain information in which trade 
secret protection is asserted, certain material may be withheld as 
follows:
    (1) Mask works commercially exploited. For commercially exploited 
mask works no more than two layers of each five or more layers in the 
work. In lieu

[[Page 800]]

of the visually perceptible representations required under paragraphs 
(b)(1) and (2) of this section, identifying portions of the withheld 
material must be submitted. For these purposes, ``identifying portions'' 
shall mean:
    (i) A printout of the mask work design data pertaining to each 
withheld layer, reproduced in microform; or
    (ii) Visually perceptible representations in accordance with 
paragraphs (b)(1)(i), (ii), or (iii) and (b)(2) of this section with 
those portions containing sensitive information maintained under a claim 
of trade secrecy blocked out, provided that the portions remaining are 
greater than those which are blocked out.
    (2) Mask work not commercially exploited. (i) For mask works not 
commercially exploited falling under paragraph (b)(3)(i) of this 
section, any layer may be withheld. In lieu of the visually perceptible 
representations required under paragraph (b)(3) of this section, 
``identifying portions'' shall mean:
    (A) A printout of the mask work design data pertaining to each 
withheld layer, reproduced in microform, in which sensitive information 
maintained under a claim of trade secrecy has been blocked out or 
stripped; or
    (B) Visually perceptible representations in accordance with 
paragraph (b)(3)(i) of this section with those portions containing 
sensitive information maintained under a claim of trade secrecy blocked 
out, provided that the portions remaining are greater than those which 
are blocked out.
    (ii) The identifying portions shall be accompanied by a single 
photograph of the top or other visible layers of the mask work fixed in 
a semiconductor chip product in which the sensitive information 
maintained under a claim of trade secrecy has been blocked out, provided 
that the blocked out portions do not exceed the remaining portions.
    (d) Special relief. The Register of Copyrights may decide to grant 
special relief from the deposit requirements of this section, and shall 
determine the conditions under which special relief is to be granted. 
Requests for special relief under this paragraph shall be made in 
writing to the Associate Register of Copyrights and Director of 
Registration Policy and Practice, P.O. Box 70400, Washington, DC 20024-
0400, shall be signed by the person signing the application for 
registration, shall set forth specific reasons why the request should be 
granted and shall propose an alternative form of deposit.
    (e) Retention and disposition of deposits. (1) Any identifying 
material deposited under this section, including material deposited in 
connection with claims that have been refused registration, are the 
property of the United States Government.
    (2) Where a claim of protection in a mask work is registered in the 
Copyright Office, the identifying material deposited in connection with 
the claim shall be retained under the control of the Copyright Office, 
including retention in Government storage facilities, during the period 
of protection. After that period, it is within the joint discretion of 
the Register of Copyrights and the Librarian of Congress to order its 
destruction or other disposition.

[50 FR 26719, June 28, 1985, as amended at 60 FR 34169, June 30, 1995; 
73 FR 37840, July 2, 2008; 76 FR 27898, May 13, 2011; 82 FR 9365, Feb. 
6, 2017]



Sec.211.6  Methods of affixation and placement of mask work notice.

    (a) General. (1) This section specifies methods of affixation and 
placement of the mask work notice that will satisfy the notice 
requirement in section 909 of title 17 U.S.C. A notice deemed 
``acceptable'' under this regulation shall be considered to satisfy the 
requirement of that section that it be affixed ``in such manner and 
location as to give reasonable notice'' of protection. As provided in 
that section, the examples specified in this regulation shall not be 
considered exhaustive of the methods of affixation and positions giving 
reasonable notice of the claim of protection in a mask work.
    (2) The acceptability of a mask work notice under these regulations 
shall depend upon its being legible under normal conditions of use, and 
affixed in such manner and position that, when affixed, it may be viewed 
upon reasonable examination.
    (b) Elements of mask work notice. The elements of a mask work notice 
shall consist of:

[[Page 801]]

    (1) The words mask work, the symbol ``M'' or the symbol ``[om]'' 
(the letter M in a circle); and
    (2) The name of the owner or owners of the mask work or an 
abbreviation by which the name is recognized or is generally known.
    (c) Methods of affixation and placement of the notice. In the case 
of a mask work fixed in a semiconductor chip product, the following 
locations are acceptable:
    (1) A gummed or other label securely affixed or imprinted upon the 
package or other container used as a permanent receptacle for the 
product; or
    (2) A notice imprinted or otherwise affixed in or on the top or 
other visible layer of the product.

[50 FR 26719, June 28, 1985, as amended at 60 FR 34169, June 30, 1995]



Sec.211.7  Reconsideration procedure for refusals to register.

    The requirements prescribed in Sec.202.5 of this chapter for 
reconsideration of refusals to register copyright claims are applicable 
to requests to reconsider refusals to register mask works under 17 
U.S.C. chapter 9, unless otherwise required by this part.

[69 FR 77637, Dec. 28, 2004]



PART 212_PROTECTION OF VESSEL DESIGNS--Table of Contents



Sec.
212.1 Scope.
212.2 Fees.
212.3 Registration of claims for protection of eligible designs.
212.4 Affixation and placement of design notice.
212.5 Recordation of distinctive identification of vessel designer.
212.6 Recordation of transfers and other documents.
212.7 Reconsideration procedure for refusals to register.
212.8 Correction of errors in certificates of registration.

    Authority: 17 U.S.C. chapter 13.

    Source: 64 FR 36578, July 7, 1999, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 212 appear at 82 FR 
9366, Feb. 6, 2017.



Sec.212.1  Scope.

    The provisions of this part apply to the protection and registration 
of original designs of vessels under chapter 13 of title 17, United 
States Code. Design protection and registration under this part are 
separate from copyright protection and registration. Copyright 
registration is governed by the provisions of part 202 of this 
subchapter.

[64 FR 36578, July 7, 1999, as amended at 82 FR 9366, Feb. 6, 2017]



Sec.212.2  Fees.

    Services related to registration of original designs of vessels are 
subject to fees prescribed in Sec. Sec.201.3(c) and (d).

[71 FR 31092, June 1, 2006, as amended at 82 FR 9366, Feb. 6, 2017]



Sec.212.3  Registration of claims for protection of eligible designs.

    (a) Limitations. Protection is not available for, and an application 
for registration will not be accepted for:
    (1) An otherwise eligible design made public prior to October 28, 
1998;
    (2) An otherwise eligible design made public on a date more than two 
years prior to the filing of an application for registration under this 
section;
    (3) A design ineligible for any of the reasons set forth in 17 
U.S.C. 1302.
    (b) Required elements of application. An application is considered 
filed with the Copyright Office on the date on which the following three 
items have been received by the Copyright Office:
    (1) Completed Form D-VH;
    (2) Deposit material identifying the design or designs for which 
registration is sought; and
    (3) The appropriate fee.
    (c) Application by owner of design. An application for registration 
under this section may be made only by the owner or owners of the 
design, or by the duly authorized agent or representative of the owner 
or owners of the design.
    (d) Application form. Registration must be made on Form D-VH. Forms 
are available from the Copyright Office and may be reprinted from the 
Copyright Office's website (http://www.loc.gov /copyright /forms /
formdvh.pdf).

[[Page 802]]

    (e) Deposit material--(1) In General. Identification of the design 
to be registered may be made in the form of drawings or photographs. No 
more than two drawings or photographs of the design may appear on a 
single sheet. Applicants may submit up to three 8\1/2\ x 
11 sheets containing drawings or photographs as part of the 
basic application fee. An additional fee shall be assessed for each page 
beyond the first three pages. No combinations of drawings and 
photographs may be submitted on a single sheet. The drawings or 
photographs that accompany the application must reveal those aspects of 
the design for which protection is claimed. The registration extends 
only to those aspects of the design which are adequately shown in the 
drawings or photographs.
    (2) Views. The drawings or photographs submitted should contain a 
sufficient number of views to make an adequate disclosure of the 
appearance of the design, i.e., front, rear, right and left sides, top 
and bottom. While not required, it is suggested that perspective views 
be submitted to show clearly the appearance and shape of the three 
dimensional designs.
    (3) Drawings. (i) Drawings must be in black ink on white 8\1/
2\ x 11 unruled paper. A drawing of a design 
should include appropriate surface shading which shows clearly the 
character and contour of all surfaces of any 3-dimensional aspects of 
the design. Surface shading is also necessary to distinguish between any 
open and solid areas of the design. Solid black surface shading is not 
permitted except when used to represent the black color as well as color 
contrast.
    (ii) The use of broken lines in drawings depicting the design is 
understood to be for illustrative purposes only and forms no part of the 
claimed design. Structure that is not part of the design, but that is 
considered necessary to show the environment in which the design is 
used, may be represented in the drawing by broken lines. This includes 
any portion of the vessel in which the design is embodied or applied 
that is not considered part of the design. When the claimed design is 
only surface ornamentation to the vessel, the vessel in which it is 
embodied must be shown in broken lines.
    (iii) When broken lines are used, they should not intrude upon or 
cross the depiction of the design and should not be of heavier weight 
than the lines used in depicting the design. Where a broken line showing 
of environmental structure must necessarily cross or intrude upon the 
representation of the design and obscure a clear understanding of the 
design, such an illustration should be included as a separate figure, in 
addition to other figures which fully disclose the subject matter of the 
design.
    (4) Photographs. High quality black and white or color photographs 
will be accepted provided that they are mounted on plain white 8\1/
2\ x 11 unlined paper and do not exceed two 
photographs per sheet. Photographs must be developed on double weight 
photographic paper and must be of sufficient quality so that all the 
details of the design are plainly visible and are capable of 
reproduction on the registration certificate, if issued.
    (f) Multiple claims--(1) In general. Claims for more than one design 
may be filed in one of two ways. If multiple designs are contained on 
the same make and model of a vessel (and therefore, the information in 
Space 1 of Form D-VH--the make and model of the vessel that embodies the 
design--is the same for each design), one application form may be used 
to register all the designs, provided that the information in spaces 3 
through 9 is the same for each design. If multiple designs are contained 
on more than one make and model of a vessel, or the information in 
spaces 3 through 9 is not the same for each of the multiple designs, 
then separate applications must be used for each design.
    (2) One application. Where one application for multiple designs is 
appropriate, a separate Form D-VH/CON must be used for each design 
beyond the first appearing on Form D-VH. Each Form D-VH/CON must be 
accompanied by deposit material identifying the design that is the 
subject of the Form D-VH/CON, and the deposit material must be attached 
to the Form D-VH/CON. The Form D-VH and all the

[[Page 803]]

Form D-VH/CONs for the application must be submitted together.
    (3) Multiple applications. Where multiple applications for more than 
one design are required, a Form D-VH must be completed for each design. 
Deposit material identifying the design must accompany each application. 
Multiple applications may be filed separately.
    (4) Fees. The basic application fee prescribed in Sec.201.3(c) of 
this chapter applies to each design submitted, regardless of whether one 
application or multiple applications are used.
    (g) Written declaration. In lieu of the oath required by 17 U.S.C. 
1312(a), the application shall contain a written declaration, as 
permitted by 17 U.S.C. 1312(b), signed by the applicant, or the 
applicant's duly authorized agent or representative. If the design has 
been made public with the design notice prescribed in 17 U.S.C. 1306, 
the written declaration shall also describe the exact form and position 
of the design notice. The written declaration shall read as follows:

    The undersigned, as the applicant or the applicant's duly appointed 
agent or representative, being hereby warned that willful false 
statements are punishable by fine or imprisonment, or both, under 18 
U.S.C. 1001, and that such willful false statements may jeopardize the 
validity of this application or any resulting registration, hereby 
declares to the best of his/her knowledge and belief:
    (1) That the design has been fixed in a useful article;
    (2) That the design is original and was created by the designer(s), 
or employer if applicable, named in the application;
    (3) That those aspects of the design for which registration is 
sought are not protected by a design patent;
    (4) That the design has not previously been registered on behalf of 
the applicant or the applicant's predecessor in title; and
    (5) That the applicant is the person entitled to protection and to 
registration under chapter 13 of title 17, United States Code.

    (h) Priority claims. An applicant seeking the benefit of 17 U.S.C. 
1311 because the applicant has, within the previous six months, filed an 
application for protection of the same design in a foreign country, must 
provide:
    (1) Identification of the filing date of the foreign application;
    (2) Identification of the foreign country in which the application 
was filed;
    (3) The serial number or any other identifying number of the foreign 
application;
    (4) A certified copy of the foreign application;
    (5) A translation of the foreign application and a statement, signed 
by the translator, that the translation is accurate, if the foreign 
application is in a language other than English; and
    (6) If requested by the Copyright Office, proof that the foreign 
country in which the prior application was filed extends to designs of 
owners who are citizens of the United States, or to applications filed 
under chapter 13 of title 17, United States Code, similar protection to 
that provided under chapter 13 of title 17, United States Code.
    (i) Effective date of registration. The effective date of 
registration is the date of publication of the registration by the 
Copyright Office.
    (j) Publication of registration. Publication of registrations of 
vessel designs shall be made on the Copyright Office website (http://
www.loc.gov/ copyright/ vessels).

[64 FR 36578, July 7, 1999, as amended at 72 FR 33692, June 19, 2007; 82 
FR 9366, Feb. 6, 2017; 83 FR 66630, Dec. 27, 2018]



Sec.212.4  Affixation and placement of design notice.

    (a) General. (1) This section specifies the methods of affixation 
and placement of the design notice required by 17 U.S.C. 1306. Sections 
1306 and 1307 govern the circumstances under which a design notice must 
be used and the effect of omission of a design notice. A notice deemed 
acceptable under this part shall be considered to satisfy the 
requirements of section 1306 that it be so located and applied as to 
give reasonable notice of design protection while the useful article 
embodying the design is passing through its normal channels of commerce. 
As provided in that section, the examples specified in this part shall 
not be considered exhaustive of the methods of affixation and locations 
giving reasonable notice of the claim of protection in the design.
    (2) The acceptability of a design notice under these regulations 
shall depend upon its being legible under normal conditions of use, and 
affixed in

[[Page 804]]

such a manner and position that, when affixed, it may be viewed upon 
reasonable examination. There is no requirement that a design notice be 
permanently embossed or engraved into a vessel hull or deck, but it 
should be affixed in such a manner that, under normal conditions of use, 
it is not likely to become unattached or illegible.
    (b) Elements of a design notice. If the design has been registered, 
the registration number may be included in the design notice in place of 
the year of the date on which protection for the design commenced and 
the name of the owner, an abbreviation by which the name can be 
recognized, or a generally accepted alternative designation of the 
owner. The elements of a design notice shall consist of:
    (1) The words ``Protected Design'', the abbreviation ``Prot'd 
Des.'', or the letter ``D'' within a circle, or the symbol *D*;
    (2) The year of the date on which protection for the design 
commenced; and
    (3) The name of the owner, an abbreviation by which the name can be 
recognized, or a generally accepted alternative designation of the 
owner.
    (c) Distinctive identification. Any distinctive identification of an 
owner may be used for purposes of paragraph (b)(3) of this section if it 
has been recorded by the Register of Copyrights pursuant to Sec.212.5 
before the design marked with such identification is registered.
    (d) Acceptable locations of notice. The following are acceptable 
means of affixing and placement of a design notice:
    (1) In close proximity to the identification number required by 33 
CFR 181.23;
    (2) In close proximity to the driver's console such that it is in 
plain view from the console;
    (3) If the vessel is twenty feet in length or less and is governed 
by 33 CFR 183.21, in close proximity to the capacity marking; and
    (4) In close proximity to the make and/or model designation of the 
vessel.

[64 FR 36578, July 7, 1999, as amended at 82 FR 9366, Feb. 6, 2017]



Sec.212.5  Recordation of distinctive identification of vessel 
designer.

    (a) General. Any owner of a vessel design may record a distinctive 
identification with the Register of Copyrights for purposes of using 
such distinctive identification in a design protection notice required 
by 17 U.S.C. 1306. A distinctive identification of an owner may not be 
used in a design notice before it has first been recorded with the 
Register.
    (b) Forms. The Copyright Office does not provide forms for the use 
of persons recording distinctive identifications of ownership of a 
vessel design. However, persons recording distinctive identifications 
are encouraged to use the suggested format available on the Copyright 
Office website (http://www.loc.gov/ copyright/vessels).
    (c) Recording distinctive identifications. Any distinctive 
identification of an owner of a vessel design may be recorded with the 
Register of Copyrights provided that a document containing the following 
is submitted:
    (1) The name and address of the owner;
    (2) A statement of the owner that he/she is entitled to use the 
distinctive identification;
    (3) A statement or depiction of the identification; and
    (4) The recordation fee in the amount prescribed in Sec.201.3(c) 
of this chapter.
    (d) The document should be mailed to the address specified in Sec.
201.1(b)(2) of this chapter.

[64 FR 36578, July 7, 1999, as amended at 67 FR 38005, May 31, 2002; 72 
FR 33692, June 19, 2007; 82 FR 9366, Feb. 6, 2017]



Sec.212.6  Recordation of transfers and other documents.

    The conditions prescribed in Sec.201.4 of this chapter for 
recordation of transfers of copyright ownership and other documents 
pertaining to copyright are applicable to the recordation of documents 
pertaining to the protection of vessel designs under 17 U.S.C. chapter 
13.

[64 FR 36578, July 7, 1999, as amended at 82 FR 9366, Feb. 6, 2017]

[[Page 805]]



Sec.212.7  Reconsideration procedure for refusals to register.

    The requirements prescribed in Sec.202.5 of this chapter for 
reconsideration of refusals to register copyright claims are applicable 
to requests to reconsider refusals to register vessel designs under 17 
U.S.C. chapter 13, unless otherwise required by this part.

[69 FR 77637, Dec. 28, 2004]



Sec.212.8  Correction of errors in certificates of registration.

    (a) General. (1) This section prescribes conditions relating to the 
correction of clerical or typographical errors in a certificate of 
registration of a vessel design, under section 1319 of title 17 of the 
United States Code, as amended by Public Law 105-304.
    (2) For the purposes of this section, a basic registration means 
registration of a vessel design made under sections 1310 through 1314 of 
title 17 of the United States Code, as amended by Public Law 105-304.
    (3) No correction of the information in a basic registration will be 
made except pursuant to the provisions of this Sec.212.8. As an 
exception, where it is discovered that the record of a vessel design 
registration contains a clerical or typographical error made by the 
Copyright Office, the Office will take appropriate measures to rectify 
its error. Correction will be made only of clerical or typographical 
errors; errors of a different nature cannot be corrected and there is no 
procedure to amplify the registration record with additional 
information.
    (b) Application for correction of error in certificate. At any time 
after registration of a vessel design, the Copyright Office will correct 
a clerical or typographical error in the registration upon the 
application of the owner of the registered design or the owner's 
authorized agent.
    (c) Form and content of application to correct registration. (1) An 
application to correct a registration shall be made on a form prescribed 
by the Copyright Office, shall be accompanied by the appropriate filing 
fee identified in Sec.201.3(c) and shall contain the following 
information:
    (i) The make and model of the vessel that embodies the registered 
design;
    (ii) The registration number of the basic registration;
    (iii) The year when the basic registration was completed;
    (iv) The name or names of the designer or designers of the vessel 
design, and the owner or owners of the vessel design, as they appear in 
the basic registration;
    (v) The space number and heading or description of the part of the 
basic registration where the error occurred;
    (vi) A transcription of the erroneous information as it appears in 
the basic registration;
    (vii) A statement of the correct information as it should have 
appeared;
    (viii) If desired, an explanation of the error or its correction;
    (ix) The name and address:
    (A) To which the correspondence concerning the application should be 
sent; and
    (B) To which the certificate of correction should be mailed; and
    (x) The certification shall consist of:
    (A) The typed, printed, or handwritten signature of the owner of the 
registered design or of the duly authorized agent of such owner (who 
shall also be identified);
    (B) The date of the signature and, if the signature is handwritten, 
the typed or printed name of the person whose signature appears; and
    (C) A statement that the person signing the application is the owner 
of the registered design or of the duly authorized agent of such owner, 
and that the statements made in the application are correct to the best 
of that person's knowledge.
    (2) The form prescribed by the Copyright Office for the foregoing 
purposes is designated ``Application to Correct a Design Registration 
(Form DC)''. Copies of the form are available free upon request to the 
Public Information Office, Library of Congress, Copyright Office, 101 
Independence Avenue SE., Washington, DC 20559-6000 or on the Copyright 
Office website at http://www.copyright.gov / forms/ formdc.pdf.
    (3) Copies, phonorecords or supporting documents cannot be made

[[Page 806]]

part of the record of a corrected certificate of registration and should 
not be submitted with the application.
    (d) Fee. The filing fee for an application to correct a certificate 
of registration of a vessel design is prescribed in Sec.201.3(c).

[71 FR 46402, Aug. 14, 2006, as amended at 82 FR 9366, Feb. 6, 2017; 83 
FR 66630, Dec. 27, 2018]



                         SUBCHAPTER B [RESERVED]



[[Page 807]]

        INDEX TO CHAPTER II_COPYRIGHT OFFICE, LIBRARY OF CONGRESS

  Editorial Note: This listing is provided for informational purposes 
only. It is compiled and kept current by the Library of Congress. This 
index is updated as of July 1, 2021.

                                                                 Section
Auditor's Reports, and other verification information filed in the 
Copyright Office for digital audio recording devices or media.....201.29
Access to, and confidentiality of, Statements of Account for 
digital audio recording devices or media..........................201.29
Account (Statements of) for digital audio recording devices or 
media.............................................................201.28
Accounts, deposit..................................................201.6
Acquisition and deposit of unpublished television transmission 
programs..........................................................202.22
Address, general purpose.......................................201.1 (a)
Addresses, special limited......................................201.1(c)
Addresses prescribed for communications with the Copyright Office 
                                                           201.1, 201.2,
Administrative classification and application forms for 
registration.................................................202.3(b)(2)
Form and content of application for supplementary registration.....202.6
Group registration of related serials, letter affirming submission 
of copies to Library of Congress................................202.4(d)
Inspection and copying of records............................201.2(b)(5)
Legal processes......................................................205
Advance notices of potential infringement.........................201.22
Affixation (methods of) of copyright notice and positions on works
                                                                   211.6
Amend or correct individual's record under Privacy Act, Appeal of 
refusal to.........................................................204.8
Amendment or correction of records under Privacy Act, Request for 
                                                                   204.7
Annual Statements of Account, Contents of......................201.28(f)
Anti-circumvention, (circumvention), Exemptions to prohibition 
against...........................................................201.40
Architectural works...............................................202.11
Architectural works, Deposit of.......................202.20(c)(2)(i)(M)
Archives and libraries, Warnings of copyright for use by..........201.14
Arts (visual), registration of (see Pictorial, graphic & 
sculptural works).........................................202.10, 202.20
Arts (visual) registry............................................201.25
Audio (digital) recording devices or media, Initial notice of 
distribution of...................................................201.27
Audio (digital) recording devices or media, Statements of Account 
for...............................................................201.28
Auditor's Reports filed in Copyright Office for digital audio 
recording devices or media (Access to, and confidentiality of)....201.29
Auditor's Reports (In general)............................201.28, 201.29
Best Edition......................202.19, 202.20, Appendix B to Part 202
Cable and satellite statutory licenses.................201.11 and 201.17
Cable compulsory license, Application of the 3.75% rate...........201.17
Cable contracts for systems outside 48 contiguous states, 
Recordation of....................................................201.12

[[Page 808]]

Cable systems, Statements of Account covering compulsory licenses 
for secondary transmissions by....................................201.17
Cancellation of completed registrations............................201.7
Cartographic (three-dimensional) representations of area, such as 
globes and relief models..........................202.20(c)(2)(xi)(B)(1)
Certification and Documents Section, Information and Reference 
Division, as address for certain notices and requests...........201.1(c)
Certification of copies or documents, Requests for..............201.2(d)
Certification (official) defined.............................201.4(c)(5)
Circumvention, Exemptions to prohibition against..................201.40
Claimants, Copyright applications..................................202.3
Collective works, Deposit of contributions to...........202.20(c)(2)(xv)
Commercial prints and labels, Deposit of.................202.20(c)(2)(v)
Communications with Copyright Office, Addresses prescribed for 
(see Addresses for communication)..................................201.1
Complete copy defined for mandatory deposit only............202.19(b)(2)
Complete copy for purposes of registration, Definition of...202.20(b)(2)
Compulsory license for making/distributing phonorecords of 
nondramatic musical works, Notice of intention to obtain..........201.18
Compulsory license for making/distributing phonorecords of 
nondramatic musical works, Royalties and statements of account 
under...................................................210.11 to 210.19
Compulsory license for secondary transmissions by cable systems, 
Statements of Account covering....................................201.17
Computer programs and databases embodied in machine-readable 
copies other than CD-ROM format, Deposit of............202.20(c)(2)(vii)
Computer shareware, Recordation of documents pertaining to........201.26
Computer software (public domain), Recordation of documents 
regarding donation of.............................................201.26
Confidentiality of, and access to, Statements of Account, 
Auditor's Reports, and other verification information filed in the 
Copyright Office for digital audio recording devices or media.....201.29
Congress (Library of), Deposit of published copies or phonorecords 
for...............................................................202.19
Congress (Library of), Transfer of unpublished copyright deposits 
to................................................................201.23
Contents of Statements of Account covering compulsory licenses for 
secondary cable transmissions..................................201.17(e)
Contributions to collective works, Deposit of...........202.20(c)(2)(xv)
Copies and phonorecords, Deposit for copyright registration of....202.20
Copies containing both visually perceptible and machine-readable 
material other than a CD-ROM format, Deposit of.........202.20(c)(2)(ix)
Copies, Deposit of identifying material instead of................202.21
Copies deposited, Return of.....................................201.6(d)
Copies of records or deposits, Requests for..................201.1(c)(4)
Copies or phonorecords (published) for the Library of Congress, 
Deposit of........................................................202.19
Copy (complete) defined for mandatory deposit only..........202.19(b)(2)
Copying of records and indexes (Inspection and).................201.2(b)
Copying of records under Freedom of Information Act [FOIA] 
(Inspection and)...................................................203.5
Copyright deposits, Full-term retention of........................202.23
Copyright deposits (unpublished), Transfer to Library of Congress 
of................................................................201.23
Copyright, Material not subject to.................................202.1
Copyright notice, General..........................................202.2
Copyright notice, Methods of affixation and position...............211.6
Copyright Office fees. See Fees....................................201.3
Copyright Office, Information given by.............................201.2

[[Page 809]]

Copyright Office, Proper address for mail and other communications 
with...............................................................201.1
Copyright, Registration of claims to...............................202.3
Copyright restoration for certain motion pictures and their 
contents under NAFTA, \1\ Procedures for..................201.33, 202.12
---------------------------------------------------------------------------

    \1\ NAFTA is the acronym for North American Free Trade Agreement.
---------------------------------------------------------------------------

Copyright restoration under Uruguay Round Agreements Act..........201.33
Copyright Warning for software lending by nonprofit libraries.....201.24
Correction or amendment of records under Privacy Act, Request for 
                                                                   204.7
Corrections and amplifications of copyright registrations.......202.6(d)
Correspondence (official), Access and requests for copies of....201.2(c) 
                                                                   & (d)
Databases and computer programs embodied in machine-readable 
copies other than CD-ROM format, Deposit of............202.20(c)(2)(vii)
Date of recordation defined..........................201.4(g), 201.26(f)
Definitions:
Advance Notice of Potential Infringement....................201.22(a)(1)
Annual Statement of Account (compulsory license)........210.11 to 210.19
Architectural works............................................202.11(b)
Basic registration...........................................202.6(b)(1)
Best edition..................................202.19(b)(1), 202.20(b)(1)
Cable system................................................201.17(b)(2)
Cancellation....................................................201.7(a)
Certification (official).....................................201.4(c)(5)
Complete copy (deposit for registration)....................202.20(b)(2)
Complete copy (mandatory deposit)...........................202.19(b)(2)
Computer shareware.............................................201.26(b)
Contributions to collective works.......................202.20(b)(2)(iv)
Current base rate (cable systems)........................201.17(h)(1)(i)
Date of recordation............................................201.26(f)
Digital subscription transmissions, Initial notice of use of works
                                                         201.35 - 201.37
Display Warning of Copyright................................201.14(a)(1)
Distant signal equivalent...................................201.17(b)(5)
Distributor (satellite carrier)................................201.11(b)
Document designated as pertaining to computer shareware.....201.26(b)(2)
Gross receipts for basic service (cable systems)............201.17(b)(1)
Individual (Privacy Act)........................................204.2(a)
Local service area of a primary transmitter.................201.17(b)(5)
Monthly Statement of Account (compulsory license).................210.16
Motion pictures........................................202.20(b)(2)(vii)
Musical scores..........................................202.20(b)(2)(vi)
NAFTA \1\ work..............................................201.33(b)(1)
Network station (satellite carrier)............................201.11(b)
Notice (initial) of Distribution of Digital Audio Recording 
Devices........................................................201.27(b)
Notice of objection to certain noncommercial performances......201.13(a)
Off-the-air copying............................................202.22(c)
Order Warning of Copyright..................................201.14(a)(2)
Posthumous work (renewal)...................................202.17(b)(3)
Pre-1972 sound recordings, noncommercial use......................202.37
Pre-1972 sound recordings, notices of contact information for 
transmitting entities.............................................202.36
Pre-1972 sound recordings, schedules..............................202.35
Primary transmission (satellite carrier)....................201.11(b)(2)
Privacy Act........................................................204.2
Private home viewing (satellite carrier).......................201.11(b)
Public domain computer software.............................201.26(b)(3)
Publication (NAFTA) \1\........................................201.33(g)
Record (Privacy Act)............................................204.2(c)

[[Page 810]]

Registration (supplementary).......................................202.6
Registration of claims to copyright, Group registration options 
                                                             202.3(b)(5)
Reliance party..............................................201.33(b)(2)
Renewal (posthumous work)...................................202.17(b)(3)
Restored work...............................................201.33(b)(3)
Routine use (Privacy Act).......................................204.2(e)
Satellite carrier..............................................201.11(b)
Secondary transmission (satellite carrier)..................201.11(b)(2)
Secure test.................................................202.20(b)(3)
Sound recordings.........................................202.20(b)(2)(v)
Source country..............................................201.33(b)(4)
Subscriber (satellite carrier).................................201.11(b)
Superstation (satellite carrier)...............................201.11(b)
Supplementary registration.........................................202.6
System of records (Privacy Act).................................204.2(d)
Unserved household (satellite carrier).........................201.11(b)
Warning of Copyright for Software Rental.......................201.24(a)
Deposit accounts................................................201.6(b)
Deposit (Acquisition and) of unpublished television transmission 
programs..........................................................202.22
Deposit (mandatory) of published copies or phonorecords for 
Library of Congress...............................................202.19
Deposit, Nature of required.................................202.20(c)(1)
Deposit of copies for registration by category:
Architectural works......................................202.20(c)(2)(M)
Certain pictorial and graphic works.....................202.20(c)(2)(iv)
Commercial prints and labels.............................202.20(c)(2)(v)
Computer programs and databases embodied in machine-readable 
copies other than CD-ROM format........................202.20(c)(2)(vii)
Contributions to collective works.......................202.20(c)(2)(xv)
Generally................................................202.20(c)(2)(i)
Group registration of serials.........................202.20(c)(2)(D)(5)
Holograms..............................................202.20(c)(2)(iii)
Machine-readable copies of works other than computer programs, 
databases, and works fixed in a CD-ROM format.........202.20(c)(2)(viii)
Oversize deposits.....................................202.20(c)(2)(xiii)
Phonorecords...........................................202.20(c)(2)(xvi)
Pictorial advertising material.........................202.20(c)(2)(xiv)
Soundtracks............................................202.20(c)(2)(xii)
Tests...................................................202.20(c)(2)(vi)
Works fixed in a CD-ROM format.........................202.20(c)(2)(xix)
Works reproduced in or on sheetlike materials............202.20(c)(2)(x)
Works reproduced in or on three-dimensional objects.....202.20(c)(2)(xi)
Deposit of copies for registration (special relief)............202.20(d)
Deposit of copies under 17 U.S.C. 407, Presumption as to.......202.19(f)
Deposit of identifying material instead of copies.................202.21
Deposit of identifying material (Mask works).......................211.5
Deposit of oversize material..........................202.20(c)(2)(xiii)
Deposit requirements under 17 U.S.C. 407(a), Exemption from....202.19(c)
Deposits (copyright), Full-term retention of......................202.23
Deposits, Requests for copies of.............................201.1(c)(4)
Deposits (unpublished copyright), Transfer to Library of Congress 
of................................................................201.23
Designs, Protection of original designs of vessel hulls...212.1 to 212.6
Designation of the Mechanical Licensing Collective and Digital 
Licensee Coordinator..............................................210.10
Designation of agent to receive notification of claimed 
infringement............................................201.38(b)(1)(ii)

[[Page 811]]

Digital audio recording devices or media (Access to, and 
confidentiality of, Statements of Account, Auditor's Reports, and 
other verification information filed in the Copyright Office for) 
                                                                  201.29
Digital audio recording devices or media, Initial notice of 
distribution of...................................................201.27
Digital audio recording devices or media, Statements of account 
for...............................................................201.28
Digital phonorecord deliveries, compulsory license for making and 
distributing phonorecords.........................................201.18
Disruption of postal or other transportation or communications 
services...........................................................201.8
Documents pertaining to computer shareware, and public domain 
computer software, Recordation of.................................201.26
Documents, recordable...........................................201.4(c)
Documents, Recordation of..........................................201.4
Errors corrected by supplementary registration.....................202.6
Errors (minor) or omissions in registration.....................201.7(d)
Exemption from deposit requirements under 17 U.S.C. 407(a).....202.19(c)
Exemption to prohibition on circumvention of copyright protection 
systems for access control technologies...........................201.40
Extended renewal term, Notices of termination of transfers and 
licenses covering.................................................201.10
Fees, Generally for Copyright Office services......................201.3
Freedom of Information Act...........................................203
Licensing Division service fees.................................201.3(e)
Mask works......................................................201.3(c)
Payment and Refunds................................................201.6
Privacy Act........................................................204.6
Registration, recordation and related services.................201.3 (c)
Special services................................................201.3(d)
Vessel hull designs.........................................212.2, 212.5
Fees, Information on royalty payments or fees. See Royalty or Royalties.
Forms for recordation not provided by Copyright Office..........201.4(b)
Forms, Registration..........................................202.3(b)(2)
Forty-eight contiguous states, Recordation of certain contracts by 
cable systems located outside of..................................201.12
Freedom of Information Act (FOIA), Electronic Records, public inspection
and search................................................203.3 to 203.6
Freedom of Information Act (FOIA): Policies and Procedures......Part 203
Authority and functions............................................203.2
In general.........................................................203.1
Inspection and copying.............................................203.5
Methods of operation...............................................203.4
Organization [of the Copyright Office].............................203.3
Schedule of fees and methods of payment for services rendered.....203.11
Full-term retention of copyright deposits.........................202.23
GAP in termination provisions.....................................201.10
Graphic works, Pictorial, sculptural, and.........................202.10
Group registration options.........................................202.4
Holograms, Deposit of..................................202.20(c)(2)(iii)
Identifying material instead of copies, Deposit of................202.21
Identifying material for Mask works, Deposit of....................211.5
Indexes. See Records.
Individual defined for purposes of Privacy Act..................204.2(a)
Information (Freedom of) Act. See Freedom of Information Act (FOIA).
Information given by Copyright Office..............................201.2
Infringement, Advance notices of potential........................201.22
Initial notice of distribution of digital audio recording devices 
or media..........................................................201.27

[[Page 812]]

Inquiries by mail, etc.; addresses..............................201.1(b)
Inspection and copying of records...............................201.2(b)
Inspection and copying of records under the Freedom of Information 
Act (FOIA).........................................................203.5
Interest payments by cable systems on late-filed and underpaid 
royalties.........................................................201.17
Labels, Deposit of commercial prints and.................202.20(c)(2)(v)
Legal processes:
see Service of process
Complaints process on register or employee........................205.12
Complaints served on the Register pursuant to Sec.411(a)........205.13
Court notices to the Register pursuant to Sec.508...............205.15
Court requests to the Register pursuant to Sec.411(b)(2)........205.14
General provisions........................................205.1 to 205.5
Production of documents in proceedings in which the Office is not 
a party...........................................................205.22
Scope of testimony in proceedings in which the Office is not a 
party.............................................................205.23
Service of Sec.411(a) notice.....................................205.1
Service of process......................................205.11 to 205.13
Lending of software by nonprofit libraries, Warning of copyright 
for...............................................................201.24
Library of Congress, Deposit of published copies or phonorecords 
for...............................................................202.19
Library of Congress, Transfer of unpublished copyright deposits to
                                                                  201.23
Libraries and archives, Notice of normal commercial exploitation 
or availability at reasonable price...............................201.39
Libraries and archives, Warning of copyright for use by...........201.14
Libraries (Nonprofit), Warning of copyright for software lending 
by................................................................201.24
License (compulsory) for making/distributing phonorecords of 
nondramatic musical works, Notice of intention to obtain..........201.18
Licenses and transfers covering extended renewal term, Notices of 
termination of....................................................201.10
Licenses (compulsory) for secondary transmissions by cable 
systems, Statements of account covering...........................201.17
Licenses (statutory) for secondary transmissions for private home 
viewing, Satellite carrier statements of account covering.........201.11
Licensing Division; inquiries/address........................201.1(c)(5)
Machine-readable copies of works other than computer programs, 
databases, and works fixed in a CD-ROM format, Deposit of 
                                                      202.20(c)(2)(viii)
Machine-readable copies other than CD-ROM format, Computer 
programs and databases embodied in.....................202.20(c)(2)(vii)
Mail and other communications with Copyright Office, Proper 
address for........................................................201.1
Mail, disruption of................................................201.8
Mask Work Protection:
Deposit of identifying material....................................211.5
General provisions.................................................211.1
Mask work fees...........................................201.3(c), 211.3
Methods of affixation and placement of mask work notice............211.6
Recordation of documents pertaining to mask works..................211.2
Registration of claims of protection for mask works................211.4
Mandatory deposit copies.....................................201.1(c)(6)
Mandatory deposit of published electronic works available only 
online.................................................202.19 and 202.24
Material not subject to copyright..................................202.1
Media, Initial notice of distribution of digital audio recording 
devices or........................................................201.27
Motion pictures and their contents, Procedures for copyright 
restoration in accordance with NAFTA \1\ for certain...201.33(b), 202.12

[[Page 813]]

Motion pictures, Deposit of.............................202.20(c)(2)(ii)
Musical works (nondramatic), Notice of intention to obtain 
compulsory license for making/distributing phonorecords of........201.18
NAFTA, \1\ Procedures for copyright restoration of certain motion 
pictures and the contents in accordance with......................201.33
Noncommercial performances of nondramatic literary or musical 
works, Notices of objection to certain............................201.13
Nondramatic literary or musical works, Notices of objection to 
certain noncommercial performances of.............................201.13
Nondramatic musical works, Notice of intention to obtain 
compulsory license for making/distributing phonorecords of........201.18
Nondramatic musical works, Royalties and statements of account 
under compulsory license for making/distributing phonorecords of 
                                                        210.11 to 210.19
Nonprofit libraries, Warning of copyright for lending of software 
by................................................................201.24
Notice (Mask work), Method of affixation and placement of..........211.6
Notice of copyright................................................202.2
Notice (initial) of distribution of digital audio recording 
devices or media..................................................201.27
Notices of iIntent to eEnforce a restored copyright, Correction
notices, Procedures for filing....................................201.34
Notices of iIntent to eEnforce a restored copyright under the 
Uruguay Round Agreements Act, Procedures for filing...............201.33
Notice of intention to obtain compulsory license for making/
distributing phonorecords.........................................201.18
Notices (advance) of potential infringement.......................201.22
Notices of objection to certain noncommercial performances of 
nondramatic literary or musical works.............................201.13
Notices of termination of transfers and licenses covering extended 
renewal term......................................................201.10
Objection (Notice of) to certain noncommercial performances of 
nondramatic literary or musical works.............................201.13
Off-the-air copying of unpublished television transmission 
programs.......................................................202.22(c)
Online registration of claims to copyright..............202.3 and 202.20
Oversize deposits.....................................202.20(c)(2)(xiii)
Performances of nondramatic literary or musical works, Notices of 
objection to certain noncommercial................................201.13
Phonorecords, Deposit for copyright registration..................202.20
Phonorecords for Library of Congress, Deposit of published........202.19
Phonorecords of nondramatic musical works, Notice of intention to 
obtain compulsory license for making/distributing.................201.18
Phonorecords of nondramatic musical works, Royalties and 
statements of account under compulsory license for making/
distributing............................................210.11 to 210.19
Photographs, Group Registration of......................202.4(c)(2)(h-i)
Pictorial advertising material, Deposit of.............202.20(c)(2)(xiv)
Pictorial, graphic, and sculptural works..........................202.10
Preregistration of certain unpublished copyright claims...........202.16
Presumption as to deposit of copies under 17 U.S.C. 407........202.19(f)
Prints (commercial) and labels, Deposit of...............202.20(c)(2)(v)
Privacy Act: Policies and Procedures............................Part 204
Appeal of refusal to correct or amend an individual's record.......204.8
Definitions........................................................204.2
Fees...............................................................204.6
General policy.....................................................204.3
Judicial review....................................................204.9
Procedure for notification of the existence of records pertaining 
to individuals.....................................................204.4
Procedures for requesting access to records........................204.5
Request for correction or amendment of records.....................204.7

[[Page 814]]

Private home viewing, Satellite carrier statements of account 
covering statutory licenses for secondary transmissions for.......201.11
Procedures for copyright restoration in U.S.A. of certain motion 
pictures and their contents in accordance with NAFTA \1\..........201.31
Program, registration......202.5, 202.12, 202.19, 202.20, 202.21, 203.3, 
                                                                   211.5
Prohibition on Circumvention of Copyright Protection Systems for 
Access Control Technologies....................................201.40(b)
Public domain computer software, Recordation of documents 
pertaining to donation of.........................................201.26
Published copies or phonorecords, Deposit (mandatory) for Library 
of Congress.......................................................202.19
Published electronic works available only online, Mandatory 
deposit of.............................................202.19 and 202.24
Reconsideration procedure..........................................202.5
Record of individual under Privacy Act, Appeal of refusal to 
correct or amend...................................................204.8
Recordability of documents (general requirements)...............201.4(c)
Recordation, Date of............................................201.4(e)
Recordation fees...................................................201.3
Recordation forms not necessary.................................201.4(b)
Recordation of cable contracts for systems outside the 48 
contiguous states.................................................201.12
Recordation of transfers and other documents.......................201.4
Recording devices (digital audio) or media, Initial notice of 
distribution of...................................................201.27
Recording devices (digital audio) or media, Statements of account 
for...............................................................201.28
Records and indexes, Inspection and copying of..................201.2(b)
Records; filings; addresses for requests...........................201.1
Records, Request under Privacy Act for amendment or correction of 
                                                                   204.7
Records (System of) under Privacy Act...........................204.2(d)
Records under Freedom of Information Act (FOIA), Inspection and 
copying of.........................................................203.5
Reference and Bibliography Section as address for search requests 
                                                                   201.1
Refund of Copyright Office fees....................................201.6
Refusal to correct or amend an individual's record, Appeal of......204.8
Registration (basic), Effect of supplementary registration on......202.6
Registration (copyright), Deposit of copies and phonorecords for 
                                                                  202.20
Registration, Effective date of....................................202.4
Registration of claims to copyright, Group registration options....202.3
Registration of copyright..........................................202.3
Registration of group of related works.......................202.3(b)(5)
Automated databases..........................................202.3(b)(5)
Contributions to periodicals....................................202.4(g)
Daily newsletters...............................................202.4(e)
Daily newspapers................................................202.4(f)
Photographs...................................................202.4(h-i)
Serials......................................................202.3(b)(v)
Registration of original designs of vessel hulls..........212.1 to 212.6
Registration, one registration per work......................202.3(b)(4)
Registration Program.......202.5, 202.12, 202.19, 202.20, 202.21, 203.3, 
                                                                   211.5
Registrations and recordations, Requests for searches of.....201.1(c)(4)
Registrations (completed), Cancellation of.........................201.7
Registrations (supplementary)......................................202.6
Registry (Visual Arts)............................................201.25
Relief (Special)....................................202.19(e), 202.20(d)
Renewal term (extended), Notices of termination of transfers and 
licenses covering.................................................201.10

[[Page 815]]

Renewals..........................................................202.17
Restoration of copyright for certain motion pictures and their 
contents in accordance with NAFTA, \1\ Procedures for.............201.31
Restoration of copyright under the Uruguay Round Agreement Act...201.33, 
                                                                  202.12
Restored copyrights, Registration of..............................202.12
Retention (Full-term) of copyright deposits.......................202.23
Royalties and statements of account under compulsory license for 
making/distributing phonorecords of nondramatic musical works.....210.11 
                                                               to 210.19
Royalties, Electronic payment of...............201.11, 201.17 and 201.28
Satellite carrier statements of account and royalty fees covering 
licenses for secondary transmissions for private home viewing.....201.11
Sculptural works (Pictorial, graphic, and)........................202.10
Search of records, Requests for..............................201.1(c)(4)
Second transmissions by cable systems, Statements of Account 
covering compulsory licenses for..................................201.17
Serials, Group registration of..............................202.3(b)(v),
Service of process
See Legal processes......................................205.1 to 205.23
Shareware (computer), Recordation of documents pertaining to......201.26
Software lending by nonprofit libraries, Warning of copyright for 
                                                                  201.24
Software (public domain computer), Recordation of documents 
pertaining to donation of.........................................201.26
Sound recordings, Public performance of, Definition of a service 
                                                            201.35(b)(2)
Sound recordings, Recordkeeping for use of..............201.35 to 201.37
Soundtracks, Deposit of................................202.20(c)(2)(xii)
Special relief (deposit of copies for registration)............202.20(d)
Special relief (mandatory deposit under 17 U.S.C. 407).........202.19(e)
Special Services (Copyright Office), Fees for...................201.3(d)
Statements of account (and royalties) under compulsory license for 
making/distributing phonorecords of nondramatic musical works.....210.11 
                                                               to 210.19
Statements of account and royalty fees (satellite carrier) 
covering licenses for secondary transmissions for private home 
viewing...........................................................201.11
Statements of Account, Auditor's Reports, etc. filed in Copyright 
Office for digital audio recording devices or media, Access to and 
confidentiality of................................................201.29
Statements of account covering compulsory licenses for secondary 
transmissions by cable systems....................................201.17
Statements of account for digital audio recording devices or media
                                                                  201.28
Statements of Account (In general)...201.11, 201.17, 201.28, 201.29, and 
                                                        210.11 to 210.19
States (48 contiguous), Recordation of cable contracts for systems 
outside of........................................................201.12
Statutory license, Notice and recordkeeping for use of sound 
recordings..............................................201.35 to 201.37
Statutory licenses for secondary transmissions for private home 
viewing, Satellite carrier statements of account and royalty fees 
covering..........................................................201.11
System of records under Privacy Act.............................204.2(d)
Television transmission programs (unpublished), Acquisition and 
deposit of........................................................202.22
Termination of transfers and licenses covering extended renewal 
term, Notices of..................................................201.10
Termination provisions, in GAP....................................201.10
Tests, Deposit of.......................................202.20(c)(2)(vi)
Transfer of unpublished copyright deposits to Library of Congress 
                                                                  201.23
Transfers and licenses covering extended renewal term, Notices of 
termination of....................................................201.10
Transfers and other documents, Recordation of......................201.4

[[Page 816]]

Transmission programs (television), Acquisition and deposit of 
unpublished.......................................................202.22
Unpublished copyright deposits, Transfer to Library of Congress of
                                                                  201.23
Unpublished television transmission programs, Acquisition and 
deposit of........................................................202.22
Use (routine) under Privacy Act.................................204.2(e)
Verification information filed in Copyright Office for digital 
audio recording devices or media, Access to and confidentiality of
                                                                  201.29
Vessel Hulls, Protection of original designs..............212.1 to 212.6
Visual Arts Registry..............................................201.25
Visually perceptible and machine-readable material other than a 
CD-ROM format, Deposit of copies containing both........202.20(c)(2)(ix)
Warning of copyright for software lending by nonprofit libraries 
                                                                  201.24
Warnings (display) of copyright for use by certain libraries and 
archives..........................................................201.14
Works:
Architectural.....................................................202.11
Nondramatic literary..............................................201.13
Nondramatic musical.................201.13, 201.18, and 210.11 to 210.19
Pictorial, graphic, and sculptural................................202.10
Works consisting of sounds, images, or both, Advance notices of 
potential infringement of.........................................201.22
Works fixed in CD-ROM format, Deposit of...............202.20(c)(2)(xix)
Works reproduced in or on sheetlike materials, Deposit of 
                                                         202.20(c)(2)(x)
Works reproduced in or on three-dimensional objects, Deposit of 
                                                        202.20(c)(2)(xi)
Xerographic or photographic copies on good quality paper are 
acceptable deposits for archival purposes in connection with the 
registration of claims to copyright in architectural works 
                                                   202.19(d)(2)(viii)(B)

[[Page 817]]



        CHAPTER III--COPYRIGHT ROYALTY BOARD, LIBRARY OF CONGRESS




  --------------------------------------------------------------------

                    SUBCHAPTER A--GENERAL PROVISIONS
Part                                                               Page
300            [Reserved]

301             Organization................................         819
302             Public access to records....................         819
303             General administrative provisions...........         819
       SUBCHAPTER B--COPYRIGHT ROYALTY JUDGES RULES AND PROCEDURES
350             Scope.......................................         827
351             Proceedings.................................         827
352             Determinations..............................         833
353             Rehearing...................................         834
354             Submissions to the Register of Copyrights...         835
355             Administrative assessment proceedings.......         836
               SUBCHAPTER C--SUBMISSION OF ROYALTY CLAIMS
360             Filing of claims to royalty fees collected 
                    under compulsory license................         845
   SUBCHAPTER D--NOTICE AND RECORDKEEPING REQUIREMENTS FOR STATUTORY 
                                LICENSES
370             Notice and recordkeeping requirements for 
                    statutory licenses......................         850
          SUBCHAPTER E--RATES AND TERMS FOR STATUTORY LICENSES
380             Rates and terms for transmissions by 
                    eligible nonsubscription services and 
                    new subscription services and for the 
                    making of ephemeral reproductions to 
                    facilitate those transmissions..........         859
381             Use of certain copyrighted works in 
                    connection with noncommercial 
                    educational broadcasting................         871

[[Page 818]]

382             Rates and terms for transmissions of sound 
                    recordings by preexisting subscription 
                    services and preexisting satellite 
                    digital audio radio services and for the 
                    making of ephemeral reproductions to 
                    facilitate those transmissions..........         881
383             Rates and terms for subscription 
                    transmissions and the reproduction of 
                    ephemeral recordings by certain new 
                    subscription services...................         888
384             Rates and terms for the making of ephemeral 
                    recordings by business establishment 
                    services................................         890
385             Rates and terms for use of nondramatic 
                    musical works in the making and 
                    distributing of physical and digital 
                    phonorecords............................         896
386             Adjustment of royalty fees for secondary 
                    transmissions by satellite carriers.....         906
387             Adjustment of royalty fee for cable 
                    compulsory license......................         907
388             Adjustment of royalty rate for coin-operated 
                    phonorecord players.....................         910
389            [Reserved]

390             Amounts of and terms for administrative 
                    assessments to fund mechanical licensing 
                    collective..............................         910
391-399        [Reserved]

[[Page 819]]



                     SUBCHAPTER A_GENERAL PROVISIONS



                           PART 300 [RESERVED]



PART 301_ORGANIZATION--Table of Contents



Sec.
301.1 Copyright Royalty Board.
301.2 Official addresses.

    Authority: 17 U.S.C. 801.

    Source: 70 FR 30905, May 31, 2005, unless otherwise noted.



Sec.301.1  Copyright Royalty Board.

    The Copyright Royalty Board is the institutional entity in the 
Library of Congress that will house the Copyright Royalty Judges, 
appointed pursuant to 17 U.S.C. 801(a), and their staff.



Sec.301.2  Official addresses.

    All claims, pleadings, and general correspondence intended for the 
Copyright Royalty Board and not submitted by electronic means through 
the electronic filing system (``eCRB'') must be addressed as follows:
    (a) If sent by mail (including overnight delivery using United 
States Postal Service Express Mail), the envelope should be addressed 
to: Copyright Royalty Board, P.O. Box 70977, Southwest Station, 
Washington, DC 20024-0977.
    (b) If hand-delivered by a private party, the envelope must be 
brought to the Copyright Office Public Information Office, Room LM-401 
in the James Madison Memorial Building, and be addressed as follows: 
Copyright Royalty Board, Library of Congress, James Madison Memorial 
Building, 101 Independence Avenue SE., Washington, DC 20559-6000.
    (c) If hand-delivered by a commercial courier (excluding Federal 
Express, United Parcel Service and similar courier services), the 
envelope must be delivered to the Congressional Courier Acceptance Site 
(CCAS) located at Second and D Street NE., Washington, DC, addressed as 
follows: Copyright Royalty Board, Library of Congress, James Madison 
Memorial Building, 101 Independence Avenue SE., Washington, DC 20559-
6000.
    (d) Subject to paragraph (f) of this section, if sent by electronic 
mail, to [email protected].
    (e) Correspondence and filings for the Copyright Royalty Board may 
not be delivered by means of:
    (1) Overnight delivery services such as Federal Express, United 
Parcel Service, etc.; or
    (2) Fax.
    (f) General correspondence for the Copyright Royalty Board may be 
sent by electronic mail. Claimants or Parties must not send any claims, 
pleadings, or other filings to the Copyright Royalty Board by electronic 
mail without specific, advance authorization of the Copyright Royalty 
Judges.

[82 FR 18570, Apr. 20, 2017]



PART 302_PUBLIC ACCESS TO RECORDS--Table of Contents



Sec.
302.1 Public records and access.
302.2 Fees.

    Authority: 5 U.S.C. 522.

    Source: 71 FR 53326, Sept. 11, 2006, unless otherwise noted.



Sec.302.1  Public records and access.

    (a) Inspection. Records of proceedings before the Board will be 
available for public inspection at the Copyright Royalty Board offices.
    (b) Requests. Requests for access to records must be directed to the 
Copyright Royalty Board. No requests for information or access to 
records shall be directed to or accepted by a Copyright Royalty Judge. 
Access to records is only available by appointment.



Sec.302.2  Fees.

    For services rendered in connection with document location, 
reproduction, etc., fees shall apply in accordance with Sec.201.3 of 
this title.



PART 303_GENERAL ADMINISTRATIVE PROVISIONS--Table of Contents



Sec.
303.1 [Reserved]

[[Page 820]]

303.2 Representation.
303.3 Documents: Format and length.
303.4 Content of motion and responsive pleadings.
303.5 Electronic filing system (eCRB).
303.6 Filing and delivery.
303.7 Time.
303.8 Construction and waiver.

    Authority: 17 U.S.C. 803.

    Source: 84 FR 32304, July 8, 2019, unless otherwise noted.



Sec.303.1  [Reserved]



Sec.303.2  Representation.

    Individual parties in proceedings before the Judges may represent 
themselves or be represented by an attorney. All other parties must be 
represented by an attorney. Cf. Rule 49(c)(11) of the Rules of the 
District of Columbia Court of Appeals. The appearance of an attorney on 
behalf of any party constitutes a representation that the attorney is a 
member of the bar, in one or more states, in good standing.



Sec.303.3  Documents: Format and length.

    (a) Format--(1) Caption and description. Parties filing pleadings 
and documents in a proceeding before the Copyright Royalty Judges must 
include on the first page of each filing a caption that identifies the 
proceeding by proceeding type and docket number, and a heading under the 
caption describing the nature of the document. In addition, to the 
extent technologically feasible using software available to the general 
public, Parties must include a footer on each page after the page 
bearing the caption that includes the name and posture of the filing 
party, e.g., [Party's] Motion, [Party's] Response in Opposition, etc.
    (2) Page layout. Parties must submit documents that are typed 
(double spaced) using a serif typeface (e.g., Times New Roman) no 
smaller than 12 points for text or 10 points for footnotes and formatted 
for 8 \1/2\[sec] by 11[sec] pages with no less than 1 inch margins. 
Parties must assure that, to the extent technologically feasible using 
software available to the general public, any exhibit or attachment to 
documents reflects the docket number of the proceeding in which it is 
filed and that all pages are numbered appropriately. Any party 
submitting a document to the Copyright Royalty Board in paper format 
must submit it unfolded and produced on opaque 8 \1/2\ by 11 inch white 
paper using clear black text, and color to the extent the document uses 
color to convey information or enhance readability.
    (3) Binding or securing. Parties submitting any paper document to 
the Copyright Royalty Board must bind or secure the document in a manner 
that will prevent pages from becoming separated from the document. For 
example, acceptable forms of binding or securing include: Ring binders; 
spiral binding; comb binding; and for documents of fifty pages or fewer, 
a binder clip or single staple in the top left corner of the document. 
Rubber bands and paper clips are not acceptable means of securing a 
document.
    (b) Additional format requirements for electronic documents--(1) In 
general. Parties filing documents electronically through eCRB must 
follow the requirements of paragraphs (a)(1) and (2) of this section and 
the additional requirements in paragraphs (b)(2) through (10) of this 
section.
    (2) Pleadings; file type. Parties must file all pleadings, such as 
motions, responses, replies, briefs, notices, declarations of counsel, 
and memoranda, in Portable Document Format (PDF).
    (3) Proposed orders; file type. Parties filing a proposed order as 
required by Sec.303.4 must prepare the proposed order as a separate 
Word document and submit it together with the main pleading.
    (4) Exhibits and attachments; file types. Parties must convert 
electronically (not scan) to PDF format all exhibits or attachments that 
are in electronic form, with the exception of proposed orders and any 
exhibits or attachments in electronic form that cannot be converted into 
a usable PDF file (such as audio and video files, files that contain 
text or images that would not be sufficiently legible after conversion, 
or spreadsheets that contain too many columns to be displayed legibly on 
an 8 \1/2\[sec] x 11[sec] page). Participants must provide electronic 
copies in their native electronic format of any exhibits or attachments 
that cannot be converted into a usable PDF file. In addition, 
participants may provide copies of other

[[Page 821]]

electronic files in their native format, in addition to PDF versions of 
those files, if doing so is likely to assist the Judges in perceiving 
the content of those files.
    (5) No scanned pleadings. Parties must convert every filed document 
directly to PDF format (using ``print to pdf'' or ``save to pdf''), 
rather than submitting a scanned PDF image. The Copyright Royalty Board 
will NOT accept scanned documents, except in the case of specific 
exhibits or attachments that are available to the filing party only in 
paper form.
    (6) Scanned exhibits. Parties must scan exhibits or other documents 
that are only available in paper form at no less than 300 dpi. All 
exhibits must be searchable. Parties must scan in color any exhibit that 
uses color to convey information or enhance readability.
    (7) Bookmarks. Parties must include in all electronic documents 
appropriate electronic bookmarks to designate the tabs and/or tables of 
contents that would appear in a paper version of the same document.
    (8) Page rotation. Parties must ensure that all pages in electronic 
documents are right side up, regardless of whether they are formatted 
for portrait or landscape printing.
    (9) Signature. The signature line of an electronic pleading must 
contain ``/s/'' followed by the signer's typed name. The name on the 
signature line must match the name of the user logged into eCRB to file 
the document.
    (10) File size. The eCRB system will not accept PDF or Word files 
that exceed 128 MB, or files in any other format that exceed 500 MB. 
Parties may divide excessively large files into multiple parts if 
necessary to conform to this limitation.
    (c) Length of submissions. Whether filing in paper or 
electronically, parties must adhere to the following space limitations 
or such other space limitations as set forth in subchapter B or as the 
Copyright Royalty Judges may direct by order. Any party seeking an 
enlargement of the applicable page limit must make the request by a 
motion to the Copyright Royalty Judges filed no fewer than three days 
prior to the applicable filing deadline. Any order granting an 
enlargement of the page limit for a motion or response shall be deemed 
to grant the same enlargement of the page limit for a response or reply, 
respectively.
    (1) Motions. Motions must not exceed 20 pages and must not exceed 
5000 words (exclusive of cover pages, tables of contents, tables of 
authorities, signature blocks, exhibits, and proof of delivery).
    (2) Responses. Responses in support of or opposition to motions must 
not exceed 20 pages and must not exceed 5000 words (exclusive of cover 
pages, tables of contents, tables of authorities, signature blocks, 
exhibits, and proof of delivery).
    (3) Replies. Replies in support of motions must not exceed 10 pages 
and must not exceed 2500 words (exclusive of cover pages, tables of 
contents, tables of authorities, signature blocks, exhibits, and proof 
of delivery).



Sec.303.4  Content of motion and responsive pleadings.

    A motion, responsive pleading, or reply must, at a minimum, state 
concisely the specific relief the party seeks from the Copyright Royalty 
Judges, and the legal, factual, and evidentiary basis for granting that 
relief (or denying the relief sought by the moving party). A motion, or 
a responsive pleading that seeks alternative relief, must be accompanied 
by a proposed order.



Sec.303.5  Electronic filing system (eCRB).

    (a) Documents to be filed by electronic means. Except as otherwise 
provided in this chapter, all attorneys must file documents with the 
Copyright Royalty Board through eCRB. Pro se parties may file documents 
with the Copyright Royalty Board through eCRB, subject to Sec.
303.4(c)(2).
    (b) Official record. The electronic version of a document filed 
through and stored in eCRB will be the official record of the Copyright 
Royalty Board.
    (c) Obtaining an electronic filing password--(1) Attorneys. An 
attorney must register for an eCRB account and create an eCRB password 
in order to file documents or to receive copies of orders and 
determinations of the Copyright Royalty Judges. The attorney's

[[Page 822]]

eCRB account and password will be activated upon approval by the 
Copyright Royalty Board of the attorney's completed online application 
form available on the eCRB website.
    (2) Attorney designees. A person authorized by an attorney to file 
documents on behalf of that attorney (an attorney designee) must 
register for an eCRB account and create an eCRB password in order to 
file documents on the attorney's behalf. The attorney designee's eCRB 
account and password will be activated upon approval by the Copyright 
Royalty Board of the attorney designee's completed online registration 
form available on the eCRB website.
    (3) Pro se parties. A party not represented by an attorney (a pro se 
party) may register for an eCRB account and create an eCRB password. The 
pro se party's eCRB account and password will be activated if the 
Copyright Royalty Judges, in their discretion, approve the pro se 
party's completed online application form available on the eCRB website. 
Once a pro se party's application has been approved, that party must 
make all subsequent filings by electronic means through eCRB.
    (4) Claimants. Any person desiring to file a claim with the 
Copyright Royalty Board for copyright royalties must register for an 
eCRB account and create an eCRB password for the limited purpose of 
filing claims by completing the registration form available on the eCRB 
website.
    (d) Use of an eCRB password. An eCRB password may be used only by 
the person to whom it is assigned. The person to whom an eCRB password 
is assigned is responsible for any document filed using that password, 
except that designating attorneys are responsible for any document filed 
on the attorney's behalf by an attorney designee.
    (e) Signature. The use of an eCRB password to log in and submit 
documents creates an electronic record. The password operates and serves 
as the signature of the person to whom the password is assigned for all 
purposes under this chapter III, except that the password of an attorney 
designee serves as the signature of the designating attorney on whose 
behalf the document is filed.
    (f) Originals of sworn documents. The electronic filing of a 
document that contains a sworn declaration, verification, certificate, 
statement, oath, or affidavit certifies that the original signed 
document is in the possession of the attorney or pro se party 
responsible for the filing and that it is available for review upon 
request by a party or by the Copyright Royalty Judges. The filer must 
file through eCRB a scanned copy of the signature page of the sworn 
document together with the document itself.
    (g) Consent to delivery by electronic means. An attorney or pro se 
party who obtains an eCRB password consents to electronic delivery of 
all documents, subsequent to the petition to participate, that are filed 
by electronic means through eCRB. Attorneys and pro se parties are 
responsible for monitoring their email accounts and, upon receipt of 
notice of an electronic filing, for retrieving the noticed filing. 
Parties and their counsel bear the responsibility to keep the contact 
information in their eCRB profiles current.
    (h) Accuracy of docket entry. A person filing a document by 
electronic means, or, if the filer is an attorney designee, the 
designating attorney, is responsible for ensuring the accuracy of the 
official docket entry generated by the eCRB system, including proper 
identification of the proceeding, the filing party, and the description 
of the document. The Copyright Royalty Board will maintain on its 
website (www.loc.gov/crb) appropriate guidance regarding naming 
protocols for eCRB filers.
    (i) Documents subject to a protective order. A person filing a 
document by electronic means must ensure, at the time of filing, that 
any documents subject to a protective order are identified to the eCRB 
system as ``restricted'' documents. This requirement is in addition to 
any requirements detailed in the applicable protective order. Failure to 
identify documents as ``restricted'' to the eCRB system may result in 
inadvertent publication of sensitive, protected material.

[[Page 823]]

    (j) Exceptions to requirement of electronic filing--(1) Certain 
exhibits or attachments. Parties may file in paper form any exhibits or 
attachments that are not in a format that readily permits electronic 
filing, such as oversized documents; or are illegible when scanned into 
electronic format. Parties filing paper documents or things pursuant to 
this paragraph must deliver legible or usable copies of the documents or 
things in accordance with Sec.303.6(a)(2) and must file electronically 
a notice of filing that includes a certificate of delivery.
    (2) Pro se parties. A pro se party may file documents in paper form 
and must deliver and accept delivery of documents in paper form, unless 
the pro se party has obtained an eCRB password.
    (k) Privacy requirements. (1) Unless otherwise instructed by the 
Copyright Royalty Judges, parties must exclude or redact from all 
electronically filed documents, whether designated ``restricted'' or 
not:
    (i) Social Security numbers. If an individual's Social Security 
number must be included in a filed document for evidentiary reasons, the 
filer must use only the last four digits of that number.
    (ii) Names of minor children. If a minor child must be mentioned in 
a document for evidentiary reasons, the filer must use only the initials 
of that child.
    (iii) Dates of birth. If an individual's date of birth must be 
included in a pleading for evidentiary reasons, the filer must use only 
the year of birth.
    (iv) Financial account numbers. If a financial account number must 
be included in a pleading for evidentiary reasons, the filer must use 
only the last four digits of the account identifier.
    (2) Protection of personally identifiable information. If any 
information identified in paragraph (k)(1) of this section must be 
included in a filed document, the filing party must treat it as 
confidential information subject to the applicable protective order. In 
addition, parties may treat as confidential, and subject to the 
applicable protective order, other personal information that is not 
material to the proceeding.
    (l) Incorrectly filed documents. (1) The Copyright Royalty Board may 
direct an eCRB filer to re-file a document that has been incorrectly 
filed, or to correct an erroneous or inaccurate docket entry.
    (2) If an attorney or a pro se party who has been issued an eCRB 
password inadvertently presents a document for filing in paper form, the 
Copyright Royalty Board may direct that person to file the document 
electronically. The document will be deemed filed on the date it was 
first presented for filing if, no later than the next business day after 
being so directed by the Copyright Royalty Board, the attorney or pro se 
participant files the document electronically. If the filer fails to 
make the electronic filing on the next business day, the document will 
be deemed filed on the date of the electronic filing.
    (m) Technical difficulties. (1) A filer encountering technical 
problems with an eCRB filing must immediately notify the Copyright 
Royalty Board of the problem either by email, or by telephone, followed 
promptly by written confirmation.
    (2) If a filer is unable, due to technical problems, to make a 
filing with eCRB by an applicable deadline, and makes the notification 
required by paragraph (m)(1) of this section, the filer shall use 
electronic mail to make the filing with the Copyright Royalty Board and 
deliver the filing to the other parties to the proceeding. The filing 
shall be considered to have been made at the time it was filed by 
electronic mail. The Copyright Royalty Judges may direct the filer to 
refile the document through eCRB when the technical problem has been 
resolved, but the document shall retain its original filing date.
    (3) The inability to complete an electronic filing because of 
technical problems arising in the eCRB system may constitute ``good 
cause'' (as used in Sec.303.6(b)(4)) for an order enlarging time or 
excusable neglect for the failure to act within the specified time, 
provided the filer complies with paragraph (m)(1) of this section. This 
section does not provide authority to extend statutory time limits.

[86 FR 9462, Feb. 16, 2021]

[[Page 824]]



Sec.303.6  Filing and delivery.

    (a) Filing of pleadings--(1) Electronic filing through eCRB. Except 
as described in Sec.303.5(l)(2), any document filed by electronic 
means through eCRB in accordance with Sec.303.5 constitutes filing for 
all purposes under this chapter, effective as of the date and time the 
document is received and timestamped by eCRB.
    (2) All other filings. For all filings not submitted by electronic 
means through eCRB, the submitting party must deliver an original, five 
paper copies, and one electronic copy in Portable Document Format (PDF) 
on an optical data storage medium such as a CD or DVD, a flash memory 
device, or an external hard disk drive to the Copyright Royalty Board in 
accordance with the provisions described in Sec.301.2 of this chapter. 
In no case will the Copyright Royalty Board accept any document by 
facsimile transmission or electronic mail, except with prior express 
authorization of the Copyright Royalty Judges.
    (b) Exhibits. Filers must include all exhibits with the pleadings 
they support. In the case of exhibits not submitted by electronic means 
through eCRB, whose bulk or whose cost of reproduction would 
unnecessarily encumber the record or burden the party, the Copyright 
Royalty Judges will consider a motion, made in advance of the filing, to 
reduce the number of required copies. See Sec.303.5(j).
    (c) English language translations. Filers must accompany each 
submission that is in a language other than English with an English-
language translation, duly verified under oath to be a true translation. 
Any other party to the proceeding may, in response, submit its own 
English-language translation, similarly verified, so long as the 
responding party's translation proves a substantive, relevant difference 
in the document.
    (d) Affidavits. The testimony of each witness must be accompanied by 
an affidavit or a declaration made pursuant to 28 U.S.C. 1746 supporting 
the testimony. See Sec.303.5(f).
    (e) Subscription--(1) Parties represented by counsel. Subject to 
Sec.303.5(e), all documents filed electronically by counsel must be 
signed by at least one attorney of record and must list the attorney's 
full name, mailing address, email address (if any), telephone number, 
and a state bar identification number. See Sec.303.5(e). Submissions 
signed by an attorney for a party need not be verified or accompanied by 
an affidavit. The signature of an attorney constitutes certification 
that the contents of the document are true and correct, to the best of 
the signer's knowledge, information, and belief, formed after an inquiry 
reasonable under the circumstances and:
    (i) The document is not being presented for any improper purpose, 
such as to harass or to cause unnecessary delay or needless increase in 
the cost of litigation;
    (ii) The claims, defenses, and other legal contentions therein are 
warranted by existing law or by a nonfrivolous argument for the 
extension, modification, or reversal of existing law or the 
establishment of new law;
    (iii) The allegations and other factual contentions have evidentiary 
support or, if specifically so identified, are likely to have 
evidentiary support after a reasonable opportunity for further 
investigation or discovery; and
    (iv) The denials of factual contentions are warranted by the 
evidence or, if specifically so identified, are reasonably based on a 
lack of information or belief.
    (2) Parties representing themselves. The original of all paper 
documents filed by a party not represented by counsel must be signed by 
that party and list that party's full name, mailing address, email 
address (if any), and telephone number. The party's signature will 
constitute the party's certification that, to the best of his or her 
knowledge and belief, there is good ground to support the document, and 
that it has not been interposed for purposes of delay.
    (f) Responses and replies. Responses in support of or opposition to 
motions must be filed within ten days of the filing of the motion. 
Replies to responses must be filed within five days of the filing of the 
response.
    (g) Participant list. The Copyright Royalty Judges will compile and 
distribute to those parties who have filed

[[Page 825]]

a valid petition to participate the official participant list for each 
proceeding, including each participant's mailing address, email address, 
and whether the participant is using the eCRB system for filing and 
receipt of documents in the proceeding. For all paper filings, a party 
must deliver a copy of the document to counsel for all other parties 
identified in the participant list, or, if the party is unrepresented by 
counsel, to the party itself. Parties must notify the Copyright Royalty 
Judges and all parties of any change in the name or address at which 
they will accept delivery and must update their eCRB profiles 
accordingly.
    (h) Delivery method and proof of delivery--(1) Electronic filings 
through eCRB. Electronic filing of any document through eCRB operates to 
effect delivery of the document to counsel or pro se participants who 
have obtained eCRB passwords, and the automatic notice of filing sent by 
eCRB to the filer constitutes proof of delivery. Counsel or parties who 
have not yet obtained eCRB passwords must deliver and receive delivery 
as provided in paragraph (h)(2) of this section. Parties making 
electronic filings are responsible for assuring delivery of all filed 
documents to parties that do not use the eCRB system.
    (2) Other filings. During the course of a proceeding, each party 
must deliver all documents that they have filed other than through eCRB 
to the other parties or their counsel by means no slower than overnight 
express mail sent on the same day they file the documents, or by such 
other means as the parties may agree in writing among themselves. 
Parties must include a proof of delivery with any document delivered in 
accordance with this paragraph.



Sec.303.7  Time.

    (a) Computation. To compute the due date for filing and delivering 
any document or performing any other act directed by an order of the 
Copyright Royalty Judges or the rules of the Copyright Royalty Board:
    (1) Exclude the day of the act, event, or default that begins the 
period.
    (2) Exclude intermediate Saturdays, Sundays, and Federal holidays 
when the period is less than 11 days, unless computation of the due date 
is stated in calendar days.
    (3) Include the last day of the period, unless it is a Saturday, 
Sunday, Federal holiday, or a day on which the weather or other 
conditions render the Copyright Royalty Board's office inaccessible.
    (4) As used in this rule, ``Federal holiday'' means the date 
designated for the observance of New Year's Day, Inauguration Day, 
Birthday of Martin Luther King, Jr., George Washington's Birthday, 
Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans Day, 
Thanksgiving Day, Christmas Day, and any other day declared a Federal 
holiday by the President or the Congress.
    (5) Except as otherwise described in this Chapter or in an order by 
the Copyright Royalty Judges, the Copyright Royalty Board will consider 
documents to be timely filed only if:
    (i) They are filed electronically through eCRB and time-stamped by 
11:59:59 p.m. Eastern time on the due date;
    (ii) They are sent by U.S. mail, are addressed in accordance with 
Sec.301.2(a) of this chapter, have sufficient postage, and bear a USPS 
postmark on or before the due date;
    (iii) They are hand-delivered by private party to the Copyright 
Office Public Information Office in accordance with Sec.301.2(b) of 
this chapter and received by 5:00 p.m. Eastern time on the due date; or
    (iv) They are hand-delivered by commercial courier to the 
Congressional Courier Acceptance Site in accordance with Sec.301.2(c) 
of this chapter and received by 4:00 p.m. Eastern time on the due date.
    (6) Any document sent by mail and dated only with a business postal 
meter will be considered filed on the date it is actually received by 
the Library of Congress.
    (b) Extensions. A party seeking an extension must do so by written 
motion. Prior to filing such a motion, a party must attempt to obtain 
consent from the other parties to the proceeding. An extension motion 
must state:
    (1) The date on which the action or submission is due;

[[Page 826]]

    (2) The length of the extension sought;
    (3) The date on which the action or submission would be due if the 
extension were allowed;
    (4) The reason or reasons why there is good cause for the delay;
    (5) The justification for the amount of additional time being 
sought; and
    (6) The attempts that have been made to obtain consent from the 
other parties to the proceeding and the position of the other parties on 
the motion.



Sec.303.8  Construction and waiver.

    The regulations of the Copyright Royalty Judges in this chapter are 
intended to provide efficient and just administrative proceedings and 
will be construed to advance these purposes. For purposes of an 
individual proceeding, the provisions of subchapters A and B may be 
suspended or waived, in whole or in part, upon a showing of good cause, 
to the extent allowable by law.

[[Page 827]]



       SUBCHAPTER B_COPYRIGHT ROYALTY JUDGES RULES AND PROCEDURES





PART 350_SCOPE--Table of Contents



Sec.
350.1 Scope.
350.2-350.4 [Reserved]

    Authority: 17 U.S.C. 803.

    Source: 84 FR 32308, July 8, 2019, unless otherwise noted.



Sec.350.1  Scope.

    This subchapter governs procedures applicable to proceedings before 
the Copyright Royalty Judges in making determinations and adjustments 
pursuant to 17 U.S.C. 115(d) and 801(b). The procedures set forth in 
part 355 of this subchapter shall govern administrative assessment 
proceedings pursuant to 17 U.S.C. 115(d) and 801(b)(8), and the 
procedures set forth in parts 351 through 354 of this subchapter shall 
govern all other proceedings pursuant to 17 U.S.C. 801(b).



Sec.350.2-350.4  [Reserved]



PART 351_PROCEEDINGS--Table of Contents



Sec.
351.1 Initiation of proceedings.
351.2 Voluntary negotiation period; settlement.
351.3 Controversy and further proceedings.
351.4 Written direct statements.
351.5 Discovery in royalty rate proceedings.
351.6 Discovery in distribution proceedings.
351.7 Settlement conference.
351.8 Pre-hearing conference.
351.9 Conduct of hearings.
351.10 Evidence.
351.11 Rebuttal proceedings.
351.12 Closing the record.
351.13 Transcript and record.
351.14 Proposed findings of fact and conclusions of law.
351.15 Remand.

    Authority: 17 U.S.C. 803.

    Source: 70 FR 30905, May 31, 2005, unless otherwise noted.



Sec.351.1  Initiation of proceedings.

    (a) Notice of commencement; solicitation of petitions to 
participate. All proceedings before the Copyright Royalty Judges to make 
determinations and adjustments of reasonable terms and rates of royalty 
payments, and to authorize the distribution of royalty fees, shall be 
initiated by publication in the Federal Register of a notice of the 
initiation of proceedings calling for the filing of petitions to 
participate in the proceeding.
    (b) Petitions to participate--(1) Royalty rate proceedings--(i) 
Single petition. Each petition to participate filed in a royalty rate 
proceeding must include:
    (A) The petitioner's full name, address, telephone number, facsimile 
number (if any), and e-mail address (if any); and
    (B) A description of the petitioner's significant interest in the 
subject matter of the proceeding.
    (ii) Joint petition. Petitioners with similar interests may, in lieu 
of filing individual petitions, file a single petition. Each joint 
petition must include:
    (A) The full name, address, telephone number, facsimile number (if 
any), and e-mail address (if any) of the person filing the petition;
    (B) A list identifying all participants to the joint petition;
    (C) A description of the participants' significant interest in the 
subject matter of the proceeding; and
    (D) If the joint petition is filed by counsel or a representative of 
one or more of the participants that are named in the joint petition, a 
statement from such counsel or representative certifying that, as of the 
date of submission of the joint petition, such counsel or representative 
has the authority and consent of the participants to represent them in 
the royalty rate proceeding.
    (2) Distribution proceedings--(i) Single petition. Each petition to 
participate filed in a royalty distribution proceeding must include:
    (A) The petitioner's full name, address, telephone number, facsimile 
number (if any), and e-mail address (if any);
    (B) In a cable or satellite royalty distribution proceeding, 
identification of whether the petition covers a Phase I

[[Page 828]]

proceeding (the initial part of a distribution proceeding where 
royalties are divided among the categories or groups of copyright 
owners), a Phase II proceeding (where the money allotted to each 
category is subdivided among the various copyright owners within that 
category), or both; and
    (C) A description of the petitioner's significant interest in the 
subject matter of the proceeding.
    (ii) Joint petition. Petitioners with similar interests may, in lieu 
of filing individual petitions, file a single petition. Each joint 
petition must include:
    (A) The full name, address, telephone number, facsimile number (if 
any), and e-mail address (if any) of the person filing the petition;
    (B) A list identifying all participants to the joint petition;
    (C) In a cable or satellite royalty distribution proceeding, 
identification of whether the petition covers a Phase I proceeding (the 
initial part of a distribution proceeding where royalties are divided 
among the categories or groups of copyright owners), a Phase II 
proceeding (where the money allotted to each category is subdivided 
among the various copyright owners within that category), or both;
    (D) A description of the participants' significant interest in the 
subject matter of the proceeding; and
    (E) If the joint petition is filed by counsel or a representative of 
one or more of the participants that are named in the joint petition, a 
statement from such counsel or representative certifying that, as of the 
date of submission of the joint petition, such counsel or representative 
has the authority and consent of the participants to represent them in 
the royalty distribution proceeding.
    (3) Filing deadline. A petition to participate shall be filed by no 
later than 30 days after the publication of the notice of commencement 
of a proceeding, subject to the qualified exception set forth in 
paragraph (d) of this section.
    (4) Filing fee. A petition to participate must be accompanied with a 
filing fee of $150 or the petition will be rejected. For petitions filed 
electronically through eCRB, payment must be made to the Copyright 
Royalty Board through the payment portal designated on eCRB. For 
petitions filed by other means, payment must be made to the Copyright 
Royalty Board by check or by money order. If a check is subsequently 
dishonored, the petition will be rejected. If the petitioner believes 
that the contested amount of that petitioner's claim will be $1,000 or 
less, the petitioner must so state in the petition to participate and 
should not include payment of the $150 filing fee. If it becomes 
apparent during the course of the proceedings that the contested amount 
of the claim is more than $1,000, the Copyright Royalty Judges will 
require payment of the filing fee at that time.
    (c) Acceptance and rejection of petitions to participate. A petition 
to participate will be deemed to have been allowed by the Copyright 
Royalty Judges unless the Copyright Royalty Judges determine the 
petitioner lacks a significant interest in the proceeding or the 
petition is otherwise invalid.
    (d) Late petitions to participate. The Copyright Royalty Judges may, 
for substantial good cause shown, and if there is no prejudice to the 
participants that have already filed petitions, accept late petitions to 
participate at any time up to the date that is 90 days before the date 
on which participants in the proceeding are to file their written direct 
statements. However, petitioners whose petitions are filed more than 30 
days after publication of notice of commencement of a proceeding are not 
eligible to object to a settlement reached during the voluntary 
negotiation period.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53327, Sept. 11, 2006; 
81 FR 8650, Feb. 22, 2016; 82 FR 18574, Apr. 20, 2017]



Sec.351.2  Voluntary negotiation period; settlement.

    (a) Commencement; duration. After the date for filing petitions to 
participate in a proceeding, the Copyright Royalty Judges will announce 
the beginning of a voluntary negotiation period and will make a list of 
the participants available to the participants in the particular 
proceeding. The voluntary negotiation period shall last three months, 
after which the parties shall notify the Copyright Royalty Judges in

[[Page 829]]

writing as to whether a settlement has been reached.
    (b) Settlement--(1) Distribution proceedings. Pursuant to 17 U.S.C. 
801(b)(7)(A), to the extent that a settlement has been reached in a 
distribution proceeding, that agreement will provide the basis for the 
distribution.
    (2) Royalty rate proceedings. If, in a proceeding to determine 
statutory terms and rates, the participating parties report that a 
settlement has been reached by some or all of the parties, the Copyright 
Royalty Judges, pursuant to 17 U.S.C. 801(b)(7)(A), will publish the 
settlement in the Federal Register for notice and comment from those 
bound by the terms, rates, or other determination set by the agreement. 
If an objection to the adoption of an agreement is filed, the Copyright 
Royalty Judges may decline to adopt the agreement as a basis for 
statutory terms and rates for participants that are not parties to the 
agreement if the Copyright Royalty Judges conclude that the agreement 
does not provide a reasonable basis for setting statutory terms or 
rates.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53328, Sept. 11, 2006]



Sec.351.3  Controversy and further proceedings.

    (a) Declaration of controversy. If a settlement has not been reached 
within the voluntary negotiation period, the Copyright Royalty Judges 
will issue an order declaring that further proceedings are necessary. 
The procedures set forth at Sec. Sec.351.5, et seq., for formal 
hearings will apply, unless the abbreviated procedures set forth in 
paragraphs (b) and (c) of this section are invoked by the Copyright 
Royalty Judges.
    (b) Small claims in distribution proceedings--(1) General. If, in a 
distribution proceeding, the contested amount of a claim is $10,000 or 
less, the Copyright Royalty Judges shall decide the controversy on the 
basis of the filing of the written direct statement by each participant 
(or participant group filing a joint petition), the response by any 
opposing participant, and one optional reply by a participant who has 
filed a written direct statement.
    (2) Bad faith inflation of claim. If the Copyright Royalty Judges 
determine that a participant asserts in bad faith an amount in 
controversy in excess of $10,000 for the purpose of avoiding a 
determination under the procedure set forth in paragraph (b)(1) of this 
section, the Copyright Royalty Judges shall impose a fine on that 
participant in an amount not to exceed the difference between the actual 
amount distributed and the amount asserted by the participant.
    (c) Paper proceedings--(1) Standard. The procedure under this 
paragraph (c) will be applied in cases in which there is no genuine 
issue of material fact, there is no need for evidentiary hearings, and 
all participants in the proceeding agree in writing to the procedure. In 
the absence of an agreement in writing among all participants, this 
procedure may be applied by the Copyright Royalty Judges either on the 
motion of a party or by the Copyright Royalty Judges sua sponte.
    (2) Procedure. Paper proceedings will be decided on the basis of the 
filing of the written direct statement by the participant (or 
participant group filing a joint petition), the response by any opposing 
participant, and one optional reply by a participant who has filed a 
written direct statement.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53328, Sept. 11, 2006]



Sec.351.4  Written direct statements.

    (a) Required filing; deadline. All parties who have filed a petition 
to participate in the hearing must file a written direct statement. The 
deadline for the filing of the written direct statement will be 
specified by the Copyright Royalty Judges, not earlier than 4 months, 
nor later than 5 months, after the end of the voluntary negotiation 
period set forth in Sec.351.2.
    (b) Required content--(1) Testimony. The written direct statement 
shall include all testimony, including each witness's background and 
qualifications, along with all the exhibits.
    (2) Designated past records and testimony. Each participating party 
may designate a portion of past records, including records of the 
Copyright Royalty Tribunal or Copyright Arbitration Royalty Panels, that 
it wants included

[[Page 830]]

in its direct statement. If a party intends to rely on any part of the 
testimony of a witness in a prior proceeding, the complete testimony of 
that witness (i.e., direct, cross and redirect examination) must be 
designated. The party submitting such past records and/or testimony 
shall include a copy with the written direct statement.
    (3) Claim. In the case of a royalty distribution proceeding, each 
party must state in the written direct statement its percentage or 
dollar claim to the fund. In the case of a rate (or rates) proceeding, 
each party must state its requested rate. No party will be precluded 
from revising its claim or its requested rate at any time during the 
proceeding up to, and including, the filing of the proposed findings of 
fact and conclusions of law.
    (c) Amended written direct statements. A participant in a proceeding 
may amend a written direct statement based on new information received 
during the discovery process, within 15 days after the end of the 
discovery period. An amended written direct statement must explain how 
it differs from the written direct statement it will amend and must 
demonstrate that the amendment is based on new information received 
during the discovery process. The participant amending its written 
direct statement may file either the amended portions of the written 
direct statement or submit complete new copies at its option.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53328, Sept. 11, 2006; 
71 FR 59010, Oct. 6, 2006]



Sec.351.5  Discovery in royalty rate proceedings.

    (a) Schedule. Following the submission to the Copyright Royalty 
Judges of written direct and rebuttal statements by the participants in 
a royalty rate proceeding, and after conferring with the participants, 
the Copyright Royalty Judges will issue a discovery schedule.
    (b) Document production, depositions and interrogatories--(1) 
Document production. A participant in a royalty rate proceeding may 
request of an opposing participant nonprivileged documents that are 
directly related to the written direct statement or written rebuttal 
statement of that participant. Broad, nonspecific discovery requests are 
not acceptable. All documents offered in response to a discovery request 
must be furnished in as organized and useable form as possible. Any 
objection to a request for production shall be resolved by a motion or 
request to compel production. The motion must include a statement that 
the parties had conferred and were unable to resolve the matter.
    (2) Depositions and interrogatories. In a proceeding to determine 
royalty rates, the participants entitled to receive royalties shall 
collectively be permitted to take no more than 10 depositions and secure 
responses to no more than 25 interrogatories. Similarly, the 
participants obligated to pay royalties shall collectively be permitted 
to take no more than 10 depositions and secure responses to no more than 
25 interrogatories. Parties may obtain such discovery regarding any 
matter, not privileged, that is relevant to the claim or defense of any 
party. Relevant information need not be admissible at hearing if the 
discovery by means of depositions and interrogatories appears reasonably 
calculated to lead to the discovery of admissible evidence.
    (c) Motions to request other relevant information and materials. (1) 
In any royalty rate proceeding scheduled to commence prior to January 1, 
2011, a participant may, by means of written or oral motion on the 
record, request of an opposing participant or witness other relevant 
information and materials. The Copyright Royalty Judges will allow such 
request only if they determine that, absent the discovery sought, their 
ability to achieve a just resolution of the proceeding would be 
substantially impaired.
    (2) In determining whether such discovery motions will be granted, 
the Copyright Royalty Judges may consider--
    (i) Whether the burden or expense of producing the requested 
information or materials outweighs the likely benefit, taking into 
account the needs and resources of the participants, the importance of 
the issues at stake, and the probative value of the requested 
information or materials in resolving such issues;

[[Page 831]]

    (ii) Whether the requested information or materials would be 
unreasonably cumulative or duplicative, or are obtainable from another 
source that is more convenient, less burdensome, or less expensive; and
    (iii) Whether the participant seeking the discovery had an ample 
opportunity by discovery in the proceeding or by other means to obtain 
the information sought.

[71 FR 53328, Sept. 11, 2006]



Sec.351.6  Discovery in distribution proceedings.

    In distribution proceedings, the Copyright Royalty Judges shall 
designate a 45-day period beginning with the filing of written direct 
statements within which parties may request of an opposing party 
nonprivileged underlying documents related to the written exhibits and 
testimony. However, all parties shall be given a reasonable opportunity 
to conduct discovery on amended statements.

[71 FR 53328, Sept. 11, 2006]



Sec.351.7  Settlement conference.

    A post-discovery settlement conference will be held among the 
participants, within 21 days after the close of discovery, outside of 
the presence of the Copyright Royalty Judges. Immediately after this 
conference the participants shall file with the Copyright Royalty Judges 
a written Joint Settlement Conference Report indicating the extent to 
which the participants have reached a settlement.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53329, Sept. 11, 2006]



Sec.351.8  Pre-hearing conference.

    In the absence of a complete settlement in a proceeding not subject 
to the abbreviated procedures set forth in Sec. Sec.351.3(b) and (c), 
a hearing will be scheduled expeditiously so as to allow the Copyright 
Royalty Judges to conduct hearings and issue its final determination in 
the proceeding within the time allowed by the Copyright Act. Prior to 
the hearing, the Copyright Royalty Judges may conduct a prehearing 
conference to assist in setting the order of presentation of evidence 
and the appearance of witnesses at the hearing and to provide for the 
submission of pre-hearing written legal arguments.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53329, Sept. 11, 2006]



Sec.351.9  Conduct of hearings.

    (a)(1) By panels. Subject to paragraph (b) of this section, hearings 
will be conducted by Copyright Royalty Judges sitting en banc.
    (2) Location. Hearings will be conducted in person at the Library of 
Congress or an alternative location, or virtually, at the Judges' 
discretion.
    (b) Role of Chief Judge. The Chief Copyright Royalty Judge, or an 
individual Copyright Royalty Judge designated by the Chief Judge, may 
preside over such collateral and administrative proceedings, and over 
such proceedings under section 803(b)(1) through (5) of the Copyright 
Act, as the Chief Judge considers appropriate. The Chief Judge, or an 
individual Copyright Royalty Judge designated by the Chief Judge, shall 
have the responsibility for:
    (1) Administering oaths and affirmations to all witnesses;
    (2) Announcing the Copyright Royalty Judges' ruling on objections 
and motions and all rulings with respect to introducing or excluding 
documentary or other evidence. In all cases, with the exception of a 
hearing pursuant to 17 U.S.C. 803(a)(2), it takes a majority vote to 
grant a motion or sustain an objection. A tie vote will result in the 
denial of a motion or the overruling of the objection;
    (c) Opening statements. In each distribution or rate proceeding, 
each party may present its opening statement summarizing its written 
direct statement.
    (d) Notice of witnesses and prior exchange of exhibits. Each party 
must provide all other parties notice of the witnesses who are to be 
called to testify at least one week in advance of such testimony, unless 
modified by applicable trial order. Parties must exchange exhibits at 
least one day in advance of being offered into evidence at a hearing, 
unless modified by applicable trial order.
    (e) Subpoenas. The parties may move the Copyright Royalty Judges to 
issue

[[Page 832]]

a subpoena. The object of the subpoena shall be served with the motion 
and may appear in response to the motion.
    (f) Witnesses sequestered. Subject to applicable trial order, 
witnesses, other than party representatives, may not be permitted to 
listen to any testimony and may not be allowed to review a transcript of 
any prior testimony.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53329, Sept. 11, 2006; 
86 FR 31172, June 11, 2021]



Sec.351.10  Evidence.

    (a) Admissibility. All evidence that is relevant and not unduly 
repetitious or privileged, shall be admissible. Hearsay may be admitted 
to the extent deemed appropriate by the Copyright Royalty Judges. 
Written testimony and exhibits must be authenticated or identified in 
order to be admissible as evidence. The requirement of authentication or 
identification as a condition precedent to admissibility is satisfied by 
evidence sufficient to support a finding that the matter in question is 
what its proponent claims. Extrinsic evidence of authenticity as a 
condition precedent to admissibility is not required with respect to 
materials that can be self-authenticated under Rule 902 of the Federal 
Rules of Evidence such as certain public records. No evidence, including 
exhibits, may be submitted without a sponsoring witness, except for good 
cause shown.
    (b) Examination of witnesses. All witnesses shall be required to 
take an oath or affirmation before testifying. Parties are entitled to 
conduct direct examination (consisting of the testimony of the witness 
in the written statements and an oral summary of that testimony); cross-
examination (limited to matters raised on direct examination); and 
redirect examination (limited to matters raised on cross-examination). 
The Copyright Royalty Judges may limit the number of witnesses or limit 
questioning to avoid cumulative testimony.
    (c) Exhibits--(1) Submission. Writings, recordings and photographs 
shall be presented as exhibits and marked by the presenting party. 
``Writings'' and ``recordings'' consist of letters, words, or numbers, 
or their equivalent, set down by handwriting, typewriting, printing, 
photostating, photographing, magnetic impulse, mechanical or electronic 
recording, or other form of data compilation. ``Photographs'' include 
still photographs, video tapes, and motion pictures.
    (2) Separation of irrelevant portions. Relevant and material matter 
embraced in an exhibit containing other matter not material or relevant 
or not intended as evidence must be plainly designated as the matter 
offered in evidence, and the immaterial or irrelevant parts shall be 
marked clearly so as to show they are not intended as evidence.
    (3) Summary exhibits. The contents of voluminous writings, 
recordings, or photographs which cannot conveniently be examined in the 
hearing may be presented in the form of a chart, summary, or 
calculation. The originals, or duplicates, shall be made available for 
examination or copying, or both, by other parties at a reasonable time 
and place. The Copyright Royalty Judges may order that they be produced 
in the hearing.
    (d) Copies. Anyone presenting exhibits as evidence must present 
copies to all other participants in the proceedings, or their attorneys, 
and afford them an opportunity to examine the exhibits in their entirety 
and offer into evidence any other portion that may be considered 
material and relevant.
    (e) Introduction of studies and analyses. If studies or analyses are 
offered in evidence, they shall state clearly the study plan, the 
principles and methods underlying the study, all relevant assumptions, 
all variables considered in the analysis, the techniques of data 
collection, the techniques of estimation and testing, and the results of 
the study's actual estimates and tests presented in a format commonly 
accepted within the relevant field of expertise implicated by the study. 
The facts and judgments upon which conclusions are based shall be stated 
clearly, together with any alternative courses of action considered. 
Summarized descriptions of input data, tabulations of input data and the 
input data themselves shall be retained.
    (f) Objections. Parties are entitled to raise objections to evidence 
on any proper ground during the course of the

[[Page 833]]

hearing and to raise an objection that an opposing party has not 
furnished unprivileged underlying documents.
    (g) New exhibits for use in cross-examination. Exhibits that have 
not been identified and exchanged in advance may be shown to a witness 
on cross-examination. However, copies of such exhibits must be 
distributed to the Copyright Royalty Judges and to the other 
participants before being shown to the witness at the time of cross-
examination, unless the Copyright Royalty Judges direct otherwise. Such 
exhibits can be used solely to impeach the witness's direct testimony.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53329, Sept. 11, 2006; 
71 FR 59010, Oct. 6, 2006]



Sec.351.11  Rebuttal proceedings.

    Written rebuttal statements shall be filed at a time designated by 
the Copyright Royalty Judges upon conclusion of the hearing of the 
direct case, in the same form and manner as the written direct 
statement, except that the claim or the requested rate shall not have to 
be included if it has not changed from the written direct statement. 
Further proceedings at the rebuttal stage shall follow the schedule 
ordered by the Copyright Royalty Judges.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53329, Sept. 11, 2006]



Sec.351.12  Closing the record.

    To close the record of a proceeding, the presiding Judge shall make 
an announcement that the taking of evidence has concluded.

[71 FR 53330, Sept. 11, 2006]



Sec.351.13  Transcript and record.

    (a) An official reporter for the recording and transcribing of 
hearings shall be designated by the Copyright Royalty Judges. Anyone 
wishing to inspect the transcript of a hearing may do so at the offices 
of the Copyright Royalty Board.
    (b) The transcript of testimony and written statements, except those 
portions to which an objection has been sustained, and all exhibits, 
documents and other items admitted in the course of a proceeding shall 
constitute the official written record. The written record, along with 
the Copyright Royalty Judges' final determination, shall be available at 
the Copyright Royalty Board's offices for public inspection and copying.

[71 FR 53330, Sept. 11, 2006]



Sec.351.14  Proposed findings of fact and conclusions of law.

    (a) Any party to the proceeding may file proposed findings of fact 
and conclusions, briefs or memoranda of law, or may be directed by the 
Copyright Royalty Judges to do so. Such filings, and any replies to 
them, shall take place after the record has been closed.
    (b) Failure to file when directed to do so shall be considered a 
waiver of the right to participate further in the proceeding unless good 
cause for the failure is shown. A party waives any objection to a 
provision in the determination unless the provision conflicts with a 
proposed finding of fact or conclusion of law filed by the party.
    (c) Proposed findings of fact shall be numbered by paragraph and 
include all basic evidentiary facts developed on the record used to 
support proposed conclusions, and shall contain appropriate citations to 
the record for each evidentiary fact. Proposed conclusions shall be 
stated and numbered by paragraph separately. Failure to comply with this 
paragraph (c) may result in the offending paragraph being stricken.

[71 FR 53330, Sept. 11, 2006]



Sec.351.15  Remand.

    In the event of a remand from the United States Court of Appeals for 
the District of Columbia Circuit of a final determination of the 
Copyright Royalty Judges, the parties to the proceeding shall within 45 
days from the issuance of the mandate from the Court of Appeals file 
with the Judges written proposals for the conduct and schedule of the 
resolution of the remand.

[74 FR 38533, Aug. 4, 2009]



PART 352_DETERMINATIONS--Table of Contents



Sec.
352.1 How made.
352.2 Timing.
352.3 Final determinations.


[[Page 834]]


    Authority: 17 U.S.C. 803.

    Source: 70 FR 30905, May 31, 2005, unless otherwise noted.



Sec.352.1  How made.

    Except for decisions authorized by law to be made by a single 
Copyright Royalty Judge, determinations in a proceeding will be made by 
a majority of the Copyright Royalty Judges. The opinion or opinions of 
the majority and any dissenting opinion will be included in the 
determination. Each determination will be transmitted to the Register of 
Copyrights to enable review for consistency with the Copyright Act on 
the day it is issued.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53330, Sept. 11, 2006]



Sec.352.2  Timing.

    The Copyright Royalty Judges will issue their determination within 
11 months of the date of the post-discovery settlement conference or 15 
days before the expiration of the existing rates or terms in a 
proceeding to determine successors to rates or terms that will expire on 
a specific date, whichever date first occurs. The date the determination 
is ``issued'' refers to the date of the order.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53330, Sept. 11, 2006]



Sec.352.3  Final determinations.

    Unless a motion for a rehearing is timely filed within 15 days, the 
determination by the Copyright Royalty Judges pursuant to 17 U.S.C. 
803(c) in a proceeding is final when it is issued.

[71 FR 53330, Sept. 11, 2006]



PART 353_REHEARING--Table of Contents



Sec.
353.1 When granted.
353.2 Form and content of rehearing motions.
353.3 Procedure on rehearing.
353.4 Filing deadline.
353.5 Participation not required.

    Authority: 17 U.S.C. 803.

    Source: 70 FR 30905, May 31, 2005, unless otherwise noted.



Sec.353.1  When granted.

    A motion for rehearing may be filed by any participant in the 
relevant proceeding. The Copyright Royalty Judges may grant rehearing 
upon a showing that any aspect of the determination may be erroneous.

[71 FR 53330, Sept. 11, 2006]



Sec.353.2  Form and content of rehearing motions.

    A motion for rehearing shall not exceed 10 pages in length and must 
set forth, in the beginning of its text, a brief summary statement of 
the aspects of the determination believed by the moving participant to 
be without evidentiary support in the record or contrary to legal 
requirements.



Sec.353.3  Procedure on rehearing.

    Upon receipt of a motion for rehearing, the Copyright Royalty Judges 
will issue an appropriate order. No participant shall file a response to 
a rehearing motion, unless such response is allowed by order of the 
Copyright Royalty Judges.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53330, Sept. 11, 2006]



Sec.353.4  Filing deadline.

    A motion for rehearing must be filed within 15 days after the date 
on which the Copyright Royalty Judges issue an initial determination.

[71 FR 53330, Sept. 11, 2006]



Sec.353.5  Participation not required.

    In any case in which a response to a rehearing motion is allowed, or 
rehearing is granted, an opposing party shall not be required to 
participate in the rehearing. The Copyright Royalty Judges will not draw 
any negative inference from a lack of participation in a rehearing. 
Nonparticipation in rehearing proceedings may limit the scope of their 
participation in judicial review proceedings as set forth in 17 U.S.C. 
803(d)(1).

[70 FR 30905, May 31, 2005, as amended at 71 FR 53330, Sept. 11, 2006]

[[Page 835]]



PART 354_SUBMISSIONS TO THE REGISTER OF COPYRIGHTS--Table of Contents



Sec.
354.1 Material questions of copyright law.
354.2 Novel questions.
354.3 Register of Copyrights' authority to redesignate referrals.

    Authority: 17 U.S.C. 802.

    Source: 70 FR 30905, May 31, 2005, unless otherwise noted.



Sec.354.1  Material questions of copyright law.

    (a) Discretionary referrals. The Copyright Royalty Judges may seek 
guidance from the Register of Copyrights with respect to a material 
question of substantive law, concerning an interpretation or 
construction of those provisions of the Copyright Act, that arises in 
the course of their proceedings.
    (b) How presented. A question of substantive law may be referred to 
the Register of Copyrights at the request of one or more of the 
Copyright Royalty Judges. A question of substantive law may also be 
referred to the Register of Copyrights as a request submitted by motion 
of a participant, provided that one or more of the Copyright Royalty 
Judges agrees with the participant's request.
    (1) Referral by Judges. One or more of the Copyright Royalty Judges 
may refer what he or she believes to be a material question of 
substantive law to the Register of Copyrights at any time during a 
proceeding by issuing a written referral that is made part of the record 
of that proceeding. The referral will state the issue(s) to be referred 
and the schedule for the filing of briefs by the parties of the 
issue(s). After the briefs and other relevant materials are received, 
they will be transmitted to the Register of Copyrights.
    (2) Motion by participant. Any participant may submit a motion to 
the Copyright Royalty Judges (but not to the Register of Copyrights) 
requesting their referral to the Register of Copyrights a question that 
the participant believes would be suitable for referral under paragraph 
(a) of this section.
    (i) Content. The motion should be captioned ``Motion of 
[Participant(s)] Requesting Referral of Material Question of Substantive 
Law.'' The motion should set forth, at the outset, the precise legal 
question for which the moving party is seeking interlocutory referral to 
the Register of Copyrights. The motion should then proceed to explain, 
with brevity, why the issue meets the criteria for potential referral 
under paragraph (a) of this section and why the interests of fair and 
efficient adjudication would be best served by obtaining interlocutory 
guidance from the Register of Copyrights. The motion should not include 
argument on the merits of the issue, but may include a suggested 
schedule of briefing that would make reasonable provision for comments 
and legal arguments, in such a way as to avoid delay and duplication.
    (ii) Time of motion. A motion for referral of a material question of 
substantive law to the Register of Copyrights should be filed as soon as 
possible in the relevant proceeding, but no later than any deadline set 
by the Copyright Royalty Judges.
    (iii) Action on motion--(A) Referral granted. Upon consideration of 
a Motion Requesting Referral of Material Question of Substantive Law, if 
one or more of the Copyright Royalty Judges agrees with the request, the 
Chief Judge shall issue an appropriate referral. The referral will state 
the issue(s) to be referred and the schedule for the filing of briefs by 
the parties of the issue(s). After the briefs and other relevant 
materials are received, they will be transmitted to the Register of 
Copyrights.
    (B) Referral denied. If none of the Copyright Royalty Judges agrees 
with the request, the Board will issue an order denying the request 
which will provide the basis for the decision. A copy of any order 
denying a Motion Requesting Referral of Material Question of Substantive 
Law will be transmitted to the Register of Copyrights.
    (c) No effect on proceedings. The issuance of a request to the 
Register of Copyrights for an interpretive ruling under this part does 
not delay or otherwise affect the schedule of the participants' 
obligations in the relevant ongoing proceeding, unless that schedule or 
those obligations are expressly changed

[[Page 836]]

by order of the Copyright Royalty Judges.
    (d) Binding effect; time limit. The Copyright Royalty Judges will 
not issue a final determination in a proceeding where the discretionary 
referral of a question to the Register of Copyrights under this part is 
pending, unless the Register has not delivered the decision to the 
Copyright Royalty Judges within 14 days after the Register receives all 
of the briefs of the participants. If the decision of the Register of 
Copyrights is timely delivered to the Copyright Royalty Judges, the 
decision will be included in the record of the proceeding. The legal 
interpretation embodied in the timely delivered response of the Register 
of Copyrights in resolving material questions of substantive law is 
binding upon the Copyright Royalty Judges and will be applied by them in 
their final determination in the relevant proceeding.

[71 FR 53330, Sept. 11, 2006]



Sec.354.2  Novel questions.

    (a) Mandatory referrals. If the material question of substantive law 
described in Sec.354.1(a) is a novel question of law, referral to the 
Register of Copyrights by the Copyright Royalty Judges is mandatory. A 
``novel question of law'' is a question of law that has not been 
determined in the prior decisions, determinations, or rulings under the 
Copyright Act of the Copyright Royalty Judges, the Librarian of 
Congress, the Register of Copyrights, the Copyright Arbitration Royalty 
Panels (to the extent they are consistent with the current decisions, 
determinations, or rulings of the Register of Copyrights or the 
Librarian of Congress), or the former Copyright Royalty Tribunal.
    (b) Procedures. The procedures set forth for the discretionary 
referral of material questions of copyright law to the Register of 
Copyrights by the Copyright Royalty Judges, set forth in Sec.354.1, 
shall also govern the mandatory referral of novel questions, except that 
the Register of Copyrights' decision will be timely if it is delivered 
to the Copyright Royalty Judges within 30 days after the Register of 
Copyrights has received all of the briefs or comments of the 
participants. The Copyright Royalty Judges will not issue a final 
determination in a proceeding where the referral of a novel question to 
the Register of Copyrights under this part is pending, unless this 30-
day period has expired. The legal interpretation embodied in the timely 
delivered response of the Register of Copyrights in resolving material 
questions of substantive law is binding upon the Copyright Royalty 
Judges and will be applied by them in their final determination in the 
relevant proceeding.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53331, Sept. 11, 2006]



Sec.354.3  Register of Copyrights' authority to redesignate referrals.

    If, during the 14-day period of a discretionary referral of a 
material question of law under Sec.354.1, the Register of Copyrights 
determines that the question is a ``novel'' one within the meaning of 
Sec.354.2(a), the Register may notify the Copyright Royalty Judges of 
that determination. The Copyright Royalty Judges will be bound by such a 
determination by the Register of Copyrights and will regard the 
Register's decision as timely delivered if it is received within the 30-
day period applicable to novel question referrals.

[70 FR 30905, May 31, 2005, as amended at 71 FR 53331, Sept. 11, 2006]



PART 355_ADMINISTRATIVE ASSESSMENT PROCEEDINGS--Table of Contents



Sec.
355.1 Proceedings in general.
355.2 Commencement of proceedings.
355.3 Submissions and discovery.
355.4 Negotiation periods.
355.5 Hearing procedures.
355.6 Determinations.
355.7 Definitions.

    Authority: 17 U.S.C. 801; 17 U.S.C. 115.

    Source: 84 FR 32308, July 8, 2019, unless otherwise noted.



Sec.355.1  Proceedings in general.

    (a) Scope. This section governs proceedings before the Copyright 
Royalty Judges to determine or adjust the Administrative Assessment 
pursuant to the Copyright Act, 17 U.S.C. 115(d), including establishing 
procedures to enable the Copyright Royalty Judges to

[[Page 837]]

make necessary evidentiary or procedural rulings.
    (b) Rulings. The Copyright Royalty Judges may make any necessary 
procedural or evidentiary rulings during any proceeding under this 
section and may, before commencing a proceeding under this section, make 
any rulings that will apply to proceedings to be conducted under this 
section.
    (c) Role of Chief Judge. The Chief Copyright Royalty Judge, or an 
individual Copyright Royalty Judge designated by the Chief Copyright 
Royalty Judge, shall:
    (1) Administer an oath or affirmation to any witness; and
    (2) Rule on objections and motions.



Sec.355.2  Commencement of proceedings.

    (a) Commencement of initial Administrative Assessment proceeding. 
The Copyright Royalty Judges shall commence a proceeding to determine 
the initial Administrative Assessment by publication no later than July 
8, 2019, of a notice in the Federal Register seeking the filing of 
petitions to participate in the proceeding.
    (b) Adjustments of the Administrative Assessment. Following the 
determination of the initial Administrative Assessment, the Mechanical 
Licensing Collective, the Digital Licensee Coordinator, if any, and 
interested copyright owners, Digital Music Providers, or Significant 
Nonblanket Licensees may file a petition with the Copyright Royalty 
Judges to commence a proceeding to adjust the Administrative Assessment. 
Any petition for adjustment of the Administrative Assessment must be 
filed during the month of May and may not be filed earlier than 1 year 
following the most recent publication in the Federal Register of a 
determination of the Administrative Assessment by the Copyright Royalty 
Judges. The Copyright Royalty Judges shall accept a properly filed 
petition under this paragraph (b) as sufficient grounds to commence a 
proceeding to adjust the Administrative Assessment and shall publish a 
notice in the Federal Register in the month of June seeking petitions to 
participate in the proceeding.
    (c) Required participants. The Mechanical Licensing Collective and 
the Digital Licensee Coordinator designated by the Register of 
Copyrights in accordance with 17 U.S.C. 115(d)(5) shall each file a 
petition to participate and shall participate in each Administrative 
Assessment proceeding under this section.
    (d) Other eligible participants. A copyright owner, Digital Music 
Provider, or Significant Nonblanket Licensee may file a petition to 
participate in a proceeding under paragraph (a) or (b) of this section. 
The Copyright Royalty Judges shall accept petitions to participate filed 
under this paragraph (d) unless the Judges find that the petitioner 
lacks a significant interest in the proceeding.
    (e) Petitions to participate. Each petition to participate filed 
under this section must include:
    (1) A filing fee of $150;
    (2) The full name, address, telephone number, and email address of 
the petitioner;
    (3) The full name, address, telephone number, and email address of 
the person filing the petition and of the petitioner's representative, 
if either differs from the filer; and
    (4) Factual information sufficient to establish that the petitioner 
has a significant interest in the determination of the Administrative 
Assessment.
    (f) Notice of identity of petitioners. The Copyright Royalty Judges 
shall give notice to all petitioners of the identity of all other 
petitioners.
    (g) Proceeding Schedule. (1) The Copyright Royalty Judges shall 
establish a schedule for the proceeding, which shall include dates for:
    (i) A first negotiation period of 60 days, beginning on the date of 
commencement of the proceeding;
    (ii) Filing of the opening submission by the Mechanical Licensing 
Collective described in Sec.355.3(b) or (c), with concurrent 
production of required documents and disclosures;
    (iii) A period of 60 days, beginning on the day after the date the 
Mechanical Licensing Collective files its opening submission, for the 
Digital Licensee Coordinator and any other participant in the 
proceeding, other than the Mechanical Licensing Collective, to serve 
discovery requests and complete discovery pursuant to Sec.355.3(d);

[[Page 838]]

    (iv) Filing of responsive submissions by the Digital Licensee 
Coordinator and any other participant in the proceeding, with concurrent 
production of required documents and disclosures;
    (v) A period of 60 days, beginning on the day after the due date for 
filing responsive submissions, for the Mechanical Licensing Collective 
to serve discovery requests and complete discovery of the Digital 
Licensee Coordinator and any other participant in the proceeding 
pursuant to Sec.355.3(g);
    (vi) A second negotiation period of 14 days, commencing on the day 
after the end of the Mechanical Licensing Collective's discovery period;
    (vii) Filing of a reply submission, if any, by the Mechanical 
Licensing Collective;
    (viii) Filing of a joint pre-hearing submission by the Mechanical 
Licensing Collective, the Digital Licensee Coordinator, and any other 
participant in the hearing; and
    (ix) A hearing on the record.
    (2) The Copyright Royalty Judges may, for good cause shown and upon 
reasonable notice to all participants, modify the schedule, except no 
participant in the proceeding may rely on a schedule modification as a 
basis for delaying the scheduled hearing date. The Copyright Royalty 
Judges may alter the hearing schedule only upon a showing of 
extraordinary circumstances. No alteration of the schedule shall change 
the due date of the determination.



Sec.355.3  Submissions and discovery.

    (a) Protective orders. During the first negotiation period, the 
Mechanical Licensing Collective, the Digital Licensee Coordinator, and 
any other participants that are represented by counsel shall negotiate 
and agree upon a written protective order to preserve the 
confidentiality of any confidential documents, depositions, or other 
information exchanged or filed by the participants in the proceeding. No 
later than 15 days after the Judges' identification of participants, 
proponents of a protective order shall file with the Copyright Royalty 
Judges a motion for review and approval of the order. No participant in 
the proceeding shall distribute or exchange confidential documents, 
depositions, or other information with any other participant in the 
proceeding until the receiving participant affirms in writing its 
consent to the protective order governing the proceeding.
    (b) Submission by the Mechanical Licensing Collective in the initial 
Administrative Assessment proceeding. (1) The Mechanical Licensing 
Collective shall file an opening submission, in accordance with the 
schedule the Copyright Royalty Judges adopt pursuant to Sec.355.2(g), 
setting forth and supporting the Mechanical Licensing Collective's 
proposed initial Administrative Assessment. The opening submission shall 
consist of a written statement, including any written testimony and 
accompanying exhibits, and include reasons why the proposed initial 
Administrative Assessment fulfills the requirements in 17 U.S.C. 
115(d)(7).
    (2) Concurrently with the filing of the opening submission, the 
Mechanical Licensing Collective shall produce electronically and deliver 
by email to the other participants in the proceeding documents that 
identify and demonstrate:
    (i) Costs, collections, and contributions as required by 17 U.S.C. 
115(d)(7) through the License Availability Date and for the three 
calendar years following thereafter;
    (ii) The reasonableness of the Collective Total Costs;
    (iii) The Collective's processes for requesting proposals, inviting 
bids, ranking and selecting the proposals and bids of potential 
contracting and sub-contracting parties competitively (or by another 
method), including processes for ensuring the absence of overlapping 
ownership or other overlapping economic interests between the Collective 
or its members and any selected contracting or sub-contracting party; 
and
    (iv) The reasons why the proposal fulfills the requirements in 17 
U.S.C. 115(d)(7).
    (3) Concurrently with the filing of the opening submission, the 
Mechanical Licensing Collective shall provide electronically and deliver 
by email to the other participants in the proceeding written disclosures 
that:

[[Page 839]]

    (i) List the individuals with material knowledge of, and 
availability to provide testimony concerning, the proposed initial 
Administrative Assessment; and
    (ii) For each listed individual, describe the subject(s) of his or 
her knowledge.
    (c) Submission by the Mechanical Licensing Collective in proceedings 
to adjust the Administrative Assessment. (1) The Mechanical Licensing 
Collective shall file an opening submission according to the schedule 
the Copyright Royalty Judges adopt pursuant to Sec.355.2(g). The 
opening submission shall set forth and support the Mechanical Licensing 
Collective's proposal to maintain or adjust the Administrative 
Assessment, including reasons why the proposal fulfills the requirements 
in 17 U.S.C. 115(d)(7). The opening submission shall include a written 
statement, any written testimony and accompanying exhibits, including 
financial statements from the three most recent years' operations of the 
Mechanical Licensing Collective with annual budgets as well as annual 
actual income and expense statements.
    (2) Concurrently with the filing of the opening submission, the 
Mechanical Licensing Collective shall produce electronically and deliver 
by email to the other participants in the proceeding documents that 
identify and demonstrate:
    (i) Costs, collections, and contributions as required by 17 U.S.C. 
115(d)(7) for the preceding three calendar years and the three calendar 
years following thereafter;
    (ii) For the preceding three calendar years, the amount of actual 
Collective Total Costs that was not sufficiently funded by the prior 
Administrative Assessment, or the amount of any surplus from the prior 
Administrative Assessment after funding actual Collective Total Costs;
    (iii) Actual collections from Digital Music Providers and 
Significant Nonblanket Licensees for the preceding three calendar years 
and anticipated collections for the three calendar years following 
thereafter;
    (iv) The reasonableness of the Collective Total Costs; and
    (v) The Collective's processes for requesting proposals, inviting 
bids, ranking and selecting the proposals and bids of potential 
contracting and sub-contracting parties competitively (or by another 
method), including processes for ensuring the absence of overlapping 
ownership or other overlapping economic interests between the Collective 
or its members and any selected contracting or sub-contracting party.
    (3) Concurrently with the filing of the opening submission, the 
Mechanical Licensing Collective shall provide electronically and deliver 
by email to the other participants in the proceeding written disclosures 
that:
    (i) List the individuals with material knowledge of, and 
availability to provide testimony concerning, the proposed adjusted 
Administrative Assessment; and
    (ii) For each listed individual, describe the subject(s) of his or 
her knowledge.
    (d) First discovery period. (1) During the first discovery period, 
the Digital Licensee Coordinator and any other participant in the 
proceeding other than the Mechanical Licensing Collective, acting 
separately or represented jointly to the extent permitted by the 
concurrence of their interests, may serve requests for additional 
documents on the Mechanical Licensing Collective and any other 
participant in the proceeding. Any document request shall be limited to 
documents that are Discoverable.
    (2) The Digital Licensee Coordinator and any other participant in 
the proceeding, other than the Mechanical Licensing Collective, may 
notice and take depositions as provided in paragraph (e) of this 
section.
    (e) Depositions. The Digital Licensee Coordinator may give notice of 
and take up to five depositions during the first discovery period. To 
the extent any other participant eligible to take discovery during the 
first discovery period and whose interests may not be fully represented 
by either the Mechanical Licensing Collective or the Digital Licensee 
Coordinator seeks to notice and take a deposition, that participant 
shall first notify all other proceeding participants and the 
participants shall attempt, in good faith, to accommodate by agreement 
of the parties any deposition for which good cause is

[[Page 840]]

shown. If, after good faith discussions, the participants are unable to 
agree with respect to any such additional deposition, the participant 
seeking to take the deposition may file a motion pursuant to paragraph 
(h) of this section. The Mechanical Licensing Collective may give notice 
of and take up to five depositions during the second discovery period. 
Any deposition under this paragraph (e) shall be no longer than seven 
hours in duration on the record (exclusive of adjournments for lunch and 
other personal needs), with each deponent subject to a maximum of one 
seven-hour deposition in any Administrative Assessment proceeding, 
except as otherwise extended in this part, or upon a motion 
demonstrating good cause to extend the hour and day limits. In addition 
to the party noticing the deposition, any other parties to the 
proceeding may attend any depositions and shall have a right, but not an 
obligation, to examine the deponent during the final hour of the 
deposition, (except as that allocation of time may otherwise be 
stipulated by agreement of all participants attending the deposition), 
provided that any participant exercising its right to examine a deponent 
provides notice of that intent no later than two days prior to the 
scheduled deposition date. The initial notice of deposition under this 
paragraph (e) must be delivered by email or other electronic means to 
all participants in the proceeding, and such notice shall be sent no 
later than seven days prior to the scheduled deposition date, unless the 
deposition is scheduled to occur less than seven days after the date of 
the notice by agreement of the parties and the deponent. An individual 
is properly named as a deponent if that individual likely possesses 
information that meets the standards for document production under this 
part.
    (f) Responsive submissions by the Digital Licensee Coordinator and 
other participants. The Digital Licensee Coordinator and any other 
participant in the proceeding shall file responsive submissions with the 
Copyright Royalty Judges in accordance with the schedule adopted by the 
Copyright Royalty Judges.
    (1) Responsive submissions of the Digital Licensee Coordinator, and 
any other participant in the proceeding, shall consist of a written 
statement, including any written testimony and accompanying exhibits, 
stating the extent to which the filing participant agrees with the 
Administrative Assessment proposed by the Mechanical Licensing 
Collective. If the filing participant disagrees with all or part of the 
Administrative Assessment proposed by the Mechanical Licensing 
Collective, then the written statement, including any written testimony 
and accompanying exhibits, shall include analysis necessary to 
demonstrate why the Administrative Assessment proposed by the Mechanical 
Licensing Collective does not fulfill the requirements set forth in 17 
U.S.C. 115(d)(7).
    (2) Concurrently with the filing of a responsive submission 
indicating disagreement with the Administrative Assessment proposed by 
the Mechanical Licensing Collective, the filing participant shall 
produce electronically and deliver by email to the participants in and 
parties to the proceeding documents that demonstrate why the 
Administrative Assessment proposed by the Mechanical Licensing 
Collective does not fulfill the requirements set forth in 17 U.S.C. 
115(d)(7).
    (3) Concurrently with the filing of responsive submission(s), the 
filing participant shall provide electronically and deliver by email to 
the other participants in the proceeding written disclosures that:
    (i) List the individuals with material knowledge of, and 
availability to provide testimony concerning, the reasons why the 
Administrative Assessment proposed by the Mechanical Licensing 
Collective does not fulfill the requirements set forth in 17 U.S.C. 
115(d)(7); and
    (ii) For each listed individual, describe the subject(s) of his or 
her knowledge.
    (g) Second discovery period. (1) During the discovery period 
described in Sec.355.2(g)(1)(v), the Mechanical Licensing Collective 
may serve requests for additional documents on the Digital Licensee 
Coordinator and other parties to the proceeding. Such requests shall be 
limited to documents that are Discoverable.

[[Page 841]]

    (2) The Mechanical Licensing Collective may notice and take 
depositions as provided in paragraph (e) of this section.
    (h) Discovery disputes. (1) Prior to invoking the procedures set 
forth in this paragraph (h), any participant that seeks intervention of 
the Copyright Royalty Judges to resolve a discovery dispute must first 
attempt in good faith to resolve the dispute between it and the other 
proceeding participant(s). All proceeding participants have a duty to, 
and shall, cooperate in good faith to resolve any such disputes without 
involvement of the Copyright Royalty Judges to the extent possible.
    (2) In the event that two or more participants are unable to resolve 
a discovery dispute after good-faith consultation, a participant 
requesting discovery may file a motion and brief of no more than 1,500 
words with the Copyright Royalty Judges. The motion must include a 
certification that the participant filing the motion attempted to 
resolve the dispute at issue in good faith, but was unable to do so. For 
a dispute involving the provision of documents or deposition testimony, 
the brief shall detail the reasons why the documents or deposition 
testimony are Discoverable.
    (3) The responding participant may file a responsive brief of no 
more than 1,500 words within two business days of the submission of the 
initial brief.
    (4) Absent unusual circumstances, the Copyright Royalty Judges will 
rule on the dispute within three business days of the filing of the 
responsive brief. Upon reasonable notice to the participants, the Chief 
Copyright Royalty Judge, or an individual Copyright Royalty Judge 
designated by the Chief Copyright Royalty Judge, may consider and rule 
on any discovery dispute in a telephone conference with the relevant 
participants.
    (i) Reply submissions by the Mechanical Licensing Collective. The 
Mechanical Licensing Collective may file a written reply submission 
addressed only to the issues raised in any responsive submission(s) 
filed under paragraph (f) of this section in accordance with the 
schedule adopted by the Copyright Royalty Judges, which reply may 
include written testimony, documentation, and analysis addressed only to 
the issues raised in responsive submission(s).
    (j) Joint pre-hearing submission. No later than 14 days prior to the 
commencement of the hearing, the Mechanical Licensing Collective, the 
Digital Licensee Coordinator, and any other parties to the proceeding 
shall file jointly a written submission with the Copyright Royalty 
Judges, stating:
    (1) Specific areas of agreement between the parties; and
    (2) A concise statement of issues remaining in dispute with respect 
to the determination of the Administrative Assessment.



Sec.355.4  Negotiation periods.

    (a) First negotiation period. The Mechanical Licensing Collective 
and the Digital Licensee Coordinator shall, and other participants may, 
participate in good faith in a first negotiation period in an attempt to 
reach an agreement with respect to any issues in dispute regarding the 
Administrative Assessment, commencing on the day of commencement under 
Sec.355.2(a) or (b), as applicable, and lasting 60 days. The 
Mechanical Licensing Collective shall advise the other participants, via 
email, about the negotiations and invite them to participate, as those 
participants appear in the participant list in eCRB.
    (b) Second negotiation period. The Mechanical Licensing Collective 
and the Digital Licensee Coordinator shall, and all other participants 
may, participate in good faith in a second negotiation period commencing 
on a date set by the Copyright Royalty Judges and lasting 14 days.
    (c) Written notification regarding result of negotiations. By the 
close of a negotiation period, the Mechanical Licensing Collective and 
the Digital Licensee Coordinator shall file in eCRB a joint written 
notification indicating
    (1) Whether they have reached an agreement, in whole or in part, 
with respect to issues in dispute regarding the Administrative 
Assessment,
    (2) The details of any agreement,
    (3) A description of any issues as to which they have not reached 
agreement, and
    (4) A list of other participants that intend to join in any proposed 
settlement resulting from the agreement of

[[Page 842]]

the Mechanical Licensing Collective and the Digital Licensee 
Coordinator. Participants, other than the settling parties, may, within 
five days following the filing of a proposed settlement, file in eCRB 
comments (not to exceed ten pages and not to exceed 2500 words exclusive 
of cover pages, tables of contents, tables of authorities, signature 
blocks, exhibits, and proof of delivery) about the proposed settlement. 
The settling parties may, within five days following the comment 
deadline, file in eCRB a joint response to any comments.



Sec.355.5  Hearing procedures.

    (a) En banc panel. The Copyright Royalty Judges shall preside en 
banc over any hearing to determine the reasonableness of and the 
allocation of responsibility to contribute to the Administrative 
Assessment.
    (b) Attendance and participation. The Mechanical Licensing 
Collective, through an authorized officer or other managing agent, and 
the Digital Licensee Coordinator, if any, through an authorized officer 
or other managing agent, shall attend and participate in the hearing. 
Any other entity that has filed a valid Petition to Participate and that 
the Copyright Royalty Judges have not found to be disqualified shall 
participate in an Administrative Assessment proceeding hearing. If the 
Copyright Royalty Judges find, sua sponte or upon motion of a 
participant, that a participant has failed substantially to comply with 
any of the requirements of this part, the Copyright Royalty Judges may 
exclude that participant from participating in the hearing; provided, 
however, that the Mechanical Licensing Collective and the Digital 
Licensee Coordinator shall not be subject to exclusion.
    (c) Admission of written submissions, deposition transcripts, and 
other documents. Subject to any valid objections of a participant, the 
Copyright Royalty Judges shall admit into evidence at an Administrative 
Assessment hearing the complete initial, responsive, and reply 
submissions that the participants have filed. Participants shall not 
file deposition transcripts, but may utilize deposition transcripts for 
the purposes and under the conditions described in Fed. R. Civ. P. 32 
and interpreting case law. Any participant may expand upon excerpts at 
the hearing or counter-designate excerpts in the written record to the 
extent necessary to provide appropriate context for the record. During 
the hearing, upon the oral request of any participant, any document 
proposed as an exhibit by any participant shall be admitted into 
evidence so long as that document was produced previously by any 
participant, subject only to a valid evidentiary objection.
    (d) Argument and examination of witnesses. An Administrative 
Assessment hearing shall consist of the oral testimony of witnesses at 
the hearing and arguments addressed to the written submissions and oral 
testimony proffered by the participants, except that the Copyright 
Royalty Judges may, sua sponte or upon written or oral request of a 
participant, find good cause to dispense with the oral direct, cross, or 
redirect examination of a witness, and rely, in whole or in part, on 
that witness's written testimony. The Copyright Royalty Judges may, at 
their discretion, and in a procedure the Judges describe in a prehearing 
Scheduling Order, and after consideration of the positions of counsel 
for the participants, require expert witnesses to be examined 
concurrently by the Judges and/or the attorneys. If the Judges so order, 
the expert witnesses may then testify through a colloquy among 
themselves, including questions addressed to each other, as limited and 
directed by the Judges and subject to valid objections by counsel and 
ruled upon by the Judges. The concurrent examination procedure may be 
utilized in conjunction with, or in lieu of, traditional direct, cross, 
redirect and (with leave of the Judges) further direct or cross 
examination. In the absence of any order directing the use of concurrent 
examination, only the traditional form of examination described above 
shall be utilized. Only witnesses who have submitted written testimony 
or who were deposed in the proceeding may be examined at the hearing. A 
witness's oral testimony shall not exceed the subject matter of his or 
her written or deposition testimony. Unless the Copyright Royalty 
Judges, on

[[Page 843]]

motion of a participant, order otherwise, no witness, other than an 
expert witness or a person designated as a party representative for the 
proceeding, may listen to, or review a transcript of, testimony of 
another witness or witnesses prior to testifying.
    (e) Objections. Participants may object to evidence on any proper 
ground, by written or oral objection, including on the ground that a 
participant seeking to offer evidence for admission has failed without 
good cause to produce the evidence during the discovery process. The 
Copyright Royalty Judges may, but are not required to, admit hearsay 
evidence to the extent they deem it appropriate.
    (f) Transcript and record. The Copyright Royalty Judges shall 
designate an official reporter for the recording and transcribing of 
hearings. Anyone wishing to inspect the transcript of a hearing, to the 
extent the transcript is not restricted under a protective order, may do 
so when the hearing transcript is filed in the Copyright Royalty Judges' 
electronic filing and case management system, eCRB, at https://
app.crb.gov after the hearing concludes. The availability of restricted 
portions of any transcript shall be described in the protective order. 
Any participant desiring daily or expedited transcripts shall make 
separate arrangements with the designated court reporter.



Sec.355.6  Determinations.

    (a) How made. The Copyright Royalty Judges shall determine the 
amount and terms of the Administrative Assessment in accordance with 17 
U.S.C. 115(d)(7). The Copyright Royalty Judges shall base their 
determination on their evaluation of the totality of the evidence before 
them, including oral testimony, written submissions, admitted exhibits, 
designated deposition testimony, the record associated with any motions 
and objections by participants, the arguments presented, and prior 
determinations and interpretations of the Copyright Royalty Judges (to 
the extent those prior determinations and interpretations are not 
inconsistent with a decision of the Register of Copyrights that was 
timely delivered to the Copyright Royalty Judges pursuant to 17 U.S.C. 
802(f)(1)(A) or (B), or with a decision of the Register of Copyrights 
made pursuant to 17 U.S.C. 802(f)(1)(D), or with a decision of the U.S. 
Court of Appeals for the D.C. Circuit).
    (b) Timing. The Copyright Royalty Judges shall issue and cause their 
determination to be published in the Federal Register not later than one 
year after commencement of the proceeding under Sec.355.2(a) or, in a 
proceeding commenced under Sec.355.2(b), during June of the calendar 
year following the commencement of the proceeding.
    (c) Effectiveness. (1) The initial Administrative Assessment 
determined in the proceeding under Sec.355.2(a) shall be effective as 
of the License Availability Date and shall continue in effect until the 
Copyright Royalty Judges determine or approve an adjusted Administrative 
Assessment under Sec.355.2(b).
    (2) Any adjusted Administrative Assessment determined in a 
proceeding under Sec.355.2(b) shall take effect January 1 of the year 
following its publication in the Federal Register.
    (d) Adoption of voluntary agreements. In lieu of reaching and 
publishing a determination, the Copyright Royalty Judges shall approve 
and adopt the amount and terms of an Administrative Assessment that has 
been negotiated and agreed to by the Mechanical Licensing Collective and 
the Digital Licensee Coordinator pursuant to Sec.355.4. 
Notwithstanding the negotiation of an agreed Administrative Assessment, 
however, the Copyright Royalty Judges may, for good cause shown, reject 
an agreement. If the Copyright Royalty Judges reject a negotiated agreed 
Administrative Assessment, they shall proceed with adjudication in 
accordance with the schedule in place in the proceeding. Rejection by 
the Copyright Royalty Judges of a negotiated agreed Administrative 
Assessment shall not prejudice the parties' ability to continue to 
negotiate and submit to the Copyright Royalty Judges an alternate agreed 
Administrative Assessment or resubmit an amended prior negotiated 
agreement that addresses the Judges' reasons for initial rejection at 
any time, including during a hearing or after a hearing at

[[Page 844]]

any time before the Copyright Royalty Judges issue a determination.
    (e) Continuing authority to amend. The Copyright Royalty Judges 
shall retain continuing authority to amend a determination of an 
Administrative Assessment to correct technical or clerical errors, or 
modify the terms of implementation, for good cause shown, with any 
amendment to be published in the Federal Register.



Sec.355.7  Definitions.

    Capitalized terms in this part that are defined terms in 17 U.S.C. 
115(e) shall have the same meaning as set forth in 17 U.S.C. 115(e). In 
addition, for purposes of this part, the following definitions apply:
    Digital Licensee Coordinator shall mean the entity the Register of 
Copyrights designates as the Digital Licensee Coordinator pursuant to 17 
U.S.C. 115(d)(5)(B)(iii), or if the Register makes no such designation, 
interested Digital Music Providers and Significant Nonblanket Licensees 
representing more than half of the market for uses of musical works in 
Covered Activities, acting collectively.
    Discoverable documents or deposition testimony are documents or 
deposition testimony that are:
    (1) Nonprivileged;
    (2) Relevant to consideration of whether a proposal or response 
thereto fulfills the requirements in 17 U.S.C. 115(d)(7); and
    (3) Proportional to the needs of the proceeding, considering the 
importance of the issues at stake in the proceeding, the requested 
participant's relative access to responsive information, the 
participants' resources, the importance of the document or deposition 
request in resolving or clarifying the issues presented in the 
proceeding, and whether the burden or expense of producing the requested 
document or deposition testimony outweighs its likely benefit. Documents 
or deposition testimony need not be admissible in evidence to be 
Discoverable.

[[Page 845]]



                SUBCHAPTER C_SUBMISSION OF ROYALTY CLAIMS





PART 360_FILING OF CLAIMS TO ROYALTY FEES COLLECTED UNDER COMPULSORY
LICENSE--Table of Contents



                  Subpart A_Cable and Satellite Claims

Sec.
360.1 General.
360.2 Definitions.
360.3 Time of filing.
360.4 Form and content of claims.

   Subpart B_Digital Audio Recording Devices and Media (DART) Royalty 
                                 Claims

360.20 General.
360.21 Time of filing.
360.22 Form and content of claims.
360.23 Content of notices regarding independent administrators.

                 Subpart C_Rules of General Application

360.30 Amendment of claims.
360.31 Withdrawal of claims.
360.32 Reinstatement of previously withdrawn claims.

    Authority: 17 U.S.C. 801, 803, 805.
    Subpart A also issued under 17 U.S.C. 111(d)(4) and 119(b)(4).
    Subpart B also issued under 17 U.S.C. 1007(a)(1).
    Subpart C also issued under 17 U.S.C. 111(d)(4), 119(b)(4) and 
1007(a)(1).

    Source: 82 FR 27018, June 13, 2017, unless otherwise noted.



                  Subpart A_Cable and Satellite Claims



Sec.360.1  General.

    This subpart prescribes procedures under 17 U.S.C. 111(d)(4)(A) and 
17 U.S.C. 119(b)(4) whereby parties claiming entitlement to cable 
compulsory license royalty fees or satellite compulsory license royalty 
fees must file claims with the Copyright Royalty Board.



Sec.360.2  Definitions.

    For purposes of this subpart, the following definitions will apply:
    Cable compulsory license royalty fees means royalty fees deposited 
with the Copyright Office pursuant to 17 U.S.C. 111.
    Performing rights society has the meaning set forth in 17 U.S.C. 
101.
    Satellite compulsory license royalty fees means royalty fees 
deposited with the Copyright Office pursuant to 17 U.S.C. 119.



Sec.360.3  Time of filing.

    (a) During the month of July each year, any party claiming to be 
entitled to cable compulsory license royalty fees or satellite 
compulsory license royalty fees for secondary transmissions during the 
preceding calendar year must file a claim or claims with the Copyright 
Royalty Board. No party will receive royalty fees for secondary 
transmissions during the specified period unless the party has filed a 
timely claim to the fees. Claimants may file claims jointly or as a 
single claim. Claimants must file separate claims for cable compulsory 
license royalty fees and satellite compulsory license royalty fees. The 
Copyright Royalty Board will reject any claim that purports to be for 
both cable and satellite royalty fees.
    (b) Claims filed with the Copyright Royalty Board will be considered 
timely filed only if they are filed online through eCRB during the month 
of July, as determined in accordance with Sec.350.7.
    (c) Notwithstanding paragraphs (a) and (b) of this section, in any 
year in which July 31 falls on a Saturday, Sunday, holiday, or other 
nonbusiness day within the District of Columbia or the Federal 
Government, the due date for claims to cable or satellite compulsory 
license royalty fees will be the first business day in August.
    (d) For claims filed electronically through eCRB, the Copyright 
Royalty Board will accept the confirmation email generated by eCRB as 
proof of filing. The Copyright Royalty Board will accept no other offer 
of proof regarding claims filed electronically through eCRB.

[82 FR 27018, June 13, 2017, as amended at 85 FR 37752, June 24, 2020]

[[Page 846]]



Sec.360.4  Form and content of claims.

    (a) Electronic filing. (1) Each filer must file claims online using 
the claims filing feature of eCRB to claim cable compulsory license 
royalty fees or satellite compulsory license royalty fees and must 
provide all information required by the online form and its accompanying 
instructions.
    (2) Filers may access eCRB at https://app.crb.gov. The claims filing 
feature for claims to cable compulsory license royalty fees and 
satellite compulsory license royalty fees will be available only during 
the month of July.
    (b) Content--(1) Single claim. A claim filed on behalf of a single 
copyright owner of a work or works secondarily transmitted by a cable 
system or satellite carrier must include the following information:
    (i) The full legal name, address, and email address of the copyright 
owner entitled to claim the royalty fees.
    (ii) A statement of the nature of the copyright owner's work(s) that 
has (have) been secondarily transmitted by a cable system or satellite 
carrier establishing a basis for the claim.
    (iii) The name, telephone number, full mailing address, and email 
address of the person or entity filing the single claim. The information 
contained in a filer's eCRB profile shall fulfill this requirement for 
claims submitted through eCRB.
    (iv) The name, telephone number, and email address of the person 
whom the Copyright Royalty Board can contact regarding the claim.
    (v) A declaration of authority to file the claim and a certification 
of the veracity of the information contained in the claim and the good 
faith of the person signing in providing the information. Penalties for 
fraud and false statements are provided under 18 U.S.C. 1001 et seq.
    (2) Joint claim. A claim filed on behalf of more than one copyright 
owner whose works have been secondarily transmitted by a cable system or 
satellite carrier must include the following information:
    (i) With the exception of joint claims filed by a performing rights 
society on behalf of its members, a list including the full legal name, 
address, and email address of each copyright owner whose claim(s) are 
included in the joint claim. Claims must include an Excel spreadsheet 
containing the information if the number of joint claimants is in excess 
of ten.
    (ii) A general statement of the nature of the copyright owners' 
works that have been secondarily transmitted by a cable system or 
satellite carrier establishing a basis for the joint claim.
    (iii) The name, telephone number, full mailing address, and email 
address of the person or entity filing the joint claim. The information 
contained in a filer's eCRB profile shall fulfill this requirement.
    (iv) The name, telephone number, and email address of a person whom 
the Copyright Royalty Board can contact regarding the claim.
    (v) A declaration of authority to file the claim and a certification 
of the veracity of the information contained in the claim and the good 
faith of the person signing in providing the information. Penalties for 
fraud and false statements are provided under 18 U.S.C. 1001 et seq.
    (c) Changes. In the event the legal name and/or address of the 
copyright owner entitled to royalties or the person or entity filing the 
claim changes after the filing of the claim, the filer or the copyright 
owner shall notify the Copyright Royalty Board of the change. Any other 
proposed changes or amendments must be submitted in accordance with 37 
CFR 360.30. If the good faith efforts of the Copyright Royalty Board to 
contact the copyright owner or filer are frustrated because of outdated 
or otherwise inaccurate contact information, the claim may be subject to 
dismissal. A person or entity that filed a claim online through eCRB 
must notify the Copyright Royalty Board of any change of name or address 
by updating the eCRB profile for that person or entity through eCRB as 
required by 37 CFR 350.5(g).

[82 FR 27018, June 13, 2017, as amended at 85 FR 37752, June 24, 2020]

[[Page 847]]



   Subpart B_Digital Audio Recording Devices and Media (DART) Royalty 
                                 Claims



Sec.360.20  General.

    This subpart prescribes procedures whereby an interested copyright 
party, as defined in 17 U.S.C. 1001(7), claiming to be entitled to 
royalty payments made for the importation and distribution in the United 
States, or the manufacture and distribution in the United States, of 
digital audio recording devices and media (DART) pursuant to 17 U.S.C. 
1006, shall file claims with the Copyright Royalty Board.



Sec.360.21  Time of filing.

    (a) General. During January and February of each year, every 
interested copyright party claiming to be entitled to DART royalty 
payments made for quarterly periods ending during the previous calendar 
year must file a claim with the Copyright Royalty Board. Claimants may 
file claims jointly or as a single claim.
    (b) Consequences of an untimely filing. No royalty payments for the 
previous calendar year will be distributed to any interested copyright 
party who has not filed a claim to those royalty payments during January 
or February of the following calendar year.
    (c) Authorization. Any organization or association acting as a 
common agent for collection and distribution of DART royalty fees must 
obtain from its members or affiliates separate, specific, and written 
authorization, signed by members, affiliates, or their representatives, 
apart from their standard affiliation agreements, for purposes of 
royalties claim filing and fee distribution relating to the DART Musical 
Works Fund or Sound Recordings Fund. The written authorization, however, 
will not be required for claimants to the Musical Works Fund when 
either:
    (1) The agreement between the organization or association and its 
members or affiliates specifically authorizes the entity to represent 
its members or affiliates as a common agent before the Copyright Royalty 
Board in royalty claims filing and fee distribution proceedings; or
    (2) The agreement between the organization or association and its 
members or affiliates, as specified in a court order issued by a court 
with authority to interpret the terms of the contract, authorizes the 
entity to represent its members or affiliates as a common agent before 
the Copyright Royalty Board in royalty claims filing and fee 
distribution proceedings.



Sec.360.22  Form and content of claims.

    (a) Electronic filing. (1) Each claim to DART royalty payments must 
be filed online using the claims filing feature of eCRB and must contain 
the information required by the online form and its accompanying 
instructions.
    (2) Filers may access eCRB at https://app.crb.gov. The claims filing 
feature for claims to DART royalty payments will be available only 
during the months of January and February.
    (b) Content. Claims filed by interested copyright parties for DART 
royalty payments must include the following information:
    (1) The full legal name and address of the person or entity claiming 
royalty payments.
    (2) The name, telephone number, full mailing address, and email 
address of the person or entity filing the claim. The information 
contained in a filer's eCRB profile will fulfill this requirement.
    (3) The name, telephone number, and email address of a person whom 
the Copyright Royalty Board can contact regarding the claim.
    (4) A statement as to how the claimant fits within the definition of 
interested copyright party.
    (5) A statement as to whether the claim is being made against the 
Sound Recordings Fund or the Musical Works Fund, as set forth in 17 
U.S.C. 1006(b), and as to which Subfund the claim is made. The Subfunds 
for the Sound Recordings Fund are the Copyright Owners Subfund and the 
Featured Recording Artists Subfund, The Subfunds for the Musical Works 
Fund are the Music Publishers Subfund and the Writers Subfund, as 
described in 17 U.S.C. 1006(b)(1) through (2).
    (6) Identification, establishing a basis for the claim, of at least 
one musical work or sound recording embodied in a digital musical 
recording or an analog musical recording lawfully made under

[[Page 848]]

title 17 of the United States Code that has been distributed (as that 
term is defined in 17 U.S.C. 1001(6)), and that, during the period to 
which the royalty payments claimed pertain, has been:
    (i) Distributed (as that term is defined in 17 U.S.C. 1001(6)) in 
the form of digital musical recordings or analog musical recordings; or
    (ii) Disseminated to the public in transmissions.
    (7) A declaration of the authority to file the claim and of the 
veracity of the information contained in the claim and the good faith of 
the person signing in providing the information. Penalties for fraud and 
false statements are provided under 18 U.S.C. 1001 et seq.
    (c) Changes. In the event that the legal name and/or address of the 
claimant changes after the filing of the claim, the claimant must notify 
the Copyright Royalty Board of the change. Any other proposed changes or 
amendments must be submitted in accordance with 37 CFR 360.30. If the 
good faith efforts of the Copyright Royalty Board to contact the 
claimant are frustrated because of failure to notify the Copyright 
Royalty Board of a name and/or address change, the claim may be subject 
to dismissal. A person or entity that filed a claim online through eCRB 
must notify the Copyright Royalty Board of any change of name or address 
by updating that person or entity's eCRB profile as required by Sec.
350.5(g).
    (d) List of claimants. If the claim is a joint claim, it must 
include the name of each claimant participating in the joint claim. 
Filers submitting joint claims on behalf of ten or fewer claimants, must 
list the name of each claimant included in the joint claim directly on 
the filed joint claim. Filers submitting joint claims on behalf of more 
than ten claimants must include an Excel spreadsheet listing the name of 
each claimant included in the joint claim.
    (e) Subfunds. If an interested copyright party intends to file 
claims against more than one Subfund, each Subfund claim must be filed 
separately with the Copyright Royalty Board. The Copyright Royalty Board 
will reject any claim that purports to claim funds from more than one 
Subfund.

[82 FR 27018, June 13, 2017, as amended at 82 FR 55323, Nov. 21, 2017; 
85 FR 37752, June 24, 2020]



Sec.360.23  Content of notices regarding independent administrators.

    (a) The independent administrator jointly appointed by the 
interested copyright parties, as defined in 17 U.S.C. 1001(7)(A), and 
the American Federation of Musicians (or any successor entity) for the 
purpose of managing and ultimately distributing royalty payments to 
nonfeatured musicians as defined in 17 U.S.C. 1006(b)(1), must file a 
notice informing the Copyright Royalty Board of his/her appointment.
    (b) The independent administrator jointly appointed by the 
interested copyright parties, as defined in 17 U.S.C. 1001(7)(A) and the 
American Federation of Television and Radio Artists (or any successor 
entity) for the purpose of managing and ultimately distributing royalty 
payments to nonfeatured vocalists as defined in 17 U.S.C. 1006(b)(1), 
must file a notice online through eCRB informing the Copyright Royalty 
Board of his/her appointment.
    (c) A notice filed under paragraph (a) or (b) of this section must 
include the full name, telephone number, mailing address, and email 
address of the place of business of the independent administrator.
    (d) The independent administrator must file the notices identified 
in paragraphs (a) and (b) of this section through eCRB no later than 
March 31 of each year, commencing with March 31, 2018.

[82 FR 27018, June 13, 2017. Redesignated and amended at 85 FR 37753, 
June 24, 2020]



                 Subpart C_Rules of General Application



Sec.360.30  Amendment of claims.

    Any claimant may amend a filed claim as of right by filing a Notice 
of Amendment during the statutory period for filing annual claims. After 
the expiration of the time for filing claims, a claimant may amend a 
filed claim as

[[Page 849]]

of right to correct the general description of the nature of the 
claimant's work(s), to fix typographical or other nonsubstantive errors 
in other portions of the claim, or to strike a claimant or interested 
copyright party that was erroneously included in a joint claim. No filer 
may amend a filed claim to add additional claimants or interested 
copyright parties after the expiration of the time for filing claims.All 
Notices of Amendment must be filed online through eCRB.

[82 FR 27018, June 13, 2017, as amended at 85 FR 37753, June 24, 2020]



Sec.360.31  Withdrawal of claims.

    Any claimant may withdraw its claim for any royalty year as of right 
by filing a Notice of Withdrawal of Claim(s). If a single claimant filed 
a Petition to Participate in a proceeding, withdrawal of the claim shall 
serve to dismiss the Petition to Participate. If the claimant 
withdrawing a claim was included on the Petition to Participate of 
another entity, withdrawal of the claim shall not affect the Petition to 
Participate as to other claims listed thereon. All Notices of Withdrawal 
of Claim(s) must be filed online through eCRB.

[82 FR 27018, June 13, 2017, as amended at 85 FR 37753, June 24, 2020]



Sec.360.32  Reinstatement of previously withdrawn claims.

    Once a claimant has withdrawn a claim, that claim may be reinstated 
only by order of the Copyright Royalty Judges, on motion showing good 
cause and lack of prejudice to other claimants to the applicable year's 
royalty funds.

[[Page 850]]



    SUBCHAPTER D_NOTICE AND RECORDKEEPING REQUIREMENTS FOR STATUTORY 
                                LICENSES





PART 370_NOTICE AND RECORDKEEPING REQUIREMENTS FOR STATUTORY LICENSES
--Table of Contents



Sec.
370.1 General definitions.
370.2 Notice of use of sound recordings under statutory license.
370.3 Reports of use of sound recordings under statutory license for 
          preexisting subscription services.
370.4 Reports of use of sound recordings under statutory license for 
          nonsubscription transmission services, preexisting satellite 
          digital audio radio services, new subscription services and 
          business establishment services.
370.5 Designated collection and distribution organizations for reports 
          of use of sound recordings under statutory license.

    Authority: 17 U.S.C. 112(e)(4), 114(f)(3)(A).

    Source: 74 FR 52423, Oct. 13, 2009, unless otherwise noted.



Sec.370.1  General definitions.

    For purposes of this part, the following definitions apply:
     Business Establishment Service is a service that makes ephemeral 
phonorecords of sound recordings pursuant to section 112(e) of title 17 
of the United States Code and is exempt under section 114(d)(1)(C)(iv) 
of title 17 of the United States Code.
     Collective is a collection and distribution organization that is 
designated under one or both of the statutory licenses by determination 
of the Copyright Royalty Judges.
    Copyright Owners means sound recording copyright owners under 17 
U.S.C. 101, and rights owners under 17 U.S.C. 1401(l)(2), who are 
entitled to royalty payments made pursuant to the statutory licenses 
under 17 U.S.C. 112(e) and 114.
     New Subscription Service is defined in 17 U.S.C. 114(j)(8).
     Nonsubscription Transmission Service is a service that makes 
noninteractive nonsubscription digital audio transmissions that are not 
exempt under section 114(d)(1) of title 17 of the United States Code and 
are made as part of a service that provides audio programming 
consisting, in whole or in part, of performances of sound recordings, 
including transmissions of broadcast transmissions, if the primary 
purpose of the service is to provide to the public such audio or other 
entertainment programming, and the primary purpose of the service is not 
to sell, advertise, or promote particular products or services other 
than sound recordings, live concerts, or other music-related events.
     Notice of Use of Sound Recordings Under Statutory License is a 
written notice to sound recording copyright owners of the use of their 
works under section 112(e) or 114(d)(2) of title 17, United States Code, 
or both, and is required under this part to be filed by a Service in the 
Copyright Office.
     Preexisting Satellite Digital Audio Radio Service is defined in 17 
U.S.C. 114(j)(10).
     Preexisting Subscription Service is defined in 17 U.S.C. 
114(j)(11).
     Report of Use is a report required to be provided by a Service that 
is transmitting sound recordings pursuant to the statutory license set 
forth in section 114(d)(2) of title 17 of the United States Code or 
making ephemeral phonorecords of sound recordings pursuant to the 
statutory license set forth in section 112(e) of title 17 of the United 
States Code, or both.
     Service is an entity engaged in either the digital transmission of 
sound recordings pursuant to section 114(d)(2) of title 17 of the United 
States Code or making ephemeral phonorecords of sound recordings 
pursuant to section 112(e) of title 17 of the United States Code or 
both. The definition of a Service includes an entity that transmits an 
AM/FM broadcast signal over a digital communications network such as the 
Internet, regardless of whether the transmission is made by the 
broadcaster that originates the AM/FM signal or by a third party, 
provided that such transmission meets the applicable requirements of the 
statutory license

[[Page 851]]

set forth in 17 U.S.C. 114(d)(2). A Service may be further characterized 
as either a preexisting subscription service, preexisting satellite 
digital audio radio service, nonsubscription transmission service, new 
subscription service, business establishment service or a combination of 
those.

[74 FR 52423, Oct. 13, 2009, as amended at 84 FR 32312, July 8, 2019]



Sec.370.2  Notice of use of sound recordings under statutory license.

    (a) General. This section prescribes rules under which copyright 
owners shall receive notice of use of their sound recordings when used 
under either section 112(e) or 114(d)(2) of title 17, United States 
Code, or both.
    (b) Forms and content. A Notice of Use of Sound Recordings Under 
Statutory License shall be prepared on a form that may be obtained from 
the Copyright Office Web site or from the Licensing Division, and shall 
include the following information:
    (1) The full legal name of the Service that is either commencing 
digital transmissions of sound recordings or making ephemeral 
phonorecords of sound recordings under statutory license or doing both.
    (2) The full address, including a specific number and street name or 
rural route, of the place of business of the Service. A post office box 
or similar designation will not be sufficient except where it is the 
only address that can be used in that geographic location.
    (3) The telephone number and facsimile number of the Service.
    (4) Information on how to gain access to the online Web site or 
homepage of the Service, or where information may be posted under this 
section concerning the use of sound recordings under statutory license.
    (5) Identification of each license under which the Service intends 
to operate, including identification of each of the following categories 
under which the Service will be making digital transmissions of sound 
recordings: Preexisting subscription service, preexisting satellite 
digital audio radio service, nonsubscription transmission service, new 
subscription service or business establishment service.
    (6) The date or expected date of the initial digital transmission of 
a sound recording to be made under the section 114 statutory license 
and/or the date or the expected date of the initial use of the section 
112(e) license for the purpose of making ephemeral phonorecords of the 
sound recordings.
    (7) Identification of any amendments required by paragraph (e) of 
this section.
    (c) Signature. The Notice shall include the signature of the 
appropriate officer or representative of the Service that is either 
transmitting the sound recordings or making ephemeral phonorecords of 
sound recordings under statutory license or doing both. The signature 
shall be accompanied by the printed or typewritten name and the title of 
the person signing the Notice and by the date of the signature.
    (d) Filing notices; fees. The original and three copies shall be 
filed with the Licensing Division of the Copyright Office and shall be 
accompanied by the filing fee set forth in Sec.201.3(e) of this title. 
Notices shall be placed in the public records of the Licensing Division. 
The Notice and filing fee shall be sent to the Licensing Division at 
either the address listed on the form obtained from the Copyright Office 
or to: Library of Congress, Copyright Office, Licensing Division, 101 
Independence Avenue, SE., Washington, DC 20557-6400. A Service that, on 
or after July 1, 2004, shall make digital transmissions and/or ephemeral 
phonorecords of sound recordings under statutory license shall file a 
Notice of Use of Sound Recordings under Statutory License with the 
Licensing Division of the Copyright Office prior to the making of the 
first ephemeral phonorecord of the sound recording and prior to the 
first digital transmission of the sound recording.
    (e) Amendment. A Service shall file a new Notice of Use of Sound 
Recordings under Statutory License within 45 days after any of the 
information contained in the Notice on file has changed, and shall 
indicate in the space provided by the Copyright Office that the Notice 
is an amended filing. The Licensing Division shall retain copies of all 
prior Notices filed by the Service.

    Effective Date Note: At 86 FR 32643, June 22, 2021, Sec.370.2 was 
amended by removing

[[Page 852]]

``Licensing Division'' from each place it appears and adding in its 
place ``Licensing Section'', effective July 22, 2021.



Sec.370.3  Reports of use of sound recordings under statutory license
for preexisting subscription services.

    (a) General. This section prescribes the rules for the maintenance 
and delivery of reports of use for sound recordings under section 112(e) 
or section 114(d)(2) of title 17 of the United States Code, or both, by 
preexisting subscription services.
    (b) Delivery. Reports of Use shall be delivered to Collectives that 
are identified in the records of the Licensing Division of the Copyright 
Office as having been designated by determination of the Copyright 
Royalty Judges. Reports of Use shall be delivered on or before the 
forty-fifth day after the close of each month.
    (c) Posting. In the event that no Collective is designated under the 
statutory license, or if all designated Collectives have terminated 
collection and distribution operations, a preexisting subscription 
service transmitting sound recordings under statutory license shall post 
and make available online its Reports of Use. Preexisting subscription 
services shall post their Reports of Use online on or before the forty-
fifth day after the close of each month, and continue to make them 
available thereafter to all sound recording copyright owners for a 
period of 90 days. Preexisting subscription services may require use of 
passwords for access to posted Reports of Use, but must make passwords 
available in a timely manner and free of charge or other restrictions. 
Preexisting subscription services may predicate provision of a password 
upon:
    (1) Information relating to identity, location and status as a sound 
recording copyright owner; and
    (2) A ``click-wrap'' agreement not to use information in the Report 
of Use for purposes other than royalty collection, royalty distribution, 
and determining compliance with statutory license requirements, without 
the express consent of the preexisting subscription service providing 
the Report of Use.
    (d) Content. A ``Report of Use of Sound Recordings under Statutory 
License'' shall be identified as such by prominent caption or heading, 
and shall include a preexisting subscription service's ``Intended 
Playlists'' for each channel and each day of the reported month. The 
``Intended Playlists'' shall include a consecutive listing of every 
recording scheduled to be transmitted, and shall contain the following 
information in the following order:
    (1) The name of the preexisting subscription service or entity;
    (2) The channel;
    (3) The sound recording title;
    (4) The featured recording artist, group, or orchestra;
    (5) The retail album title (or, in the case of compilation albums 
created for commercial purposes, the name of the retail album identified 
by the preexisting subscription service for purchase of the sound 
recording);
    (6) The marketing label of the commercially available album or other 
product on which the sound recording is found;
    (7) The catalog number;
    (8) The International Standard Recording Code (ISRC) embedded in the 
sound recording, where available and feasible;
    (9) Where available, the copyright owner information provided in the 
copyright notice on the retail album or other product (e.g., following 
the symbol (P), that is the letter P in a circle) or, in the case of 
compilation albums created for commercial purposes, in the copyright 
notice for the individual sound recording;
    (10) The date of transmission; and
    (11) The time of transmission.
    (e) Signature. Reports of Use shall include a signed statement by 
the appropriate officer or representative of the preexisting 
subscription service attesting, under penalty of perjury, that the 
information contained in the Report is believed to be accurate and is 
maintained by the preexisting subscription service in its ordinary 
course of business. The signature shall be accompanied by the printed or 
typewritten name and title of the person signing the Report, and by the 
date of signature.
    (f) Format. Reports of Use should be provided on a standard machine-
readable medium, such as diskette, optical

[[Page 853]]

disc, or magneto-optical disc, and should conform as closely as possible 
to the following specifications:
    (1) ASCII delimited format, using pipe characters as delimiter, with 
no headers or footers;
    (2) Carats should surround strings;
    (3) No carats should surround dates and numbers;
    (4) Dates should be indicated by: YYYY/MM/DD;
    (5) Times should be based on a 24-hour clock: HH:MM:SS;
    (6) A carriage return should be at the end of each line; and
    (7) All data for one record should be on a single line.
    (g) Confidentiality. Copyright owners, their agents and Collectives 
shall not disseminate information in the Reports of Use to any persons 
not entitled to it, nor utilize the information for purposes other than 
royalty collection and distribution, and determining compliance with 
statutory license requirements, without express consent of the 
preexisting subscription service providing the Report of Use.
    (h) Documentation. All compulsory licensees shall, for a period of 
at least three years from the date of service or posting of the Report 
of Use, keep and retain a copy of the Report of Use.
    (i) In any case in which a preexisting subscription service has not 
provided a report of use required under this section for use of sound 
recordings under section 112(e) or section 114 of title 17 of the United 
States Code, or both, prior to January 1, 2010, reports of use for the 
corresponding calendar year filed by other preexisting subscription 
services shall serve as the reports of use for the non-reporting 
service, solely for purposes of distribution of any corresponding 
royalties by the Collective.

[74 FR 52423, Oct. 13, 2009, as amended at 76 FR 45696, Aug. 1, 2011]

    Effective Date Note: At 86 FR 32643, June 22, 2021, Sec.370.3(b) 
was amended by removing ``Licensing Division'' and adding in its place 
``Licensing Section'', effective July 22, 2021.



Sec.370.4  Reports of use of sound recordings under statutory license
for nonsubscription transmission services, preexisting satellite digital
audio radio services, new subscription services and business 
establishment services.
          

    (a) General. This section prescribes rules for the maintenance and 
delivery of Reports of Use of sound recordings under section 112(e) or 
section 114 of title 17 of the United States Code, or both, by 
nonsubscription transmission services, preexisting satellite digital 
audio radio services, new subscription services, and business 
establishment services.
    (b) Definitions. For purposes of this section, the following 
definitions apply:
    Aggregate Tuning Hours means the total hours of programming that a 
nonsubscription transmission service, preexisting satellite digital 
audio radio service, new subscription service or business establishment 
service has transmitted during the reporting period identified in 
paragraph (d)(3) of this section to all listeners within the United 
States over the relevant channels or stations, and from any archived 
programs, that provide audio programming consisting, in whole or in 
part, of eligible nonsubscription service, preexisting satellite digital 
audio radio service, new subscription service or business establishment 
service transmissions, less the actual running time of any sound 
recordings for which the service has obtained direct licenses apart from 
17 U.S.C. 114(d)(2) or which do not require a license under title 17, 
United States Code. For example, if a nonsubscription transmission 
service transmitted one hour of programming to 10 simultaneous 
listeners, the nonsubscription transmission service's Aggregate Tuning 
Hours would equal 10. If 3 minutes of that hour consisted of 
transmission of a directly licensed recording, the nonsubscription 
transmission service's Aggregate Tuning Hours would equal 9 hours and 30 
minutes. If one listener listened to the transmission of a 
nonsubscription transmission service for 10 hours (and none of the 
recordings transmitted during that time was directly licensed),

[[Page 854]]

the nonsubscription transmission service's Aggregate Tuning Hours would 
equal 10.
    AM/FM Webcast means a transmission made by an entity that transmits 
an AM/FM broadcast signal over a digital communications network such as 
the Internet, regardless of whether the transmission is made by the 
broadcaster that originates the AM/FM signal or by a third party, 
provided that such transmission meets the applicable requirements of the 
statutory license set forth in 17 U.S.C. 114(d)(2).
    Broadcaster means an entity that:
    (i) Has a substantial business owning and operating one or more 
terrestrial AM or FM radio stations that are licensed as such by the 
Federal Communications Commission;
    (ii) Has obtained a compulsory license under 17 U.S.C. 112(e) and 
114 and the implementing regulations therefor to make Eligible 
Transmissions and related ephemeral recordings;
    (iii) Complies with all applicable provisions of Sections 112(e) and 
114 and applicable regulations; and
    (iv) Is not a noncommercial webcaster as defined in 17 U.S.C. 
114(f)(5)(E)(i).
    Eligible Minimum Fee Webcaster means a nonsubscription transmission 
service whose payments for eligible transmissions do not exceed the 
annual minimum fee established for licensees relying upon the statutory 
licenses set forth in 17 U.S.C. 112(e) and 114; and:
    (i) Is a licensee that owns and operates a terrestrial AM or FM 
radio station that is licensed by the Federal Communications Commission; 
or
    (ii) Is directly operated by, or affiliated with and officially 
sanctioned by, a domestically accredited primary or secondary school, 
college, university, or other post-secondary degree-granting 
institution; and
    (A) The digital audio transmission operations of which are, during 
the course of the year, staffed substantially by students enrolled in 
such institution;
    (B) Is exempt from taxation under section 501 of the Internal 
Revenue Code, has applied for such exemption, or is operated by a State 
or possession or any governmental entity or subordinate thereof, or by 
the United States or District of Columbia, for exclusively public 
purposes; and
    (C) Is not a ``public broadcasting entity'' (as defined in 17 U.S.C. 
118(f)) qualified to receive funding from the Corporation for Public 
Broadcasting pursuant to the criteria set forth in 47 U.S.C. 396.
    Performance means each instance in which any portion of a sound 
recording is publicly performed to a Listener by means of a digital 
audio transmission or retransmission (e.g., the delivery of any portion 
of a single track from a compact disc to one Listener) but excluding the 
following:
    (i) A performance of a sound recording that does not require a 
license (e.g., the sound recording is not subject to protection under 
title 17, United States Code);
    (ii) A performance of a sound recording for which the service has 
previously obtained a license from the Copyright Owner of such sound 
recording; and
    (iii) An incidental performance that both:
    (A) Makes no more than incidental use of sound recordings including, 
but not limited to, brief musical transitions in and out of commercials 
or program segments, brief performances during news, talk and sports 
programming, brief background performances during disk jockey 
announcements, brief performances during commercials of sixty seconds or 
less in duration, or brief performances during sporting or other public 
events; and
    (B) Other than ambient music that is background at a public event, 
does not contain an entire sound recording and does not feature a 
particular sound recording of more than thirty seconds (as in the case 
of a sound recording used as a theme song).
    Play frequency means the number of times a sound recording is 
publicly performed by a Service during the relevant period, without 
respect to the number of listeners receiving the sound recording. If a 
particular sound recording is transmitted to listeners on a particular 
channel or program only once during the reporting period, then the play 
frequency is one. If the sound recording is transmitted 10 times during

[[Page 855]]

the reporting period, then the play frequency is 10.
    (c) Delivery. Reports of Use shall be delivered to Collectives that 
are identified in the records of the Licensing Division of the Copyright 
Office as having been designated by determination of the Copyright 
Royalty Judges. Reports of Use shall be delivered on or before the 
forty-fifth day after the close of each reporting period identified in 
paragraph (d)(3) of this section.
    (d) Report of Use. (1) Separate reports not required. A 
nonsubscription transmission service, preexisting satellite digital 
audio radio service or a new subscription service that transmits sound 
recordings pursuant to the statutory license set forth in section 
114(d)(2) of title 17 of the United States Code and makes ephemeral 
phonorecords of sound recordings pursuant to the statutory license set 
forth in section 112(e) of title 17 of the United States Code need not 
maintain a separate Report of Use for each statutory license during the 
relevant reporting periods.
    (2) Content. For a nonsubscription transmission service, preexisting 
satellite digital audio radio service, new subscription service or 
business establishment service that transmits sound recordings pursuant 
to the statutory license set forth in section 114(d)(2) of title 17 of 
the United States Code, or the statutory license set forth in section 
112(e) of title 17 of the United States Code, or both, each Report of 
Use shall contain the following information, in the following order, for 
each sound recording transmitted during the reporting periods identified 
in paragraph (d)(3) of this section:
    (i) The name of the nonsubscription transmission service, 
preexisting satellite digital audio radio service, new subscription 
service or business establishment service making the transmissions, 
including the name of the entity filing the Report of Use, if different;
    (ii) The category transmission code for the category of transmission 
operated by the nonsubscription transmission service, preexisting 
satellite digital audio radio service, new subscription service or 
business establishment service:
    (A) For eligible nonsubscription transmissions other than broadcast 
simulcasts and transmissions of non-music programming;
    (B) For eligible nonsubscription transmissions of broadcast 
simulcast programming not reasonably classified as news, talk, sports or 
business programming;
    (C) For eligible nonsubscription transmissions of non-music 
programming reasonably classified as news, talk, sports or business 
programming;
    (D)-(G) [Reserved]
    (H) For transmissions other than broadcast simulcasts and 
transmissions of non-music programming made by an eligible new 
subscription service;
    (I) For transmissions of broadcast simulcast programming not 
reasonably classified as news, talk, sports or business programming made 
by an eligible new subscription service;
    (J) For transmissions of non-music programming reasonably classified 
as news, talk, sports or business programming made by an eligible new 
subscription service; and
    (K) For eligible transmissions by a business establishment service 
making ephemeral recordings;
    (iii) The featured artist;
    (iv) The sound recording title;
    (v) The International Standard Recording Code (ISRC) or, 
alternatively to the ISRC, the:
    (A) Album title; and
    (B) Marketing label;
    (vi) For a nonsubscription transmission service except those 
qualifying as eligible minimum fee webcasters: The actual total 
performances of the sound recording during the reporting period.
    (vii) For a preexisting satellite digital audio radio service, a new 
subscription service, a business establishment service or a 
nonsubscription service qualifying as an eligible minimum fee webcaster: 
The actual total performances of the sound recording during the 
reporting period or, alternatively, the
    (A) Aggregate Tuning Hours;
    (B) Channel or program name; and
    (C) Play frequency.
    (3) Reporting period. A Report of Use shall be prepared:

[[Page 856]]

    (i) For each calendar month of the year by all services other than a 
nonsubscription service qualifying as an eligible minimum fee webcaster; 
or
    (ii) For a two-week period (two periods of 7 consecutive days) for 
each calendar quarter of the year by a nonsubscription service 
qualifying as an eligible minimum fee webcaster and the two-week period 
need not consist of consecutive weeks, but both weeks must be completely 
within the calendar quarter.
    (4) Signature. Reports of Use shall include a signed statement by 
the appropriate officer or representative of the service attesting, 
under penalty of perjury, that the information contained in the Report 
is believed to be accurate and is maintained by the service in its 
ordinary course of business. The signature shall be accompanied by the 
printed or typewritten name and the title of the person signing the 
Report, and by the date of the signature.
    (5) Confidentiality. Copyright owners, their agents and Collectives 
shall not disseminate information in the Reports of Use to any persons 
not entitled to it, nor utilize the information for purposes other than 
royalty collection and distribution, without consent of the service 
providing the Report of Use.
    (6) Documentation. A Service shall, for a period of at least three 
years from the date of service or posting of a Report of Use, keep and 
retain a copy of the Report of Use.
    (e) Format and delivery. (1) Electronic format only. Reports of use 
must be maintained and delivered in electronic format only, as 
prescribed in paragraphs (e)(2) through (8) of this section. A hard copy 
report of use is not permissible.
    (2) ASCII text file delivery; facilitation by provision of 
spreadsheet templates. All report of use data files must be delivered in 
ASCII format. However, to facilitate such delivery, SoundExchange shall 
post and maintain on its Internet Web site a template for creating a 
report of use using Microsoft's Excel spreadsheet and Corel's Quattro 
Pro spreadsheet and instruction on how to convert such spreadsheets to 
ASCII text files that conform to the format specifications set forth 
below. Further, technical support and cost associated with the use of 
spreadsheets is the responsibility of the service submitting the report 
of use.
    (3) Delivery mechanism. The data contained in a report of use may be 
delivered by File Transfer Protocol (FTP), e-mail, or CD-ROM according 
to the following specifications:
    (i) A service delivering a report of use via FTP must obtain a 
username, password and delivery instructions from SoundExchange. 
SoundExchange shall maintain on a publicly available portion of its Web 
site instructions for applying for a username, password and delivery 
instructions. SoundExchange shall have 15 days from date of request to 
respond with a username, password and delivery instructions.
    (ii) A service delivering a report of use via e-mail shall append 
the report as an attachment to the e-mail. The main body of the e-mail 
shall identify:
    (A) The full name and address of the service;
    (B) The contact person's name, telephone number and e-mail address;
    (C) The start and end date of the reporting period;
    (D) The number of rows in the data file. If the report of use is a 
file using headers, counting of the rows should begin with row 15. If 
the report of use is a file without headers, counting of the rows should 
begin with row 1; and
    (E) The name of the file attached.
    (iii) A service delivering a report of use via CD-ROM must compress 
the reporting data to fit onto a single CD-ROM per reporting period. 
Each CD-ROM shall be submitted with a cover letter identifying:
    (A) The full name and address of the service;
    (B) The contact person's name, telephone number and e-mail address;
    (C) The start and end date of the reporting period;
    (D) The number of rows in the data file. If the report of use is a 
file using headers, counting of the rows should begin with row 15. If 
the report of use is a file without headers, counting of the rows should 
begin with row 1; and
    (E) The name of the file attached.
    (4) Delivery address. Reports of use shall be delivered to 
SoundExchange at the following address: SoundExchange, Inc., 1121 14th 
Street, NW., Suite 700,

[[Page 857]]

Washington, DC 20005; (Phone) (202) 640-5858; (Facsimile) (202) 640-
5859; (E-mail) [email protected]. SoundExchange shall forward 
electronic copies of these reports of use to all other collectives 
defined in this section.
    (5) File naming. Each data file contained in a report of use must be 
given a name by the service followed by the start and end date of the 
reporting period. The start and end date must be separated by a dash and 
in the format of year, month, and day (YYYYMMDD). Each file name must 
end with the file type extension of ``.txt''. (Example: 
AcmeMusicCo20050101-20050331.txt).
    (6) File type and compression. (i) All data files must be in ASCII 
format.
    (ii) A report of use must be compressed in one of the following 
zipped formats:
    (A) .zip--generated using utilities such as WinZip and/or UNIX zip 
command;
    (B) .Z--generated using UNIX compress command; or
    (C) .gz--generated using UNIX gzip command.
    (iii) Zipped files shall be named in the same fashion as described 
in paragraph (e)(5) of this section, except that such zipped files shall 
use the applicable file extension compression name described in this 
paragraph (e)(6).
    (7) Files with headers. (i) If a service elects to submit files with 
headers, the following elements, in order, must occupy the first 14 rows 
of a report of use:
    (A) Name of service;
    (B) Name of contact person;
    (C) Street address of the service;
    (D) City, state and zip code of the service;
    (E) Telephone number of the contact person;
    (F) E-mail address of the contact person;
    (G) Start of the reporting period (YYYYMMDD);
    (H) End of the reporting period (YYYYMMDD);
    (I) Report generation date (YYYYMMDD);
    (J) Number of rows in data file, beginning with 15th row;
    (K) Text indicator character;
    (L) Field delimiter character;
    (M) Blank line; and
    (N) Report headers (Featured Artist, Sound Recording Title, etc.).
    (ii) Each of the rows described in paragraphs (e)(7)(i)(A) through 
(F) of this section must not exceed 255 alphanumeric characters. Each of 
the rows described in paragraphs (e)(7)(i)(G) through (I) of this 
section should not exceed eight alphanumeric characters.
    (iii) Data text fields, as required by paragraph (d) of this 
section, begin on row 15 of a report of use with headers. A carriage 
return must be at the end of each row thereafter. Abbreviations within 
data fields are not permitted.
    (iv) The text indicator character must be unique and must never be 
found in the report's data content.
    (v) The field delimiter character must be unique and must never be 
found in the report's data content. Delimiters must be used even when 
certain elements are not being reported; in such case, the service must 
denote the blank data field with a delimiter in the order in which it 
would have appeared.
    (8) Files without headers. If a service elects to submit files 
without headers, the following format requirements must be met:
    (i) ASCII delimited format, using pipe ([bond]) characters as 
delimiters, with no headers or footers;
    (ii) Carats ([supcaret]) should surround strings;
    (iii) No carats ([supcaret]) should surround dates and numbers;
    (iv) A carriage return must be at the end of each line;
    (v) All data for one record must be on a single line; and
    (vi) Abbreviations within data fields are not permitted.
    (f) In any case in which a nonsubscription transmission service, 
preexisting satellite digital audio radio service, new subscription 
service, or business establishment service has not provided a report of 
use required under this section for use of sound recordings under 
section 112(e) or section 114 of title 17 of the United States Code, or 
both, prior to January 1, 2010, reports of use for the corresponding 
calendar year filed by other services of the same type shall serve as 
the reports of use for the non-reporting service, solely for

[[Page 858]]

purposes of distribution of any corresponding royalties by the 
Collective.

[74 FR 52423, Oct. 13, 2009, as amended at 76 FR 45696, Aug. 1, 2011; 81 
FR 31510, May 19, 2016; 81 FR 40190, June 21, 2016; 81 FR 89868, Dec. 
13, 2016; 84 FR 32312, July 8, 2019]

    Effective Date Note: At 86 FR 32643, June 22, 2021, Sec.370.4(c) 
was amended by removing ``Licensing Division'' and adding in its place 
``Licensing Section'', effective July 22, 2021.



Sec.370.5  Designated collection and distribution organizations for 
reports of use of sound recordings under statutory license.

    (a) General. This section prescribes rules under which reports of 
use shall be collected and distributed under section 114(f) of title 17 
of the United States Code, and under which reports of such use shall be 
kept and made available.
    (b) Notice of Designation as Collective under Statutory License. A 
Collective shall file with the Licensing Division of the Copyright 
Office and post and make available online a ``Notice of Designation as 
Collective under Statutory License,'' which shall be identified as such 
by prominent caption or heading, and shall contain the following 
information:
    (1) The Collective name, address, telephone number and facsimile 
number;
    (2) A statement that the Collective has been designated for 
collection and distribution of performance royalties under statutory 
license for digital transmission of sound recordings; and
    (3) Information on how to gain access to the online Web site or home 
page of the Collective, where information may be posted under this part 
concerning the use of sound recordings under statutory license. The 
address of the Licensing Division is: Library of Congress, Copyright 
Office, Licensing Division, 101 Independence Avenue, SE., Washington, DC 
20557-6400.
    (c) Annual Report. The Collective will post and make available 
online, for the duration of one year, an Annual Report on how the 
Collective operates, how royalties are collected and distributed, and 
what the Collective spent that fiscal year on administrative expenses.
    (d) Inspection of Reports of Use by copyright owners. The Collective 
shall make copies of the Reports of Use for the preceding three years 
available for inspection by any sound recording copyright owner, without 
charge, during normal office hours upon reasonable notice. The 
Collective shall predicate inspection of Reports of Use upon information 
relating to identity, location and status as a sound recording copyright 
owner, and the copyright owner's written agreement not to utilize the 
information for purposes other than royalty collection and distribution, 
and determining compliance with statutory license requirements, without 
express consent of the Service providing the Report of Use. The 
Collective shall render its best efforts to locate copyright owners in 
order to make available reports of use, and such efforts shall include 
searches in Copyright Office public records and published directories of 
sound recording copyright owners.
    (e) Confidentiality. Copyright owners, their agents, and Collectives 
shall not disseminate information in the Reports of Use to any persons 
not entitled to it, nor utilize the information for purposes other than 
royalty collection and distribution, and determining compliance with 
statutory license requirements, without express consent of the Service 
providing the Report of Use.
    (f) Termination and dissolution. If a Collective terminates its 
collection and distribution operations prior to the close of its term of 
designation, the Collective shall notify the Licensing Division of the 
Copyright Office, the Copyright Royalty Board and all Services 
transmitting sound recordings under statutory license, by certified or 
registered mail. The dissolving Collective shall provide each such 
Service with information identifying the copyright owners it has served.

    Effective Date Note: At 86 FR 32643, June 22, 2021, Sec.370.5 was 
amended by removing ``Licensing Division'' from each place it appears 
and adding in its place ``Licensing Section'', effective July 22, 2021.

[[Page 859]]



           SUBCHAPTER E_RATES AND TERMS FOR STATUTORY LICENSES





 PART 380_RATES AND TERMS FOR TRANSMISSIONS BY ELIGIBLE NONSUBSCRIPTION
 SERVICES AND NEW SUBSCRIPTION SERVICES AND FOR THE MAKING OF EPHEMERAL REPRODUCTIONS TO 
FACILITATE THOSE TRANSMISSIONS--Table of Contents



              Subpart A_Regulations Of General Application

Sec.
380.1 Scope and compliance.
380.2 Making payment of royalty fees.
380.3 Delivering statements of account.
380.4 Distributing royalty fees.
380.5 Handling Confidential Information.
380.6 Auditing payments and distributions.
380.7 Definitions.

                         Subpart B_Broadcasters

380.10 Royalty fees for the public performance of sound recordings and 
          the making of ephemeral recordings.

             Subpart C_Noncommercial Educational Webcasters

380.20 Definitions.
380.21 Royalty fees for the public performance of sound recordings and 
          for ephemeral recordings.
380.22 Terms for making payment of royalty fees and statements of 
          account.

                      Subpart D_Public Broadcasters

380.30 Definitions.
380.31 Royalty fees for the public performance of sound recordings and 
          for ephemeral recordings.
380.32 Terms for making payment of royalty fees and statements of 
          account.

    Authority: 17 U.S.C. 112(e), 114(f), 804(b)(3).

    Source: 79 FR 23127, Apr. 25, 2014, unless otherwise noted.



              Subpart A_Regulations Of General Application

    Source: 81 FR 26406, May 2, 2016, unless otherwise noted.



Sec.380.1  Scope and compliance.

    (a) Scope. Subparts A and B of this part codify rates and terms of 
royalty payments for the public performance of sound recordings in 
certain digital transmissions by certain Licensees in accordance with 
the applicable provisions of 17 U.S.C. 114 and for the making of 
Ephemeral Recordings by those Licensees in accordance with the 
provisions of 17 U.S.C. 112(e), during the period January 1, 2016, 
through December 31, 2020.
    (b) Limited application of terms and definitions. The terms and 
definitions in Subpart A apply only to Subpart B, except as expressly 
adopted and applied in subpart C or subpart D of this part.
    (c) Legal compliance. Licensees relying upon the statutory licenses 
set forth in 17 U.S.C. 112(e) and 114 must comply with the requirements 
of this part 380 and any other applicable regulations.
    (d) Voluntary agreements. Notwithstanding the royalty rates and 
terms established in any subparts of this part 380, the rates and terms 
of any license agreements entered into by Copyright Owners and Licensees 
may apply in lieu of these rates and terms.



Sec.380.2  Making payment of royalty fees.

    (a) Payment to the Collective. A Licensee must make the royalty 
payments due under subpart B to SoundExchange, Inc., which is the 
Collective designated by the Copyright Royalty Board to collect and 
distribute royalties under this part 380.
    (b) Monthly payments. A Licensee must make royalty payments on a 
monthly basis. Payments are due on or before the 45th day after the end 
of the month in which the Licensee made Eligible Transmissions.
    (c) Minimum payments. A Licensee must make any minimum annual 
payments due under Subpart B by January 31 of the applicable license 
year. A Licensee that as of January 31 of any

[[Page 860]]

year has not made any eligible nonsubscription transmissions, 
noninteractive digital audio transmissions as part of a new subscription 
service, or Ephemeral Recordings pursuant to the licenses in 17 U.S.C. 
114 and/or 17 U.S.C. 112(e), but that begins making such transmissions 
after that date must make any payment due by the 45th day after the end 
of the month in which the Licensee commences making such transmissions.
    (d) Late fees. A Licensee must pay a late fee for each payment and 
each Statement of Account that the Collective receives after the due 
date. The late fee is 1.5% (or the highest lawful rate, whichever is 
lower) of the late payment amount per month. The late fee for a late 
Statement of Account is 1.5% of the payment amount associated with the 
Statement of Account. Late fees accrue from the due date until the date 
that the Collective receives the late payment or late Statement of 
Account.
    (1) Waiver of late fees. The Collective may waive or lower late fees 
for immaterial or inadvertent failures of a Licensee to make a timely 
payment or submit a timely Statement of Account.
    (2) Notice regarding noncompliant Statements of Account. If it is 
reasonably evident to the Collective that a timely-provided Statement of 
Account is materially noncompliant, the Collective must notify the 
Licensee within 90 days of discovery of the noncompliance.



Sec.380.3  Delivering statements of account.

    (a) Statements of Account. Any payment due under this Part 380 must 
be accompanied by a corresponding Statement of Account that must contain 
the following information:
    (1) Such information as is necessary to calculate the accompanying 
royalty payment;
    (2) The name, address, business title, telephone number, facsimile 
number (if any), electronic mail address (if any) and other contact 
information of the person to be contacted for information or questions 
concerning the content of the Statement of Account;
    (3) The signature of:
    (i) The Licensee or a duly authorized agent of Licensee;
    (ii) A partner or delegate if the Licensee is a partnership; or
    (iii) An officer of the corporation if the Licensee is a 
corporation.
    (4) The printed or typewritten name of the person signing the 
Statement of Account;
    (5) If the Licensee is a partnership or corporation, the title or 
official position held in the partnership or corporation by the person 
signing the Statement of Account;
    (6) A certification of the capacity of the person signing;
    (7) The date of signature; and
    (8) An attestation to the following effect:

    I, the undersigned owner/officer/partner/agent of the Licensee have 
examined this Statement of Account and hereby state that it is true, 
accurate, and complete to my knowledge after reasonable due diligence 
and that it fairly presents, in all material respects, the liabilities 
of the Licensee pursuant to 17 U.S.C. 112(e) and 114 and applicable 
regulations adopted under those sections.

    (b) Certification. Licensee's Chief Financial Officer or, if 
Licensee does not have a Chief Financial Officer, a person authorized to 
sign Statements of Account for the Licensee must submit a signed 
certification on an annual basis attesting that Licensee's royalty 
statements for the prior year represent a true and accurate 
determination of the royalties due and that any method of allocation 
employed by Licensee was applied in good faith and in accordance with 
U.S. GAAP.



Sec.380.4  Distributing royalty fees.

    (a) Distribution of royalties. (1) The Collective must promptly 
distribute royalties received from Licensees to Copyright Owners and 
Performers that are entitled thereto, or to their designated agents. The 
Collective shall only be responsible for making distributions to those 
who provide the Collective with information as is necessary to identify 
and pay the correct recipient. The Collective must distribute royalties 
on a basis that values all performances by a Licensee equally based upon 
the information provided under the Reports of Use requirements

[[Page 861]]

for Licensees pursuant to Sec.370.4 of this chapter and this subpart.
    (2) The Collective must use its best efforts to identify and locate 
copyright owners and featured artists in order to distribute royalties 
payable to them under Sec.112(e) or 114(d)(2) of title 17, United 
States Code, or both. Such efforts must include, but not be limited to, 
searches in Copyright Office public records and published directories of 
sound recording copyright owners.
    (b) Unclaimed funds. If the Collective is unable to identify or 
locate a Copyright Owner or Performer who is entitled to receive a 
royalty distribution under this part 380, the Collective must retain the 
required payment in a segregated trust account for a period of three 
years from the date of the first distribution of royalties from the 
relevant payment by a Licensee. No claim to distribution shall be valid 
after the expiration of the three-year period. After expiration of this 
period, the Collective must handle unclaimed funds in accordance with 
applicable federal, state, or common law.
    (c) Retention of records. Licensees and the Collective shall keep 
books and records relating to payments and distributions of royalties 
for a period of not less than the prior three calendar years.
    (d) Designation of the Collective. (1) The Judges designate 
SoundExchange, Inc., as the Collective to receive Statements of Account 
and royalty payments from Licensees and to distribute royalty payments 
to each Copyright Owner and Performer (or their respective designated 
agents) entitled to receive royalties under 17 U.S.C. 112(e) or 114(g).
    (2) If SoundExchange, Inc. should dissolve or cease to be governed 
by a board consisting of equal numbers of representatives of Copyright 
Owners and Performers, then it shall be replaced for the applicable 
royalty term by a successor Collective according to the following 
procedure:
    (i) The nine Copyright Owner representatives and the nine Performer 
representatives on the SoundExchange board as of the last day preceding 
SoundExchange's cessation or dissolution shall vote by a majority to 
recommend that the Copyright Royalty Judges designate a successor and 
must file a petition with the Copyright Royalty Judges requesting that 
the Judges designate the named successor and setting forth the reasons 
therefor.
    (ii) Within 30 days of receiving the petition, the Copyright Royalty 
Judges must issue an order designating the recommended Collective, 
unless the Judges find good cause not to make and publish the 
designation in the Federal Register.



Sec.380.5  Handling Confidential Information.

    (a) Definition. For purposes of this part 380, ``Confidential 
Information'' means the Statements of Account and any information 
contained therein, including the amount of royalty payments and the 
number of Performances, and any information pertaining to the Statements 
of Account reasonably designated as confidential by the party submitting 
the statement. Confidential Information does not include documents or 
information that at the time of delivery to the Collective is public 
knowledge. The party seeking information from the Collective based on a 
claim that the information sought is a matter of public knowledge shall 
have the burden of proving to the Collective that the requested 
information is in the public domain.
    (b) Use of Confidential Information. The Collective may not use any 
Confidential Information for any purpose other than royalty collection 
and distribution and activities related directly thereto.
    (c) Disclosure of Confidential Information. The Collective shall 
limit access to Confidential Information to:
    (1) Those employees, agents, consultants, and independent 
contractors of the Collective, subject to an appropriate written 
confidentiality agreement, who are engaged in the collection and 
distribution of royalty payments hereunder and activities related 
directly thereto who require access to the Confidential Information for 
the purpose of performing their duties during the ordinary course of 
their work;
    (2) A Qualified Auditor or outside counsel who is authorized to act 
on behalf of:

[[Page 862]]

    (i) The Collective with respect to verification of a Licensee's 
statement of account pursuant to this part 380; or
    (ii) A Copyright Owner or Performer with respect to the verification 
of royalty distributions pursuant to this part 380;
    (3) Copyright Owners and Performers, including their designated 
agents, whose works a Licensee used under the statutory licenses set 
forth in 17 U.S.C. 112(e) and 114 by the Licensee whose Confidential 
Information is being supplied, subject to an appropriate written 
confidentiality agreement, and including those employees, agents, 
consultants, and independent contractors of such Copyright Owners and 
Performers and their designated agents, subject to an appropriate 
written confidentiality agreement, who require access to the 
Confidential Information to perform their duties during the ordinary 
course of their work;
    (4) Attorneys and other authorized agents of parties to proceedings 
under 17 U.S.C. 8, 112, 114, acting under an appropriate protective 
order.
    (d) Safeguarding Confidential Information. The Collective and any 
person authorized to receive Confidential Information from the 
Collective must implement procedures to safeguard against unauthorized 
access to or dissemination of Confidential Information using a 
reasonable standard of care, but no less than the same degree of 
security that the recipient uses to protect its own Confidential 
Information or similarly sensitive information.



Sec.380.6  Auditing payments and distributions.

    (a) General. This section prescribes procedures by which any entity 
entitled to receive payment or distribution of royalties may verify 
payments or distributions by auditing the payor or distributor. The 
Collective may audit a Licensee's payments of royalties to the 
Collective, and a Copyright Owner or Performer may audit the 
Collective's distributions of royalties to the owner or performer. 
Nothing in this section shall preclude a verifying entity and the payor 
or distributor from agreeing to verification methods in addition to or 
different from those set forth in this section.
    (b) Frequency of auditing. The verifying entity may conduct an audit 
of each licensee only once a year for any or all of the prior three 
calendar years. A verifying entity may not audit records for any 
calendar year more than once.
    (c) Notice of intent to audit. The verifying entity must file with 
the Copyright Royalty Judges a notice of intent to audit the payor or 
distributor, which notice the Judges must publish in the Federal 
Register within 30 days of the filing of the notice. Simultaneously with 
the filing of the notice, the verifying entity must deliver a copy to 
the payor or distributor.
    (d) The audit. The audit must be conducted during regular business 
hours by a Qualified Auditor who is not retained on a contingency fee 
basis and is identified in the notice. The auditor shall determine the 
accuracy of royalty payments or distributions, including whether an 
underpayment or overpayment of royalties was made. An audit of books and 
records, including underlying paperwork, performed in the ordinary 
course of business according to generally accepted auditing standards by 
a Qualified Auditor, shall serve as an acceptable verification procedure 
for all parties with respect to the information that is within the scope 
of the audit.
    (e) Access to third-party records for audit purposes. The payor or 
distributor must use commercially reasonable efforts to obtain or to 
provide access to any relevant books and records maintained by third 
parties for the purpose of the audit.
    (f) Duty of auditor to consult. The auditor must produce a written 
report to the verifying entity. Before rendering the report, unless the 
auditor has a reasonable basis to suspect fraud on the part of the payor 
or distributor, the disclosure of which would, in the reasonable opinion 
of the auditor, prejudice any investigation of the suspected fraud, the 
auditor must review tentative written findings of the audit with the 
appropriate agent or employee of the payor or distributor in order to 
remedy any factual errors and clarify

[[Page 863]]

any issues relating to the audit; Provided that an appropriate agent or 
employee of the payor or distributor reasonably cooperates with the 
auditor to remedy promptly any factual error[s] or clarify any issues 
raised by the audit. The auditor must include in the written report 
information concerning the cooperation or the lack thereof of the 
employee or agent.
    (g) Audit results; underpayment or overpayment of royalties. If the 
auditor determines the payor or distributor underpaid royalties, the 
payor or distributor shall remit the amount of any underpayment 
determined by the auditor to the verifying entity, together with 
interest at the rate specified in Sec.380.2(d). In the absence of 
mutually-agreed payment terms, which may, but need not, include 
installment payments, the payor or distributor shall remit promptly to 
the verifying entity the entire amount of the underpayment determined by 
the auditor. If the auditor determines the payor or distributor overpaid 
royalties, however, the verifying entity shall not be required to remit 
the amount of any overpayment to the payor or distributor, and the payor 
or distributor shall not seek by any means to recoup, offset, or take a 
credit for the overpayment, unless the payor or distributor and the 
verifying entity have agreed otherwise.
    (h) Paying the costs of the audit. The verifying entity must pay the 
cost of the verification procedure, unless the auditor determines that 
there was an underpayment of 10% or more, in which case the payor or 
distributor must bear the reasonable costs of the verification 
procedure, in addition to paying or distributing the amount of any 
underpayment.
    (i) Retention of audit report. The verifying party must retain the 
report of the audit for a period of not less than three years from the 
date of issuance.



Sec.380.7  Definitions.

    For purposes of this subpart, the following definitions apply:
    Aggregate Tuning Hours (ATH) means the total hours of programming 
that the Licensee has transmitted during the relevant period to all 
listeners within the United States from all channels and stations that 
provide audio programming consisting, in whole or in part, of eligible 
nonsubscription transmissions or noninteractive digital audio 
transmissions as part of a new subscription service, less the actual 
running time of any sound recordings for which the Licensee has obtained 
direct licenses apart from 17 U.S.C. 114(d)(2) or which do not require a 
license under United States copyright law. By way of example, if a 
service transmitted one hour of programming containing Performances to 
10 listeners, the service's ATH would equal 10 hours. If three minutes 
of that hour consisted of transmission of a directly-licensed recording, 
the service's ATH would equal nine hours and 30 minutes (three minutes 
times 10 listeners creates a deduction of 30 minutes). As an additional 
example, if one listener listened to a service for 10 hours (and none of 
the recordings transmitted during that time was directly licensed), the 
service's ATH would equal 10 hours.
    Collective means the collection and distribution organization that 
is designated by the Copyright Royalty Judges, and which, for the 
current rate period, is SoundExchange, Inc.
    Commercial Webcaster means a Licensee, other than a Noncommercial 
Webcaster or Public Broadcaster, that makes Ephemeral Recordings and 
eligible digital audio transmissions of sound recordings pursuant to the 
statutory licenses under 17 U.S.C. 112(e) and 114(d)(2).
    Copyright Owners means sound recording copyright owners, and rights 
owners under 17 U.S.C. 1401(l)(2), who are entitled to royalty payments 
made under this part pursuant to the statutory licenses under 17 U.S.C. 
112(e) and 114.
    Digital audio transmission has the same meaning as in 17 U.S.C. 
114(j).
    Eligible nonsubscription transmission has the same meaning as in 17 
U.S.C. 114(j).
    Eligible Transmission means a subscription or nonsubscription 
transmission made by a Licensee that is subject to licensing under 17 
U.S.C. 114(d)(2) and the payment of royalties under this part.

[[Page 864]]

    Ephemeral recording has the same meaning as in 17 U.S.C. 112.
    Licensee means a Commercial Webcaster, a Noncommercial Webcaster, or 
any entity operating a noninteractive Internet streaming service that 
has obtained a license under Section 112 or 114 to transmit eligible 
sound recordings.
    New subscription service has the same meaning as in 17 U.S.C. 
114(j).
    Noncommercial webcaster has the same meaning as in 17 U.S.C. 
114(f)(5)(E).
    Nonsubscription has the same meaning as in 17 U.S.C. 114(j).
    Performance means each instance in which any portion of a sound 
recording is publicly performed to a listener by means of a digital 
audio transmission (e.g., the delivery of any portion of a single track 
from a compact disc to one listener), but excludes the following:
    (1) A performance of a sound recording that does not require a 
license (e.g., a sound recording that is not subject to protection under 
title 17, United States Code);
    (2) A performance of a sound recording for which the service has 
previously obtained a license from the Copyright Owner of such sound 
recording; and
    (3) An incidental performance that both:
    (i) Makes no more than incidental use of sound recordings including, 
but not limited to, brief musical transitions in and out of commercials 
or program segments, brief performances during news, talk and sports 
programming, brief background performances during disk jockey 
announcements, brief performances during commercials of sixty seconds or 
less in duration, or brief performances during sporting or other public 
events; and
    (ii) Does not contain an entire sound recording, other than ambient 
music that is background at a public event, and does not feature a 
particular sound recording of more than thirty seconds (as in the case 
of a sound recording used as a theme song).
    Performers means the independent administrators identified in 17 
U.S.C. 114(g)(2)(B) and (C) and the parties identified in 17 U.S.C. 
114(g)(2)(D).
    Public broadcaster means a Covered Entity under subpart D of this 
part.
    Qualified auditor means an independent Certified Public Accountant 
licensed in the jurisdiction where it seeks to conduct a verification.
    Transmission has the same meaning as in 17 U.S.C. 114(j).

[81 FR 26406, May 2, 2016, as amended at 84 FR 32312, July 8, 2019]



      Subpart B_Commercial Webcasters and Noncommercial Webcasters

    Source: 81 FR 26409, May 2, 2016, unless otherwise noted.



Sec.380.10  Royalty fees for the public performance of sound 
recordings and the making of ephemeral recordings.

    (a) Royalty fees. For the year 2020, Licensees must pay royalty fees 
for all Eligible Transmissions of sound recordings at the following 
rates:
    (1) Commercial webcasters: $0.0024 per performance for subscription 
services and $0.0018 per performance for nonsubscription services.
    (2) Noncommercial webcasters: $500 per year for each channel or 
station and $0.0018 per performance for all digital audio transmissions 
in excess of 159,140 ATH in a month on a channel or station.
    (b) Minimum fee. Licensees must pay the Collective a minimum fee of 
$500 each year for each channel or station. The Collective must apply 
the fee to the Licensee's account as credit towards any additional 
royalty fees that Licensees may incur in the same year. The fee is 
payable for each individual channel and each individual station 
maintained or operated by the Licensee and making Eligible Transmissions 
during each calendar year or part of a calendar year during which it is 
a Licensee. The maximum aggregate minimum fee in any calendar year that 
a Commercial Webcaster must pay is $50,000. The minimum fee is 
nonrefundable.
    (c) Annual royalty fee adjustment. The Copyright Royalty Judges 
shall adjust the royalty fees each year to reflect any changes occurring 
in the cost of

[[Page 865]]

living as determined by the most recent Consumer Price Index (for all 
consumers and for all items) (CPI-U) published by the Secretary of Labor 
before December 1 of the preceding year. The adjusted rate shall be 
rounded to the nearest fourth decimal place. To account more accurately 
for cumulative changes in the CPI-U over the rate period, the 
calculation of the rate for each year shall be cumulative based on a 
calculation of the percentage increase in the CPI-U from the CPI-U 
published in November, 2015 (237.838), according to the formula (1 + (Cy 
- 237.838)/237.838) x R2016, where Cy is the CPI-U 
published by the Secretary of Labor before December 1 of the preceding 
year, and R2016 is the royalty rate for 2016 (i.e., $0.0022 
per subscription performance or $0.0017 per nonsubscription 
performance). By way of example, if the CPI-U published in November 2016 
is 242.083, the adjusted rate for nonsubscription services in 2017 will 
be computed as (1 + (242.083 - 237.838)/ 237.838) x $0.0017 and will 
equal $0.00173 ($0.0017 when rounded to the nearest fourth decimal 
place). If the CPI-U published in November 2017 is 249.345, the rate for 
nonsubscription services for 2018 will be computed as (1 + (249.345 - 
237.838)/237.838) x $0.0017 and will equal $0.00179 ($0.0018 when 
rounded to the nearest fourth decimal place). The Judges shall publish 
notice of the adjusted fees in the Federal Register at least 25 days 
before January 1. The adjusted fees shall be effective on January 1.
    (d) Ephemeral recordings royalty fees. The fee for all Ephemeral 
Recordings is part of the total fee payable under this section and 
constitutes 5% of it. All ephemeral recordings that a Licensee makes 
which are necessary and commercially reasonable for making 
noninteractive digital transmissions are included in the 5%.

[81 FR 26409, May 2, 2016, as amended at 81 FR 87456, Dec. 5, 2016; 82 
FR 55946, Nov. 27, 2017; 83 FR 61125, Nov. 28, 2018; 83 FR 63419, Dec. 
10, 2018; 84 FR 64205, Nov. 21, 2019]



             Subpart C_Noncommercial Educational Webcasters

    Source: 85 FR 12745, Mar. 4, 2020, unless otherwise.



Sec.380.20  Definitions.

    For purposes of this subpart, the following definitions apply:
    Educational Transmission means an eligible nonsubscription 
transmission (as defined in 17 U.S.C. 114(j)(6)) made by a Noncommercial 
Educational Webcaster over the internet.
    Noncommercial Educational Webcaster means a noncommercial webcaster 
(as defined in 17 U.S.C. 114(f)(4)(E)(i)) that:
    (1) Has obtained a compulsory license under 17 U.S.C. 112(e) and 114 
and the implementing regulations therefor to make Educational 
Transmissions and related Ephemeral Recordings;
    (2) Complies with all applicable provisions of Sections 112(e) and 
114 and applicable regulations in 37 CFR part 380;
    (3) Is directly operated by, or is affiliated with and officially 
sanctioned by, and the digital audio transmission operations of which 
are staffed substantially by students enrolled at, a domestically 
accredited primary or secondary school, college, university or other 
post-secondary degree-granting educational institution;
    (4) Is not a ``public broadcasting entity'' (as defined in 17 U.S.C. 
118(f)) qualified to receive funding from the Corporation for Public 
Broadcasting pursuant to its criteria; and
    (5) Takes affirmative steps not to make total transmissions in 
excess of 159,140 Aggregate Tuning Hours (ATH) on any individual channel 
or station in any month, if in any previous calendar year it has made 
total transmissions in excess of 159,140 ATH on any individual channel 
or station in any month.



Sec.380.21  Royalty fees for the public performance of sound recordings
and for ephemeral recordings.

    (a) Minimum fee for eligible Noncommercial Educational Webcasters. 
Each Noncommercial Educational Webcaster that did not exceed 159,140 
total ATH for any individual channel or station for more than one 
calendar month in the immediately preceding calendar year and does not 
expect to make total transmissions in excess of 159,140 ATH on any 
individual channel or station in any calendar month during the 
applicable calendar year shall pay an annual, nonrefundable minimum fee 
in the

[[Page 866]]

amount set forth in paragraphs (a)(1) through (5) of this section (the 
``Minimum Fee'') for each of its individual channels, including each of 
its individual side channels, and each of its individual stations, 
through which (in each case) it makes Educational Transmissions, for 
each calendar year it makes Educational Transmissions subject to this 
subpart. For clarity, each individual stream (e.g., HD radio side 
channels, different stations owned by a single licensee) will be treated 
separately and be subject to a separate Minimum Fee. The Minimum Fee 
shall constitute the annual per channel or per station royalty for all 
Educational Transmissions totaling not more than 159,140 ATH in a month 
on any individual channel or station, and for Ephemeral Recordings to 
enable such Educational Transmissions. In addition, a Noncommercial 
Educational Webcaster electing the reporting waiver described in Sec.
380.22(d)(1) shall pay a $100 annual fee (the ``Proxy Fee'') to the 
Collective (for purposes of this subpart, the term ``Collective'' refers 
to SoundExchange, Inc.). The Minimum Fee for each year of the royalty 
period is:
    (1) 2021: $550;
    (2) 2022: $600;
    (3) 2023: $650;
    (4) 2024: $700; and
    (5) 2025: $750.
    (b) Consequences of unexpectedly exceeding ATH cap. In the case of a 
Noncommercial Educational Webcaster eligible to pay royalties under 
paragraph (a) of this section that unexpectedly makes total 
transmissions in excess of 159,140 ATH on any individual channel or 
station in any calendar month during the applicable calendar year:
    (1) The Noncommercial Educational Webcaster shall, for such month 
and the remainder of the calendar year in which such month occurs, pay 
royalties in accordance, and otherwise comply, with the provisions of 
subpart B of this part applicable to Noncommercial Webcasters;
    (2) The Minimum Fee paid by the Noncommercial Educational Webcaster 
for such calendar year will be credited to the amounts payable under the 
provisions of subpart B of this part applicable to Noncommercial 
Webcasters; and
    (3) The Noncommercial Educational Webcaster shall, within 45 days 
after the end of each month, notify the Collective if it has made total 
transmissions in excess of 159,140 ATH on a channel or station during 
that month; pay the Collective any amounts due under the provisions of 
subpart B of this part applicable to Noncommercial Webcasters; and 
provide the Collective a statement of account pursuant to subpart A of 
this part.
    (c) Royalties for other Noncommercial Educational Webcasters. A 
Noncommercial Educational Webcaster that is not eligible to pay 
royalties under paragraph (a) of this section shall pay royalties in 
accordance, and otherwise comply, with the provisions of subpart B of 
this part applicable to Noncommercial Webcasters.
    (d) Estimation of performances. In the case of a Noncommercial 
Educational Webcaster that is required to pay royalties under paragraph 
(b) or (c) of this section on a per-Performance basis, that is unable to 
calculate actual total performances, and that is not required to report 
actual total performances under Sec.380.22(d)(3), the Noncommercial 
Educational Webcaster may pay its applicable royalties on an ATH basis, 
provided that the Noncommercial Educational Webcaster shall calculate 
such royalties at the applicable per-Performance rates based on the 
assumption that the number of sound recordings performed is 12 per hour. 
The Collective may distribute royalties paid on the basis of ATH 
hereunder in accordance with its generally applicable methodology for 
distributing royalties paid on such basis. In addition, and for the 
avoidance of doubt, a Noncommercial Educational Webcaster offering more 
than one channel or station shall pay per-Performance royalties on a 
per-channel or -station basis.
    (e) Allocation between ephemeral recordings and performance royalty 
fees. The Collective must credit 5% of all royalty payments as payment 
for Ephemeral Recordings and credit the remaining 95% to section 114 
royalties. All Ephemeral Recordings that a Licensee makes which are 
necessary and commercially reasonable for making

[[Page 867]]

Educational Transmissions are included in the 5%.



Sec.380.22  Terms for making payment of royalty fees and statements 
of account.

    (a) Payment to the Collective. A Noncommercial Educational Webcaster 
shall make the royalty payments due under Sec.380.21 to the 
Collective.
    (b) Minimum fee. Noncommercial Educational Webcasters shall submit 
the Minimum Fee, and Proxy Fee if applicable (see paragraph (d) of this 
section), accompanied by a statement of account, by January 31st of each 
calendar year, except that payment of the Minimum Fee, and Proxy Fee if 
applicable, by a Noncommercial Educational Webcaster that was not making 
Educational Transmissions or Ephemeral Recordings pursuant to the 
licenses in 17 U.S.C. 114 and/or 17 U.S.C. 112(e) as of January 31st of 
each calendar year but begins doing so thereafter shall be due by the 
45th day after the end of the month in which the Noncommercial 
Educational Webcaster commences doing so. At the same time the 
Noncommercial Educational Webcaster must identify all its stations 
making Educational Transmissions and identify which of the reporting 
options set forth in paragraph (d) of this section it elects for the 
relevant year (provided that it must be eligible for the option it 
elects).
    (c) Statements of account. Any payment due under paragraph (a) of 
this section shall be accompanied by a corresponding statement of 
account on a form provided by the Collective. A statement of account 
shall contain the following information:
    (1) The name of the Noncommercial Educational Webcaster, exactly as 
it appears on the notice of use, and if the statement of account covers 
a single station only, the call letters or name of the station;
    (2) The name, address, business title, telephone number, facsimile 
number (if any), electronic mail address (if any) and other contact 
information of the person to be contacted for information or questions 
concerning the content of the statement of account;
    (3) The signature of a duly authorized representative of the 
applicable educational institution;
    (4) The printed or typewritten name of the person signing the 
statement of account;
    (5) The date of signature;
    (6) The title or official position held by the person signing the 
statement of account;
    (7) A certification of the capacity of the person signing; and
    (8) A statement to the following effect: I, the undersigned duly 
authorized representative of the applicable educational institution, 
have examined this statement of account; hereby state that it is true, 
accurate, and complete to my knowledge after reasonable due diligence; 
and further certify that the licensee entity named herein qualifies as a 
Noncommercial Educational Webcaster for the relevant year, and did not 
exceed 159,140 total ATH in any month of the prior year for which the 
Noncommercial Educational Webcaster did not submit a statement of 
account and pay any required additional royalties.
    (d) Reporting by Noncommercial Educational Webcasters in general--
    (1) Reporting waiver. In light of the unique business and 
operational circumstances with respect to Noncommercial Educational 
Webcasters, and for the purposes of this subpart only, a Noncommercial 
Educational Webcaster that did not exceed 80,000 total ATH for any 
individual channel or station for more than one calendar month in the 
immediately preceding calendar year and that does not expect to exceed 
80,000 total ATH for any individual channel or station for any calendar 
month during the applicable calendar year may elect to pay to the 
Collective a nonrefundable, annual Proxy Fee of $100 in lieu of 
providing reports of use for the calendar year pursuant to the 
regulations at Sec.370.4 of this chapter. In addition, a Noncommercial 
Educational Webcaster that unexpectedly exceeded 80,000 total ATH on one 
or more channels or stations for more than one month during the 
immediately preceding calendar year may elect to pay the Proxy Fee and 
receive the reporting waiver described in this paragraph (d)(1) during a 
calendar year,

[[Page 868]]

if it implements measures reasonably calculated to ensure that it will 
not make Educational Transmissions exceeding 80,000 total ATH during any 
month of that calendar year. The Proxy Fee is intended to defray the 
Collective's costs associated with the reporting waiver in this 
paragraph (d)(1), including development of proxy usage data. The Proxy 
Fee shall be paid by the date specified in paragraph (b) of this section 
for paying the Minimum Fee for the applicable calendar year and shall be 
accompanied by a certification on a form provided by the Collective, 
signed by a duly authorized representative of the applicable educational 
institution, stating that the Noncommercial Educational Webcaster is 
eligible for the Proxy Fee option because of its past and expected 
future usage and, if applicable, has implemented measures to ensure that 
it will not make excess Educational Transmissions in the future.
    (2) Sample-basis reports. A Noncommercial Educational Webcaster that 
did not exceed 159,140 total ATH for any individual channel or station 
for more than one calendar month in the immediately preceding calendar 
year and that does not expect to exceed 159,140 total ATH for any 
individual channel or station for any calendar month during the 
applicable calendar year may elect to provide reports of use on a sample 
basis (two weeks per calendar quarter) in accordance with the 
regulations at Sec.370.4 of this chapter, except that, notwithstanding 
Sec.370.4(d)(2)(vi), such an electing Noncommercial Educational 
Webcaster shall not be required to include ATH or actual total 
performances and may in lieu thereof provide channel or station name and 
play frequency. Notwithstanding the preceding sentence, a Noncommercial 
Educational Webcaster that is able to report ATH or actual total 
performances is encouraged to do so. These reports of use shall be 
submitted to the Collective no later than January 31st of the year 
immediately following the year to which they pertain.
    (3) Census-basis reports. (i) If any of the conditions in paragraphs 
(d)(3)(i)(A) through (C) of this section is satisfied, a Noncommercial 
Educational Webcaster must report pursuant to paragraph (d)(3) of this 
section:
    (A) The Noncommercial Educational Webcaster exceeded 159,140 total 
ATH for any individual channel or station for more than one calendar 
month in the immediately preceding calendar year;
    (B) The Noncommercial Educational Webcaster expects to exceed 
159,140 total ATH for any individual channel or station for any calendar 
month in the applicable calendar year; or
    (C) The Noncommercial Educational Webcaster otherwise does not elect 
to be subject to paragraph (d)(1) or (2) of this section.
    (ii) A Noncommercial Educational Webcaster required to report 
pursuant to paragraph (d)(3)(i) of this section shall provide reports of 
use to the Collective quarterly on a census reporting basis in 
accordance with Sec.370.4 of this chapter, except that, 
notwithstanding Sec.370.4(d)(2), such a Noncommercial Educational 
Webcaster shall not be required to include ATH or actual total 
performances, and may in lieu thereof provide channel or station name 
and play frequency, during the first calendar year it reports in 
accordance with paragraph (d)(3) of this section. For the avoidance of 
doubt, after a Noncommercial Educational Webcaster has been required to 
report in accordance with paragraph (d)(3)(i) of this section for a full 
calendar year, it must thereafter include ATH or actual total 
performances in its reports of use. All reports of use under paragraph 
(d)(3)(i) of this section shall be submitted to the Collective no later 
than the 45th day after the end of each calendar quarter.
    (e) Server logs. Noncommercial Educational Webcasters shall retain 
for a period of no less than three full calendar years server logs 
sufficient to substantiate all information relevant to eligibility, rate 
calculation and reporting under this subpart. To the extent that a 
third-party Web hosting or service provider maintains equipment or 
software for a Noncommercial Educational Webcaster and/or such third 
party creates, maintains, or can reasonably create such server logs, the 
Noncommercial Educational Webcaster shall direct that such server logs 
be

[[Page 869]]

created and maintained by said third party for a period of no less than 
three full calendar years and/or that such server logs be provided to, 
and maintained by, the Noncommercial Educational Webcaster.
    (f) Terms in general. Subject to the provisions of this subpart, 
terms governing late fees, distribution of royalties by the Collective, 
unclaimed funds, record retention requirements, treatment of Licensees' 
confidential information, audit of royalty payments and distributions, 
and any definitions for applicable terms not defined in this subpart 
shall be those set forth in subpart A of this part.



                      Subpart D_Public Broadcasters

    Source: 85 FR 11857, Feb. 28, 2020, unless otherwise noted.



Sec.380.30  Definitions.

    For purposes of this subpart, the following definitions apply:
    Authorized website is any website operated by or on behalf of any 
Public Broadcaster that is accessed by website Users through a Uniform 
Resource Locator (``URL'') owned by such Public Broadcaster and through 
which website Performances are made by such Public Broadcaster.
    CPB is the Corporation for Public Broadcasting.
    Music ATH is aggregate tuning hours of website Performances of sound 
recordings of musical works.
    NPR is National Public Radio, Inc.
    Originating Public Radio Station is a noncommercial terrestrial 
radio broadcast station that--
    (1) Is licensed as such by the Federal Communications Commission;
    (2) Originates programming and is not solely a repeater station;
    (3) Is a member or affiliate of NPR, American Public Media, Public 
Radio International, or Public Radio Exchange, a member of the National 
Federation of Community Broadcasters, or another public radio station 
that is qualified to receive funding from CPB pursuant to its criteria;
    (4) Qualifies as a ``noncommercial webcaster'' under 17 U.S.C. 
114(f)(4)(E)(i); and
    (5) Either--
    (i) Offers website Performances only as part of the mission that 
entitles it to be exempt from taxation under section 501 of the Internal 
Revenue Code of 1986 (26 U.S.C. 501); or
    (ii) In the case of a governmental entity (including a Native 
American Tribal governmental entity), is operated exclusively for public 
purposes.
    Person is a natural person, a corporation, a limited liability 
company, a partnership, a trust, a joint venture, any governmental 
authority or any other entity or organization.
    Public Broadcasters are NPR, American Public Media, Public Radio 
International, and Public Radio Exchange, and up to 530 Originating 
Public Radio Stations as named by CPB. CPB shall notify SoundExchange 
annually of the eligible Originating Public Radio Stations to be 
considered Public Broadcasters per this definition (subject to the 
numerical limitations set forth in this definition). The number of 
Originating Public Radio Stations treated per this definition as Public 
Broadcasters shall not exceed 530 for a given year without 
SoundExchange's express written approval, except that CPB shall have the 
option to increase the number of Originating Public Radio Stations that 
may be considered Public Broadcasters as provided in Sec.380.31(c).
    Side Channel is any internet-only program available on an Authorized 
website or an archived program on such Authorized website that, in 
either case, conforms to all applicable requirements under 17 U.S.C. 
114.
    Term is the period January 1, 2021, through December 31, 2025.
    Website is a site located on the World Wide Web that can be located 
by a website User through a principal URL.
    Website Performances are all public performances by means of digital 
audio transmissions of sound recordings, including the transmission of 
any portion of any sound recording, made through an Authorized website 
in accordance with all requirements of 17 U.S.C. 114, from servers used 
by a Public Broadcaster (provided that the Public Broadcaster controls 
the content of all materials transmitted by the server), or by a 
contractor authorized pursuant to Sec.380.31(f), that consist of 
either the retransmission of a Public

[[Page 870]]

Broadcaster's over-the-air terrestrial radio programming or the digital 
transmission of nonsubscription Side Channels that are programmed and 
controlled by the Public Broadcaster; provided, however, that a Public 
Broadcaster may limit access to an Authorized website, or a portion 
thereof, or any content made available thereon or functionality thereof, 
solely to website Users who are contributing members of a Public 
Broadcaster. This term does not include digital audio transmissions made 
by any other means.
    Website Users are all those who access or receive website 
Performances or who access any Authorized website.



Sec.380.31  Royalty fees for the public performance of sound 
recordings and for ephemeral recordings.

    (a) Royalty rates. The total license fee for all website 
Performances by Public Broadcasters during each year of the Term, up to 
the total Music ATH set forth in paragraphs (a)(1) through (5) of this 
section for the relevant calendar year, and Ephemeral Recordings made by 
Public Broadcasters solely to facilitate such website Performances, 
shall be $800,000 (the ``License Fee''), unless additional payments are 
required as described in paragraph (c) of this section. The total Music 
ATH limits are:
    (1) 2021: 360,000,000;
    (2) 2022: 370,000,000;
    (3) 2023: 380,000,000;
    (4) 2024: 390,000,000; and
    (5) 2025: 400,000,000.
    (b) Calculation of License Fee. It is understood that the License 
Fee includes:
    (1) An annual minimum fee for each Public Broadcaster for each year 
during the Term;
    (2) Additional usage fees for certain Public Broadcasters; and
    (3) A discount that reflects the administrative convenience to the 
Collective (for purposes of this subpart, the term ``Collective'' refers 
to SoundExchange, Inc.) of receiving annual lump sum payments that cover 
a large number of separate entities, as well as the protection from bad 
debt that arises from being paid in advance.
    (c) Increase in Public Broadcasters. If the total number of 
Originating Public Radio Stations that wish to make website Performances 
in any calendar year exceeds the number of such Originating Public Radio 
Stations considered Public Broadcasters in the relevant year, and the 
excess Originating Public Radio Stations do not wish to pay royalties 
for such website Performances apart from this subpart, CPB may elect by 
written notice to the Collective to increase the number of Originating 
Public Radio Stations considered Public Broadcasters in the relevant 
year effective as of the date of the notice. To the extent of any such 
elections, CPB shall make an additional payment to the Collective for 
each calendar year or part thereof it elects to have an additional 
Originating Public Radio Station considered a Public Broadcaster, in the 
amount of the annual minimum fee applicable to Noncommercial Webcasters 
under subpart B of this part for each additional Originating Public 
Radio Station per year. Such payment shall accompany the notice electing 
to have an additional Originating Public Radio Station considered a 
Public Broadcaster.
    (d) Allocation between ephemeral recordings and performance royalty 
fees. The Collective must credit 5% of all royalty payments as payment 
for Ephemeral Recordings and credit the remaining 95% to section 114 
royalties. All Ephemeral Recordings that a Licensee makes which are 
necessary and commercially reasonable for making noninteractive digital 
transmissions are included in the 5%.
    (e) Effect of non-performance by any Public Broadcaster. In the 
event that any Public Broadcaster violates any of the material 
provisions of 17 U.S.C. 112(e) or 114 or this subpart that it is 
required to perform, the remedies of the Collective shall be specific to 
that Public Broadcaster only, and shall include, without limitation, 
termination of that Public Broadcaster's right to be treated as a Public 
Broadcaster per this paragraph (e) upon written notice to CPB. The 
Collective and Copyright Owners also shall have whatever rights may be 
available to them against that Public Broadcaster under applicable law. 
The Collective's remedies for such a breach or failure by an individual 
Public Broadcaster shall not include

[[Page 871]]

termination of the rights of other Public Broadcasters to be treated as 
Public Broadcasters per this paragraph (e), except that if CPB fails to 
pay the License Fee or otherwise fails to perform any of the material 
provisions of this subpart, or such a breach or failure by a Public 
Broadcaster results from CPB's inducement, and CPB does not cure such 
breach or failure within 30 days after receiving notice thereof from the 
Collective, then the Collective may terminate the right of all Public 
Broadcasters to be treated as Public Broadcasters per this paragraph (e) 
upon written notice to CPB. In such a case, a prorated portion of the 
License Fee for the remainder of the Term (to the extent paid by CPB) 
shall, after deduction of any damages payable to the Collective by 
virtue of the breach or failure, be credited to statutory royalty 
obligations of Public Broadcasters to the Collective for the Term as 
specified by CPB.
    (f) Use of contractors. The right to rely on this subpart is limited 
to Public Broadcasters, except that a Public Broadcaster may employ the 
services of a third Person to provide the technical services and 
equipment necessary to deliver website Performances on behalf of such 
Public Broadcaster, but only through an Authorized website. Any 
agreement between a Public Broadcaster and any third Person for such 
services shall:
    (1) Obligate such third Person to provide all such services in 
accordance with all applicable provisions of the statutory licenses and 
this subpart;
    (2) Specify that such third Person shall have no right to make 
website Performances or any other performances or Ephemeral Recordings 
on its own behalf or on behalf of any Person or entity other than a 
Public Broadcaster through the Public Broadcaster's Authorized website 
by virtue of its services for the Public Broadcaster, including in the 
case of Ephemeral Recordings, pre-encoding or otherwise establishing a 
library of sound recordings that it offers to a Public Broadcaster or 
others for purposes of making performances, but instead must obtain all 
necessary licenses from the Collective, the copyright owner or another 
duly authorized Person, as the case may be;
    (3) Specify that such third Person shall have no right to grant any 
sublicenses under the statutory licenses; and
    (4) Provide that the Collective is an intended third-party 
beneficiary of all such obligations with the right to enforce a breach 
thereof against such third Person.



Sec.380.32  Terms for making payment of royalty fees and statements 
of account.

    (a) Payment to the Collective. CPB shall pay the License Fee to the 
Collective in five equal installments of $800,000 each, which shall be 
due December 31, 2020, and annually thereafter through December 31, 
2024.
    (b) Reporting. CPB and Public Broadcasters shall submit reports of 
use and other information concerning website Performances as agreed upon 
with the Collective.
    (c) Terms in general. Subject to the provisions of this subpart, 
terms governing late fees, distribution of royalties by the Collective, 
unclaimed funds, record retention requirements, treatment of Licensees' 
confidential information, audit of royalty payments and distributions, 
and any definitions for applicable terms not defined in this subpart 
shall be those set forth in subpart A of this part.



PART 381_USE OF CERTAIN COPYRIGHTED WORKS IN CONNECTION WITH 
NONCOMMERCIAL EDUCATIONAL BROADCASTING--Table of Contents



Sec.
381.1 General.
381.2 Definition of public broadcasting entity.
381.3 [Reserved]
381.4 Performance of musical compositions by PBS, NPR, and other public 
          broadcasting entities engaged in the activities set forth in 
          17 U.S.C. 118(c).
381.5 Performance of musical compositions by public broadcasting 
          entities licensed to colleges and universities.
381.6 Performance of musical compositions by other public broadcasting 
          entities.
381.7 Recording rights, rates and terms.
381.8 Terms and rates of royalty payments for the use of published 
          pictorial, graphic, and sculptural works.

[[Page 872]]

381.9 Unknown copyright owners.
381.10 Cost of living adjustment.
381.11 Notice of restrictions on use of reproductions of transmission 
          programs.

    Authority: 17 U.S.C. 118, 801(b)(1) and 803.

    Source: 72 FR 67647, Nov. 30, 2007, unless otherwise noted.



Sec.381.1  General.

    This part establishes terms and rates of royalty payments for 
certain activities using published nondramatic musical works and 
published pictorial, graphic and sculptural works during a period 
beginning on January 1, 2018, and ending on December 31, 2022. Upon 
compliance with 17 U.S.C. 118, and the terms and rates of this part, a 
public broadcasting entity may engage in the activities with respect to 
such works set forth in 17 U.S.C. 118(c).

[72 FR 67647, Nov. 30, 2007, as amended at 77 FR 71105, Nov. 29, 2012; 
83 FR 2740, Jan. 19, 2018]



Sec.381.2  Definition of public broadcasting entity.

    As used in this part, the term public broadcasting entity means a 
noncommercial educational broadcast station as defined in section 397 of 
title 47 and any nonprofit institution or organization engaged in the 
activities described in 17 U.S.C. 118(c).



Sec.381.3  [Reserved]



Sec.381.4  Performance of musical compositions by PBS, NPR and other
public broadcasting entities engaged in the activities set forth
in 17 U.S.C. 118(c).

    (a) Determination of royalty rate. The following rates and terms 
shall apply to the performance by PBS, NPR and other public broadcasting 
entities engaged in activities set forth in 17 U.S.C. 118(c) of 
copyrighted published nondramatic musical compositions, except for 
public broadcasting entities covered by Sec. Sec.381.5 and 381.6, and 
except for compositions which are the subject of voluntary license 
agreements: The royalty shall be $1.

(1) For performance of such work in a feature presentation
 of PBS:
  2013-2017................................................      $232.18
(2) For performance of such a work as background or theme
 music in a PBS program:
  2013-2017................................................       $58.51
(3) For performance of such a work in a feature
 presentation of a station of PBS:
  2013-2017................................................       $19.84
(4) For performance of such a work as background or theme
 music in a program of a station of PBS:
  2013-2017................................................        $4.18
(5) For the performance of such a work in a feature
 presentation of NPR:
  2013-2017................................................       $23.53
(6) For the performance of such a work as background or
 theme music in an NPR program:
  2013-2017................................................        $5.70
(7) For the performance of such a work in a feature
 presentation of a station of NPR:
  2013-2017................................................        $1.66
(8) For the performance of such a work as background or
 theme music in a program of a station of NPR:
  2013-2017................................................         $.59
 

    (9) For purposes of this schedule the rate for the performance of 
theme music in an entire series shall be double the single program theme 
rate.
    (10) In the event the work is first performed in a program of a 
station of PBS or NPR, and such program is subsequently distributed by 
PBS or NPR, an additional royalty payment shall be made equal to the 
difference between the rate specified in this section for a program of a 
station of PBS or NPR, respectively, and the rate specified in this 
section for a PBS or NPR program, respectively.
    (b) Payment of royalty rate. The required royalty rate shall be paid 
to each known copyright owner not later than July 31 of each calendar 
year for uses during the first six months of that calendar year, and not 
later than January 31 for uses during the last six months of the 
preceding calendar year.

[[Page 873]]

    (c) Records of use. PBS and NPR shall, upon the request of a 
copyright owner of a published musical work who believes a musical 
composition of such owner has been performed under the terms of this 
schedule, permit such copyright owner a reasonable opportunity to 
examine their standard cue sheets listing the nondramatic performances 
of musical compositions on PBS and NPR programs. Any local PBS and NPR 
station that shall be required by the provisions of any voluntary 
license agreement with ASCAP, BMI or SESAC covering the license period 
January 1, 2018, to December 31, 2022, to provide a music use report 
shall, upon request of a copyright owner who believes a musical 
composition of such owner has been performed under the terms of this 
schedule, permit such copyright owner to examine the report.

[72 FR 67647, Nov. 30, 2007, as amended at 77 FR 71105, Nov. 29, 2012; 
83 FR 2740, Jan. 19, 2018]



Sec.381.5  Performance of musical compositions by public broadcasting
entities licensed to colleges and universities.

    (a) Scope. This section applies to the performance of copyrighted 
published nondramatic musical compositions by noncommercial radio 
stations which are licensed to accredited colleges, accredited 
universities, or other accredited nonprofit educational institutions and 
which are not affiliated with National Public Radio. For purposes of 
this section, accreditation of institutions providing post-secondary 
education shall be determined by a regional or national accrediting 
agency recognized by the Council for Higher Education Accreditation or 
the United States Department of Education; and accreditation of 
institutions providing elementary or secondary education shall be as 
recognized by the applicable state licensing authority.
    (b) Voluntary license agreements. Notwithstanding the schedule of 
rates and terms established in this section, the rates and terms of any 
license agreements entered into by copyright owners and colleges, 
universities, and other nonprofit educational institutions concerning 
the performance of copyrighted musical compositions, including 
performances by noncommercial radio stations, shall apply in lieu of the 
rates and terms of this section.
    (c) Royalty rate. A public broadcasting entity within the scope of 
this section may perform published nondramatic musical compositions 
subject to the following schedule of royalty rates:
    (1) For all such compositions in the repertory of ASCAP, the royalty 
rates shall be as follows:
    (i) Music fees.

----------------------------------------------------------------------------------------------------------------
                                     Number of full-time
                                           students           2018       2019       2020       2021       2022
----------------------------------------------------------------------------------------------------------------
Level 1...........................  <1,000...............       $352       $359       $366       $373       $380
Level 2...........................  1,000-4,999..........        407        415        423        431        440
Level 3...........................  5,000-9,999..........        557        568        579        591        603
Level 4...........................  10,000-19,999........        722        736        751        766        781
Level 5...........................  20,000+..............        908        926        945        964        983
----------------------------------------------------------------------------------------------------------------

    (ii) Level 1 rates as set forth in paragraph (c)(1)(i) of this 
section, shall also apply to College Radio Stations with an authorized 
effective radiated power (ERP), as that term is defined in 47 CFR 
73.310(a), of 100 Watts or less, as specified on its current FCC 
license, regardless of the size of the student population.
    (2) For all such compositions in the repertory of BMI, the royalty 
rates shall be as follows:
    (i) Music fees.

----------------------------------------------------------------------------------------------------------------
                                     Number of full-time
                                           students           2018       2019       2020       2021       2022
----------------------------------------------------------------------------------------------------------------
Level 1...........................  <1,000...............       $352       $359       $366       $373       $380
Level 2...........................  1,000-4,999..........        407        415        423        431        440
Level 3...........................  5,000-9,999..........        557        568        579        591        603
Level 4...........................  10,000-19,999........        722        736        751        766        781
Level 5...........................  20,000+..............        908        926        945        964        983
----------------------------------------------------------------------------------------------------------------


[[Page 874]]

    (ii) Level 1 rates, as set forth in paragraph (c)(2)(i) of this 
section, shall also apply to College Radio Stations with an authorized 
effective radiated power (ERP), as that term is defined in 47 CFR 
73.310(a), of 100 Watts or less, as specified on its current FCC 
license, regardless of the size of the student population.
    (3) For all such compositions in the repertory of SESAC, the royalty 
rates shall be as follows:
    (i) 2018: $155 per station.
    (ii) 2019: $159 per station.
    (iii) 2020: $162 per station.
    (iv) 2021: $164 per station.
    (v) 2022: The 2021 rate, subject to an annual cost of living 
adjustment in accordance with paragraph (c)(3)(vi) of this section.
    (vi) Such cost of living adjustment to be made in accordance with 
the greater of:
    (A) The change, if any, in the Consumer Price Index (all consumers, 
all items) published by the U.S. Department of Labor, Bureau of Labor 
Statistics during the twelve (12) month period from the most recent 
Index, published before December 1 of the year immediately prior to the 
applicable year; or
    (B) One and one-half percent (1.5%).
    (4) For the performance of any other such compositions: $1.
    (d) Payment of royalty rate. The public broadcasting entity shall 
pay the required royalty rate to ASCAP, BMI and SESAC not later than 
January 31 of each year. Each annual payment to ASCAP, BMI and SESAC 
shall be accompanied by a signed declaration stating the number of full-
time students enrolled in the educational entity operating the station 
and/or the effective radiated power (ERP) as specified in its current 
FCC license. An exact copy of such declaration shall be furnished to 
each of ASCAP, BMI and SESAC.
    (e) Records of use. A public broadcasting entity subject to this 
section shall furnish to ASCAP, BMI and SESAC, upon request, a music-use 
report during one week of each calendar year. ASCAP, BMI and SESAC shall 
not in any one calendar year request more than 10 stations to furnish 
such reports.

[72 FR 67647, Nov. 30, 2007, as amended at 73 FR 72726, Dec. 1, 2008; 74 
FR 62705, Dec. 1, 2009; 75 FR 74623, Dec. 1, 2010; 76 FR 74703, Dec. 1, 
2011; 77 FR 71105, Nov. 29, 2012; 78 FR 71501, Nov. 29, 2013; 79 FR 
71319, Dec. 2, 2014; 80 FR 73118, Nov. 24, 2015; 81 FR 84478, Nov. 23, 
2016; 83 FR 2740, Jan. 19, 2018; 83 FR 61126, Nov. 28, 2018; 84 FR 
64206, Nov. 21, 2019; 85 FR 74884, Nov. 24, 2020]



Sec.381.6  Performance of musical compositions by other public
broadcasting entities.

    (a) Scope. This section applies to the performance of copyrighted 
published nondramatic musical compositions by radio stations not 
licensed to colleges, universities, or other nonprofit educational 
institutions and not affiliated with NPR. In the event that a station 
owned by a public broadcasting entity broadcasts programming by means of 
an in-band, on-channel (``IBOC'') digital radio signal and such 
programming is different than the station's analog broadcast 
programming, then any such programming shall be deemed to be provided by 
a separate station requiring a separate royalty payment.
    (b) Definitions. As used in paragraphs (d) and (e) of this section, 
the following terms and their variant forms mean the following:
    (1) Feature Music shall mean any performance of a musical work, 
whether live or recorded, that is the principal focus of audience 
attention. Feature Music does not include bridge, background, or 
underscore music, themes or signatures, interstitial music between 
programs such as in public service announcements or program sponsorship 
identifications, brief musical transitions in and out of program 
segments (not to exceed 60 seconds in duration), incidental performances 
of music during broadcasts of public, religious, or sports events, or 
brief performances during news, talk, religious, and sports programming 
of no more than 30 seconds in duration.
    (2) Population Count. The combination of:
    (i) The number of persons estimated to reside within a station's 
Predicted 60 dBu Contour, based on the most recent available census 
data; and

[[Page 875]]

    (ii) The nonduplicative number of persons estimated to reside in the 
Predicted 60 dBu Contour of any Translator or Booster Station that 
extends a public broadcasting entity's signal beyond the contours of a 
station's Predicted 60 dBu Contour.
    (iii) In determining Population Count, a station or a Translator or 
Booster Station may use and report the total population data, from a 
research company generally recognized in the broadcasting industry, for 
the radio market within which the station's community license is 
located.
    (3) Predicted 60 dBu Contour shall be calculated as set forth in 47 
CFR 73.313.
    (4) Talk Format Station shall mean a noncommercial radio station:
    (i) Whose program content primarily consists of talk shows, news 
programs, sports, community affairs or religious sermons (or other non-
music-oriented programming);
    (ii) That performs Feature Music in less than 20% of its programming 
annually; and
    (iii) That performs music-oriented programming for no more than four 
(4) programming hours during the hours from 6 a.m. to 10 p.m. each 
weekday, with no two (2) hours of such programming occurring 
consecutively, with the exception of up to five (5) weekdays during the 
year.
    (5) Weekday shall mean the 24-hour period starting at 12 a.m. 
through 11:59 p.m. on Mondays, Tuesdays, Wednesdays, Thursdays and 
Fridays occurring between January 1 of a given year up to and including 
Thanksgiving day of that year.
    (6) Translator Station and Booster Station shall have the same 
meanings as set forth in 47 CFR 74.1201.
    (c) Voluntary license agreements. Notwithstanding the schedule of 
rates and terms established in this section, the rates and terms of any 
license agreements entered into by copyright owners and noncommercial 
radio stations within the scope of this section concerning the 
performance of copyrighted musical compositions, including performances 
by noncommercial radio stations, shall apply in lieu of the rates and 
terms of this section.
    (d) Royalty rate. A public broadcasting entity within the scope of 
this section may perform published nondramatic musical compositions 
subject to the following schedule of royalty rates:
    (1) For all such compositions in the repertory of ASCAP, the royalty 
rates shall be as follows:
    (i) Music Fees (Stations with 20% or more programming containing 
Feature Music):

----------------------------------------------------------------------------------------------------------------
                                                                               Calendar years
                                       Population count   ------------------------------------------------------
                                                              2018       2019       2020       2021       2022
----------------------------------------------------------------------------------------------------------------
Level 1...........................  0-249,999............       $697       $711       $725       $739       $754
Level 2...........................  250,000-499,999......      1,243      1,268      1,294      1,319      1,346
Level 3...........................  500,000-999,999......      1,864      1,901      1,939      1,978      2,017
Level 4...........................  1,000,000-1,499,999..      2,486      2,535      2,586      2,638      2,691
Level 5...........................  1,500,000-1,999,999..      3,107      3,169      3,232      3,297      3,363
Level 6...........................  2,000,000-2,499,999..      3,728      3,803      3,879      3,956      4,035
Level 7...........................  2,500,000-2,999,999..      4,349      4,436      4,525      4,615      4,708
Level 8...........................  3,000,000 and above..      6,214      6,338      6,465      6,594      6,726
----------------------------------------------------------------------------------------------------------------

    (ii) Talk Format Station Fees (Stations with <20% Feature Music 
programming):

----------------------------------------------------------------------------------------------------------------
                                                                               Calendar years
                                       Population count   ------------------------------------------------------
                                                              2018       2019       2020       2021       2022
----------------------------------------------------------------------------------------------------------------
Level 1...........................  0-249,999............       $697       $711       $725       $739       $754
Level 2...........................  250,000-499,999......        697        711        725        739        754
Level 3...........................  500,000-999,999......        697        711        725        739        754
Level 4...........................  1,000,000-1,499,999..        870        887        905        923        942
Level 5...........................  1,500,000-1,999,999..      1,087      1,109      1,131      1,154      1,177
Level 6...........................  2,000,000-2,499,999..      1,305      1,331      1,357      1,384      1,412
Level 7...........................  2,500,000-2,999,999..      1,522      1,552      1,583      1,615      1,647

[[Page 876]]

 
Level 8...........................  3,000,000 and above..      2,175      2,218      2,262      2,308      2,354
----------------------------------------------------------------------------------------------------------------

    (2) For all such compositions in the repertory of BMI, the royalty 
rates shall be as follows:
    (i) Music Fees (Stations with 20% or more programming containing 
Feature Music):

----------------------------------------------------------------------------------------------------------------
                                                                               Calendar years
                                       Population count   ------------------------------------------------------
                                                              2018       2019       2020       2021       2022
----------------------------------------------------------------------------------------------------------------
Level 1...........................  0-249,999............       $697       $711       $725       $739       $754
Level 2...........................  250,000-499,999......      1,243      1,268      1,294      1,319      1,346
Level 3...........................  500,000-999,999......      1,864      1,901      1,939      1,978      2,017
Level 4...........................  1,000,000-1,499,999..      2,486      2,535      2,586      2,638      2,691
Level 5...........................  1,500,000-1,999,999..      3,107      3,169      3,232      3,297      3,363
Level 6...........................  2,000,000-2,499,999..      3,728      3,803      3,879      3,956      4,035
Level 7...........................  2,500,000-2,999,999..      4,349      4,436      4,525      4,615      4,708
Level 8...........................  3,000,000 and above..      6,214      6,338      6,465      6,594      6,726
----------------------------------------------------------------------------------------------------------------

    (ii) Talk Format Station Fees (Stations with <20% Feature Music 
programming):

----------------------------------------------------------------------------------------------------------------
                                                                               Calendar years
                                       Population count   ------------------------------------------------------
                                                              2018       2019       2020       2021       2022
----------------------------------------------------------------------------------------------------------------
Level 1...........................  0-249,999............       $697       $711       $725       $739       $754
Level 2...........................  250,000-499,999......        697        711        725        739        754
Level 3...........................  500,000-999,999......        697        711        725        739        754
Level 4...........................  1,000,000-1,499,999..        870        887        905        923        942
Level 5...........................  1,500,000-1,999,999..      1,087      1,109      1,131      1,154      1,177
Level 6...........................  2,000,000-2,499,999..      1,305      1,331      1,357      1,384      1,412
Level 7...........................  2,500,000-2,999,999..      1,522      1,552      1,583      1,615      1,647
Level 8...........................  3,000,000 and above..      2,175      2,218      2,262      2,308      2,354
----------------------------------------------------------------------------------------------------------------

    (3) For all such compositions in the repertory of SESAC, the royalty 
rates shall be as follows:
    (i) Music fees for stations with  = 20% Feature Music 
programming:

----------------------------------------------------------------------------------------------------------------
                                       Population count       2018       2019       2020       2021       2022
----------------------------------------------------------------------------------------------------------------
Level 1...........................  0-249,999............       $152       $155       $158       $161       $164
Level 2...........................  250,000-499,999......        253        258        263        268        274
Level 3...........................  500,000-999,999......        380        388        396        403        411
Level 4...........................  1,000,000-1,499,999..        507        517        527        538        548
Level 5...........................  1,500,000-1,999,999..        634        647        660        673        686
Level 6...........................  2,000,000-2,499,999..        760        775        790        806        822
Level 7...........................  2,500,000-2,999,999..        887        905        923        941        960
Level 8...........................  3,000,000 and above..      1,268      1,293      1,318      1,344      1,371
----------------------------------------------------------------------------------------------------------------

    (ii) Talk fees for stations with <20% Feature Music programming:

----------------------------------------------------------------------------------------------------------------
                                       Population count       2018       2019       2020       2021       2022
----------------------------------------------------------------------------------------------------------------
Level 1...........................  0-249,999............       $152       $155       $158       $161       $164
Level 2...........................  250,000-499,999......        152        155        158        161        164
Level 3...........................  500,000-999,999......        152        155        158        161        164
Level 4...........................  1,000,000-1,499,999..        177        181        185        188        192
Level 5...........................  1,500,000-1,999,999..        222        227        231        236        240

[[Page 877]]

 
Level 6...........................  2,000,000-2,499,999..        266        271        277        282        288
Level 7...........................  2,500,000-2,999,999..        311        317        323        330        336
Level 8...........................  3,000,000 and above..        444        452        461        470        480
----------------------------------------------------------------------------------------------------------------

    (4) For the performance of any other such compositions, in 2018 
through 2022, $1.
    (e) Payment of royalty rate. The public broadcasting entity shall 
pay the required royalty rate to ASCAP, BMI and SESAC not later than 
January 31 of each year. Each annual payment shall be accompanied by a 
signed declaration stating the Population Count of the public 
broadcasting entity and the source for such Population Count. An exact 
copy of such declaration shall be furnished to each of ASCAP, BMI and 
SESAC. Upon prior written notice thereof from ASCAP, BMI and SESAC, a 
public broadcasting entity shall make its books and records relating to 
its Population Count available for inspection. In the event that a 
public broadcasting entity wishes to be deemed a Talk Format Station, 
then such entity shall provide a signed declaration stating that Feature 
Music is performed in less than 20% of its annual programming and that 
it complies with the caps set forth in paragraph (b)(4) of this section. 
An exact copy of such declaration shall be furnished to each of ASCAP, 
BMI and SESAC. Upon prior written notice thereof from ASCAP, BMI or 
SESAC, a public broadcasting entity shall make its program schedule or 
other documentation supporting its eligibility as a Talk Format Station 
available for inspection.
    (f) Records of use. A public broadcasting entity subject to this 
section shall furnish to ASCAP, BMI and SESAC, upon request, a music-use 
report during one week of each calendar year. ASCAP, BMI and SESAC each 
shall not in any one calendar year request more than 10 stations to 
furnish such reports.

[72 FR 67647, Nov. 30, 2007, as amended at 77 FR 71106, Nov. 29, 2012; 
83 FR 2741, Jan. 19, 2018]



Sec.381.7  Recording rights, rates and terms.

    (a) Scope. This section establishes rates and terms for the 
recording of nondramatic performances and displays of musical works, 
other than compositions subject to voluntary license agreements, on and 
for the radio and television programs of public broadcasting entities, 
whether or not in synchronization or timed relationship with the visual 
or aural content, and for the making, reproduction, and distribution of 
copies and phonorecords of public broadcasting programs containing such 
nondramatic performances and displays of musical works solely for the 
purpose of transmission by public broadcasting entities. The rates and 
terms established in this schedule include the making of the 
reproductions described in 17 U.S.C. 118(c)(3).
    (b) Royalty rate. (1)(i) For uses described in paragraph (a) of this 
section of a musical work in a PBS-distributed program, the royalty fees 
shall be calculated by multiplying the following per-composition rates 
by the number of different compositions in that PBS-distributed program:

------------------------------------------------------------------------
                                                              2018-2022
------------------------------------------------------------------------
(A) Feature................................................      $118.70
(B) Concert feature (per minute)...........................        35.65
(C) Background.............................................        59.99
(D) Theme:
  (1) Single program or first series program...............        59.99
  (2) Other series program.................................        24.36
------------------------------------------------------------------------

    (ii) For such uses other than in a PBS-distributed television 
program, the royalty fee shall be calculated by multiplying the 
following per-composition rates by the number of different compositions 
in that program:

------------------------------------------------------------------------
                                                              2018-2022
------------------------------------------------------------------------
(A) Feature................................................        $9.81
(B) Concert feature (per minute)...........................         2.58
(C) Background.............................................         4.26
(D) Theme:
  (1) Single program or first series program...............         4.26
  (2) Other series program.................................         1.69
------------------------------------------------------------------------


[[Page 878]]

    (iii) In the event the work is first recorded other than in a PBS-
distributed program, and such program is subsequently distributed by 
PBS, an additional royalty payment shall be made equal to the difference 
between the rate specified in this section for other than a PBS-
distributed program and the rate specified in this section for a PBS-
distributed program.
    (2) For uses licensed herein of a musical work in a NPR program, the 
royalty fees shall be calculated by multiplying the following per-
composition rates by the number of different compositions in any NPR 
program distributed by NPR. For purposes of this schedule ``National 
Public Radio'' programs include all programs produced in whole or in 
part by NPR, or by any NPR station or organization under contract with 
NPR.

------------------------------------------------------------------------
                                                              2018-2022
------------------------------------------------------------------------
(i) Feature................................................       $12.85
(ii) Concert feature (per minute)..........................        18.86
(iii) Background...........................................         6.44
(iv) Theme:
  (A) Single program or first series program...............         6.44
  (B) Other series program.................................         2.57
------------------------------------------------------------------------

    (3) For purposes of this schedule, a ``Concert Feature'' shall be 
deemed to be the nondramatic presentation in a program of all or part of 
a symphony, concerto, or other serious work originally written for 
concert performance, or the nondramatic presentation in a program of 
portions of a serious work originally written for opera performance.
    (4) For such uses other than in an NPR-produced radio program:

------------------------------------------------------------------------
                                                              2018-2022
------------------------------------------------------------------------
(i) Feature................................................         $.81
(ii) Feature (concert) (per half hour).....................         1.69
(iii) Background...........................................          .41
------------------------------------------------------------------------

    (5) The schedule of fees covers use for a period of three years 
following the first use. Succeeding use periods will require the 
following additional payment: Additional one-year period--25 percent of 
the initial three-year fee; second three-year period--50 percent of the 
initial three-year fee; each three-year fee thereafter--25 percent of 
the initial three-year fee; provided that a 100 percent additional 
payment prior to the expiration of the first three-year period will 
cover use during all subsequent use periods without limitation. Such 
succeeding uses which are subsequent to December 31, 2017, shall be 
subject to the royalty rates established in this schedule.
    (c) Payment of royalty rates. The required royalty rates shall be 
paid to each known copyright owner not later than July 31 of each 
calendar year for uses during the first six months of that calendar 
year, and not later than January 31 for uses during the last six months 
of the preceding calendar year.
    (d) Records of use--(1) Maintenance of cue sheets. PBS and its 
stations, NPR, or other public broadcasting entities shall maintain and 
make available for examination pursuant to paragraph (e) of this section 
copies of their standard cue sheets or summaries of same listing the 
recording of the musical works of such copyright owners.
    (2) Content of cue sheets or summaries. Such cue sheets or summaries 
shall include:
    (i) The title, composer and author to the extent such information is 
reasonably obtainable.
    (ii) The type of use and manner of performance thereof in each case.
    (iii) For Concert Feature music, the actual recorded time period on 
the program, plus all distribution and broadcast information available 
to the public broadcasting entity.
    (e) Filing of use reports with the Copyright Royalty Judges. Deposit 
of cue sheets or summaries. PBS and its stations, NPR, or other 
television public broadcasting entity shall deposit with the Copyright 
Royalty Judges one electronic copy in Portable Document Format (PDF) on 
compact disk (an optical data storage medium such as a CD-ROM, CD-R or 
CD-RW) or floppy diskette of their standard music cue sheets or 
summaries of same listing the recording pursuant to this schedule of the 
musical works of copyright owners. Such cue sheets or summaries shall be 
deposited not later than July 31 of each calendar year for recordings 
during the first six months of the calendar year and not later than 
January 31 of each calendar year for recordings during the

[[Page 879]]

second six months of the preceding calendar year. PBS and NPR shall 
maintain at their offices copies of all standard music cue sheets from 
which such music use reports are prepared. Such music cue sheets shall 
be furnished to the Copyright Royalty Judges upon their request and also 
shall be available during regular business hours at the offices of PBS 
or NPR for examination by a copyright owner who believes a musical 
composition of such owner has been recorded pursuant to this schedule.

[72 FR 67647, Nov. 30, 2007, as amended at 77 FR 71108, Nov. 29, 2012; 
83 FR 2742, Jan. 19, 2018]



Sec.381.8  Terms and rates of royalty payments for the use of 
published pictorial, graphic, and sculptural works.

    (a) Scope. This section establishes rates and terms for the use of 
published pictorial, graphic, and sculptural works by public 
broadcasting entities for the activities described in 17 U.S.C. 118. The 
rates and terms established in this schedule include the making of the 
reproductions described in 17 U.S.C. 118(c).
    (b) Royalty rate. (1) The following schedule of rates shall apply to 
the use of works within the scope of this section:
    (i) For such uses in a PBS-distributed program:

------------------------------------------------------------------------
                                                              2013-2017
------------------------------------------------------------------------
(A) For featured display of a work.........................       $70.75
(B) For background and montage display.....................        34.50
(C) For use of a work for program identification or for           139.46
 thematic use..............................................
(D) For the display of an art reproduction copyrighted             45.82
 separately from the work of fine art from which the work
 was reproduced irrespective of whether the reproduced work
 of fine art is copyrighted so as to be subject also to
 payment of a display fee under the terms of the schedule..
------------------------------------------------------------------------

    (ii) For such uses in other than PBS-distributed programs:

------------------------------------------------------------------------
                                                              2013-2017
------------------------------------------------------------------------
(A) For featured display of a work.........................       $45.82
(B) For background and montage display.....................        23.48
(C) For use of a work for program identification or for            93.65
 thematic use..............................................
(D) For the display of an art reproduction copyrighted             23.49
 separately from the work of fine art from which the work
 was reproduced irrespective of whether the reproduced work
 of fine art is copyrighted so as to be subject also to
 payment of a display fee under the terms of the schedule..
------------------------------------------------------------------------

    (2) For the purposes of the schedule in paragraph (b)(1) of this 
section the rate for the thematic use of a work in an entire series 
shall be double the single program theme rate. In the event the work is 
first used other than in a PBS-distributed program, and such program is 
subsequently distributed by PBS, an additional royalty payment shall be 
made equal to the difference between the rate specified in this section 
for other than a PBS-distributed program and the rate specified in this 
section for a PBS-distributed program.
    (3) ``Featured display'' for purposes of this schedule means a full-
screen or substantially full-screen display appearing on the screen for 
more than three seconds. Any display less than full-screen or 
substantially full-screen, or full-screen for three seconds or less, is 
deemed to be a ``background or montage display''.
    (4) ``Thematic use'' is the utilization of the works of one or more 
artists where the works constitute the central theme of the program or 
convey a story line.
    (5) ``Display of an art reproduction copyrighted separately from the 
work of fine art from which the work was reproduced'' means a 
transparency or other reproduction of an underlying work of fine art.
    (c) Payment of royalty rate. PBS or other public broadcasting entity 
shall pay the required royalty fees to each copyright owner not later 
than July 31 of each calendar year for uses during the first six months 
of that calendar year, and not later than January 31 for uses during the 
last six months of the preceding calendar year.
    (d) Records of use. (1) PBS and its stations or other public 
broadcasting entity shall maintain and furnish either to copyright 
owners, or to the offices of generally recognized organizations 
representing the copyright owners of pictorial, graphic and sculptural 
works,

[[Page 880]]

copies of their standard lists containing the pictorial, graphic, and 
sculptural works displayed on their programs. Such notice shall include 
the name of the copyright owner, if known, the specific source from 
which the work was taken, a description of the work used, the title of 
the program on which the work was used, and the date of the original 
broadcast of the program.
    (2) Such listings shall be furnished not later than July 31 of each 
calendar year for displays during the first six months of the calendar 
year, and not later than January 31 of each calendar year for displays 
during the second six months of the preceding calendar year.
    (e) Filing of use reports with the Copyright Royalty Judges. (1) PBS 
and its stations or other public broadcasting entity shall deposit with 
the Copyright Royalty Judges one electronic copy in Portable Document 
Format (PDF) on compact disk (an optical data storage medium such as a 
CD-ROM, CD-R or CD-RW) or floppy diskette of their standard lists 
containing the pictorial, graphic, and sculptural works displayed on 
their programs. Such notice shall include the name of the copyright 
owner, if known, the specific source from which the work was taken, a 
description of the work used, the title of the program on which the work 
was used, and the date of the original broadcast of the program.
    (2) Such listings shall be furnished not later than July 31 of each 
calendar year for displays during the first six months of the calendar 
year, and not later than January 31 of each calendar year for displays 
during the second six months of the preceding calendar year.
    (f) Terms of use. (1) The rates of this schedule are for unlimited 
use for a period of three years from the date of the first use of the 
work under this schedule. Succeeding use periods will require the 
following additional payment: Additional one-year period--25 percent of 
the initial three-year fee; second three-year period--50 percent of the 
initial three-year fee; each three-year period thereafter--25 percent of 
the initial three-year fee; provided that a 100 percent additional 
payment prior to the expiration of the first three-year period will 
cover use during all subsequent use periods without limitation. Such 
succeeding uses which are subsequent to December 31, 2017, shall be 
subject to the rates established in this schedule.
    (2) Pursuant to the provisions of 17 U.S.C. 118(e), nothing in this 
schedule shall be construed to permit, beyond the limits of fair use as 
provided in 17 U.S.C. 107, the production of a transmission program 
drawn to any substantial extent from a published compilation of 
pictorial, graphic, or sculptural works.

[72 FR 67647, Nov. 30, 2007, as amended at 77 FR 71108, Nov. 29, 2012]



Sec.381.9  Unknown copyright owners.

    If PBS and its stations, NPR and its stations, or other public 
broadcasting entity is not aware of the identity of, or unable to 
locate, a copyright owner who is entitled to receive a royalty payment 
under this part, they shall retain the required fee in a segregated 
trust account for a period of three years from the date of the required 
payment. No claim to such royalty fees shall be valid after the 
expiration of the three-year period. Public broadcasting entities may 
establish a joint trust fund for the purposes of this section. Public 
broadcasting entities shall make available to the Copyright Royalty 
Judges, upon request, information concerning fees deposited in trust 
funds.



Sec.381.10  Cost of living adjustment.

    (a) On or before December 1, 2018, the Copyright Royalty Judges 
shall publish in the Federal Register a notice of the change in the cost 
of living as determined by the Consumer Price Index (all consumers, all 
items) during the period from the most recent Index published prior to 
December 1, 2017, to the most recent Index published prior to December 
1, 2018. On or before each December 1 thereafter the Copyright Royalty 
Judges shall publish a notice of the change in the cost of living during 
the period from the most recent index published prior to the previous 
notice, to the most recent Index published prior to December 1, of that 
year.
    (b) On the same date of the notices published pursuant to paragraph 
(a) of this section, the Copyright Royalty Judges shall publish in the 
Federal

[[Page 881]]

Register a revised schedule of the rates for Sec.381.5(c)(3), the rate 
to be charged for compositions in the repertory of SESAC, which shall 
adjust the royalty amounts established in a dollar amount according to 
the greater of:
    (1) The change in the cost of living determined as provided in 
paragraph (a) of this section; or
    (2) One-and-a-half percent (1.5%).
    (3) Such royalty rates shall be fixed at the nearest dollar.
    (c) The adjusted schedule for the rates for Sec.381.5(c)(3) shall 
become effective thirty (30) days after publication in the Federal 
Register.

[72 FR 67647, Nov. 30, 2007, as amended at 77 FR 71109, Nov. 29, 2012; 
83 FR 2743, Jan. 19, 2018]



Sec.381.11  Notice of restrictions on use of reproductions of
transmission programs.

    Any public broadcasting entity which, pursuant to 17 U.S.C. 118, 
supplies a reproduction of a transmission program to governmental bodies 
or nonprofit institutions shall include with each copy of the 
reproduction a warning notice stating in substance that the 
reproductions may be used for a period of not more than seven days from 
the specified date of transmission, that the reproductions must be 
destroyed by the user before or at the end of such period, and that a 
failure to fully comply with these terms shall subject the body or 
institution to the remedies for infringement of copyright.



 PART 382_RATES AND TERMS FOR TRANSMISSIONS OF SOUND RECORDINGS BY
 PREEXISTING SUBSCRIPTION SERVICES AND PREEXISTING SATELLITE DIGITAL
 AUDIO RADIO SERVICES AND FOR THE MAKING OF EPHEMERAL REPRODUCTIONS
 TO FACILITATE THOSE TRANSMISSIONS--Table of Contents



              Subpart A_Regulations of General Application

Sec.
382.1 Definitions.
382.2 Scope and compliance.
382.3 Making payment of royalty fees.
382.4 Delivering statements of account.
382.5 Distributing royalty fees.
382.6 Handling Confidential Information.
382.7 Auditing payments and distributions.

            Subpart B_Preexisting Subscription Services (PSS)

382.10 Royalty fees for the digital performance of sound recordings and 
          the making of ephemeral recordings by preexisting subscription 
          services.
382.11 Calculation of gross revenues for PSS.

  Subpart C_Preexisting Satellite Digital Audio Radio Services (SDARS)

382.20 Definitions.
382.21 Royalty fees for the public performance of sound recordings and 
          the making of ephemeral recordings by SDARS.
382.22 Calculation of Gross Revenues for SDARS.
382.23 Adjustments to royalty fee.

    Authority: 17 U.S.C. 112(e), 114 and 801(b)(1).

    Source: 83 FR 65265, Dec. 19, 2018, unless otherwise noted.



              Subpart A_Regulations of General Application



Sec.382.1  Definitions.

    In this subpart:
    Collective means the collection and distribution organization that 
is designated by the Copyright Royalty Judges.
    Copyright Owners means sound recording copyright owners, and rights 
owners under 17 U.S.C. 1401(l)(2), who are entitled to royalty payments 
made under this part pursuant to the statutory licenses under 17 U.S.C. 
112(e) and 114.
    Digital Audio Transmission has the same meaning as in 17 U.S.C. 
114(j)(5).
    Eligible Transmission means a Digital Audio Transmission made by a 
Licensee that is subject to licensing under 17 U.S.C. 114(d)(2) and the 
payment of royalties under 37 CFR part 382.
    Ephemeral Recording has the same meaning as in 17 U.S.C. 112.
    GAAP means generally accepted accounting principles in effect in the 
United States on the date payment is due.

[[Page 882]]

    Licensee means the provider of an Satellite Digital Audio Radio 
Service (SDARS) or Preexisting Subscription Service (PSS) that has 
obtained a license under 17 U.S.C. 114 to make eligible transmissions 
and a license under 17 U.S.C. 112(e) to make Ephemeral Recordings to 
facilitate those Eligible Transmissions.
    Payor means the entity required to make royalty payments to the 
Collective or the entity required to distribute royalty fees collected, 
depending on context. The Payor is:
    (1) A Licensee, in relation to the Collective; and
    (2) The Collective in relation to a Copyright Owner or Performer.
    Performers means the independent administrators identified in 17 
U.S.C. 114(g)(2)(B) and (C) and the parties identified in 17 U.S.C. 
114(g)(2)(D).
    Preexisting Subscription Service (PSS) has the same meaning as in 17 
U.S.C. 114(j)(11). A service's offering on the internet that is 
available to a subscriber outside the subscriber's residence is not a 
Preexisting Subscription Service for purposes of this part.
    Qualified Auditor means a Certified Public Accountant independent 
within the meaning of the American Institute Certified Public 
Accountants Code of Professional Conduct.
    Satellite Digital Audio Radio Service (SDARS) means the preexisting 
satellite digital audio radio services as defined in 17 U.S.C. 
114(j)(10).
    Transmission has the same meaning as in 17 U.S.C. 114(j)(15).
    Verifying Entity means the party requesting an audit and giving 
notice of intent to audit. For audits of SDARS and PSS, the Verifying 
Entity is SoundExchange, Inc. For audits of SoundExchange, Inc. the 
Verifying Entity is any Copyright Owner or its authorized 
representative.

[83 FR 65265, Dec. 19, 2018, as amended at 84 FR 32313, July 8, 2019]



Sec.382.2  Scope and compliance.

    (a) Scope. This part codifies rates and terms of royalty payments 
for the public performance of sound recordings in certain Digital Audio 
Transmissions by certain Licensees in accordance with applicable 
provisions of 17 U.S.C. 114 and for the making of Ephemeral Recordings 
by those Licensees in accordance with the provisions of 17 U.S.C. 
112(e), during the period January 1, 2018, through December 31, 2027.
    (b) Legal compliance. Licensees relying upon the statutory licenses 
set forth in 17 U.S.C. 112(e) and 114 must comply with the requirements 
of 17 U.S.C. 112(e) and 114, this part and any other applicable 
regulations.
    (c) Voluntary agreements. Notwithstanding the royalty rates and 
terms established in any subparts of this part, the rates and terms of 
any license agreements entered into by Copyright Owners and Licensees 
may apply in lieu of these rates and terms.



Sec.382.3  Making payment of royalty fees.

    (a) Payment to the Collective. A Licensee must make the royalty 
payments due under subparts B and C of this part to SoundExchange, Inc., 
which is the Collective designated by the Copyright Royalty Board to 
collect and distribute royalties under this part. If any payment due 
date is a weekend or a federal holiday, then the payment is due on the 
first business day thereafter.
    (b) Advance payment. Licensees must pay the Collective an annual 
advance payment of $100,000 by January 31 of each year. The Collective 
must credit 5% of the advance payment as payment of the minimum fee for 
Ephemeral Recordings and credit the remaining 95% to section 114 
royalties. The funds are nonrefundable. Any uncredited portion of the 
funds shall not carry over into a subsequent year.
    (c) Minimum payments. A Licensee must make any minimum annual 
payment due under subpart B or C of this part by January 31 of the 
applicable license year.
    (d) Monthly payments. A Licensee must make royalty payments on a 
monthly basis. Payments are due on or before the 45th day after the end 
of the month in which the Licensee made Eligible Transmissions.
    (e) Late fees. A Licensee must pay a late fee for each payment and 
each Statement of Account that the Collective receives after the due 
date. The late fee is 1.5% (or the highest lawful rate, whichever is 
lower) of the late

[[Page 883]]

payment amount per month. The late fee for a late Statement of Account 
is 1.5% of the payment amount associated with the Statement of Account. 
Late fees accrue from the due date until the date that the Collective 
receives the late payment or late Statement of Account.
    (1) Waiver of late fees. The Collective may waive or lower late fees 
for immaterial or inadvertent failures of a Licensee to make a timely 
payment or submit a timely Statement of Account.
    (2) Notice regarding noncompliant Statements of Account. If it is 
reasonably evident to the Collective that a timely-provided Statement of 
Account is materially noncompliant, the Collective must notify the 
Licensee within 90 days of discovery of the noncompliance.



Sec.382.4  Delivering statements of account.

    (a) Statements of Account. Any payment due under this part must be 
accompanied by a corresponding Statement of Account that must contain 
the following information:
    (1) Information as is necessary to calculate the accompanying 
royalty payment;
    (2) The name, address, business title, telephone number, facsimile 
number (if any), electronic mail address (if any) and other contact 
information of the person to be contacted for information or questions 
concerning the content of the Statement of Account;
    (3) The signature of:
    (i) The Licensee or a duly authorized agent of the Licensee;
    (ii) A partner or delegate if the Licensee is a partnership; or
    (iii) An officer of the corporation if the Licensee is a 
corporation;
    (4) The printed or typewritten name of the person signing the 
Statement of Account;
    (5) If the Licensee is a partnership or corporation, the title or 
official position held in the partnership or corporation by the person 
signing the Statement of Account;
    (6) A certification of the capacity of the person signing;
    (7) The date of signature; and
    (8) An attestation to the following effect:
    I, the undersigned owner/officer/partner/agent of the Licensee have 
examined this Statement of Account and hereby state that it is true, 
accurate, and complete to my knowledge after reasonable due diligence 
and that it fairly presents, in all material respects, the liabilities 
of the Licensee pursuant to 17 U.S.C. 112(e) and 114 and applicable 
regulations adopted under those sections.
    (b) Certification. Licensee's Chief Financial Officer or, if 
Licensee does not have a Chief Financial Officer, a person authorized to 
sign Statements of Account for the Licensee, must submit a signed 
certification on an annual basis attesting that Licensee's royalty 
statements for the prior year represent a true and accurate 
determination of the royalties due and that any method of allocation 
employed by Licensee was applied in good faith and in accordance with 
U.S. GAAP.



Sec.382.5  Distributing royalty fees.

    (a) Distribution of royalties. (1) The Collective must promptly 
distribute royalties received from Licensees to Copyright Owners and 
Performers that are entitled thereto, or to their designated agents. The 
Collective shall only be responsible for making distributions to those 
who provide the Collective with information necessary to identify and 
pay the correct recipient. The Collective must distribute royalties on a 
basis that values all performances by a Licensee equally based upon the 
information provided under the Reports of Use requirements for Licensees 
pursuant to Sec.370.3 or Sec.370.4 of this chapter, as applicable, 
and pursuant to this part.
    (2) Identification of Copyright Owners. The Collective must use its 
best efforts to identify and locate copyright owners and featured 
artists to distribute royalties payable to them under section 112(e) or 
114(d)(2) of title 17, United States Code, or both. Such efforts must 
include, but are not limited to, searches in Copyright Office public 
records and published directories of sound recording copyright owners 
when consulting those records and directories is likely to be helpful.

[[Page 884]]

    (b) Unclaimed funds. If the Collective is unable to identify or 
locate a Copyright Owner or Performer who is entitled to receive a 
royalty distribution under this part, the Collective must retain the 
required payment in a segregated trust account for a period of three 
years from the date of the first distribution of royalties from the 
relevant payment by a Licensee. No claim to distribution shall be valid 
after the expiration of the three-year period. After expiration of this 
period, the Collective must handle unclaimed funds in accordance with 
applicable federal, state, or common law.
    (c) Retention of records. Licensees and the Collective shall keep 
books and records relating to payments and distributions of royalties 
for a period of not less than the prior three calendar years.
    (d) Designation of the Collective. (1) The Judges designate 
SoundExchange, Inc., as the Collective to receive Statements of Account 
and royalty payments from Licensees and to distribute royalty payments 
to each Copyright Owner and Performer (or their respective designated 
agents) entitled to receive royalties under 17 U.S.C. 112(e) or 114(g).
    (2) If SoundExchange, Inc. should dissolve or cease to be governed 
by a board consisting of equal numbers of representatives of Copyright 
Owners and Performers, it shall be replaced for the applicable royalty 
period by a successor Collective according to the following procedure:
    (i) The nine Copyright Owner representatives and the nine Performer 
representatives on the SoundExchange board as of the last day preceding 
SoundExchange's cessation or dissolution shall vote by a majority to 
recommend that the Copyright Royalty Judges designate a successor and 
must file a petition with the Copyright Royalty Judges requesting that 
the Judges designate the named successor and setting forth the reasons 
therefor.
    (ii) Within 30 days of receiving the petition, the Copyright Royalty 
Judges must issue an order designating the recommended Collective, 
unless the Judges find good cause not to make and publish the 
designation in the Federal Register.



Sec.382.6  Handling Confidential Information.

    (a) Definition. For purposes of this part, ``Confidential 
Information'' means the Statements of Account and any information 
contained therein, including the amount of royalty payments and any 
information pertaining to the Statements of Account reasonably 
designated as confidential by the party submitting the statement. 
Confidential Information does not include documents or information that 
at the time of delivery to the Collective is public knowledge. The party 
seeking information from the Collective based on a claim that the 
information sought is a matter of public knowledge shall have the burden 
of proving to the Collective that the requested information is in the 
public domain.
    (b) Use of Confidential Information. The Collective may not use any 
Confidential Information for any purpose other than royalty collection 
and distribution and activities related directly thereto.
    (c) Disclosure of Confidential Information. The Collective shall 
limit access to Confidential Information to:
    (1) Employees, agents, consultants, and independent contractors of 
the Collective, subject to an appropriate written confidentiality 
agreement, who are engaged in the collection and distribution of royalty 
payments hereunder and activities related directly thereto who require 
access to the Confidential Information for the purpose of performing 
their duties during the ordinary course of their work;
    (2) A Qualified Auditor or outside counsel who is authorized to act 
on behalf of:
    (i) The Collective with respect to verification of a Licensee's 
statement of account pursuant to this part; or
    (ii) A Copyright Owner or Performer with respect to the verification 
of royalty distributions pursuant to this part;
    (3) Copyright Owners and Performers, including their designated 
agents, whose works a Licensee used under the statutory licenses set 
forth in 17 U.S.C. 112(e) and 114 by the Licensee whose Confidential 
Information is being supplied, subject to an appropriate written

[[Page 885]]

confidentiality agreement, and including those employees, agents, 
consultants, and independent contractors of such Copyright Owners and 
Performers and their designated agents, subject to an appropriate 
written confidentiality agreement, who require access to the 
Confidential Information to perform their duties during the ordinary 
course of their work;
    (4) Attorneys and other authorized agents of parties to proceedings 
under 17 U.S.C. 112 or 114, acting under an appropriate protective 
order.
    (d) Safeguarding Confidential Information. The Collective and any 
person authorized to receive Confidential Information from the 
Collective must implement procedures to safeguard against unauthorized 
access to or dissemination of Confidential Information using a 
reasonable standard of care, but no less than the same degree of 
security that the recipient uses to protect its own Confidential 
Information or similarly sensitive information.



Sec.382.7  Auditing payments and distributions.

    (a) General. This section prescribes procedures by which any entity 
entitled to receive payment or distribution of royalties may verify 
those payments or distributions with an independent audit. The 
Collective may audit a Licensee's payments of royalties to the 
Collective and a Copyright Owner or Performer may audit the Collective's 
distributions of royalties to the Copyright Owners or Performers. 
Nothing in this section shall preclude a Verifying Entity and the Payor 
under audit from agreeing to verification methods in addition to or 
different from those set forth in this section.
    (b) Frequency of auditing. A Verifying Entity may conduct an audit 
of each Payor only once a year and the audit may cover any or all of the 
prior three calendar years. A Verifying Entity may not audit records for 
any calendar year more than once.
    (c) Notice of intent to audit. The Verifying Entity must file with 
the Copyright Royalty Judges a notice of intent to audit the Payor, 
which notice the Judges must publish in the Federal Register within 30 
days of the filing of the notice. Simultaneously with the filing of the 
notice, the Verifying Entity must send a copy to the Payor.
    (d) The audit. The audit must be conducted during regular business 
hours by a Qualified Auditor who is not retained on a contingency fee 
basis and is identified in the notice. The auditor shall determine the 
accuracy of royalty payments or distributions, including whether the 
Payor made an underpayment or overpayment of royalties. An audit of 
books and records, including underlying paperwork, performed in the 
ordinary course of business according to generally accepted auditing 
standards by a Qualified Auditor, shall serve as an acceptable 
verification procedure for all parties with respect to the information 
that is within the scope of the audit.
    (e) Access to third-party records for audit purposes. The Payor 
under audit must use commercially reasonable efforts to obtain or to 
provide access to any relevant books and records maintained by third 
parties for the purpose of the audit.
    (f) Duty of auditor to consult. The auditor must produce a written 
report to the Verifying Entity. Before issuing the report, unless the 
auditor has a reasonable basis to suspect fraud on the part of the 
Payor, the disclosure of which would, in the reasonable opinion of the 
auditor, prejudice any investigation of the suspected fraud. The auditor 
must review tentative written findings of the audit with the appropriate 
agent or employee of the Payor in order to remedy any factual errors and 
clarify any issues relating to the audit; provided that an appropriate 
agent or employee of the Payor reasonably cooperates with the auditor to 
remedy promptly any factual error[s] or clarify any issue raised by the 
audit. The auditor must include in the written report information 
concerning the cooperation or the lack thereof of the employee or agent.
    (g) Audit results; underpayment or overpayment of royalties. If the 
auditor determines the Payor underpaid royalties, the Payor shall remit 
the amount of any underpayment determined by the auditor to the 
Verifying Entity, together with interest at the post-judgment rate 
specified in 28 U.S.C. 1961,

[[Page 886]]

accrued from and after the date the payment was originally due. In the 
absence of mutually-agreed payment terms, which may, but need not, 
include installment payments, the Payor shall remit promptly to the 
Verifying Entity the entire amount of the underpayment determined by the 
auditor. If the auditor determines the Payor overpaid royalties, 
however, the Verifying Entity shall not be required to remit the amount 
of any overpayment to the Payor, and the Payor shall not seek by any 
means to recoup, offset, or take a credit for the overpayment, unless 
the Payor and the Verifying Entity have agreed otherwise.
    (h) Paying the costs of the audit. The Verifying Entity must pay the 
cost of the audit, unless the auditor determines that there was an 
underpayment of 10% or more, in which case the Payor must bear the 
reasonable costs of the audit, in addition to paying or distributing the 
amount of any underpayment.
    (i) Retention of audit report. The Verifying Entity must retain the 
report of the audit for a period of not less than three years from the 
date of issuance.



            Subpart B_Preexisting Subscription Services (PSS)



Sec.382.10  Royalty fees for the digital performance of sound 
recordings and the making of ephemeral recordings by preexisting
subscription services.

    (a) Royalty fees. Commencing January 1, 2018, and continuing through 
December 31, 2027, Licensees must pay royalty fees for all Eligible 
Transmissions of sound recordings at the rate of 7.5 percent of Gross 
Revenues.
    (b) Ephemeral recordings royalty fee. (1) The fee for all Ephemeral 
Recordings is part of the total fee payable under this section and 
constitutes 5% of it. All Ephemeral Recordings that a Licensee makes 
that are necessary and commercially reasonable for making noninteractive 
Digital Audio Transmission as a PSS are included in the 5%.
    (2) The minimum fee is $5,000 per year.



Sec.382.11  Calculation of gross revenues for PSS.

    (a) Gross revenues are monies derived from the operation of the 
programming service of the Licensee and are comprised of the following:
    (1) Monies received by Licensee from Licensee's carriers and 
directly from residential U.S. subscribers for Licensee's programming 
service;
    (2) Licensee's advertising revenues (as billed), or other monies 
received from sponsors, if any, less advertising agency commissions not 
to exceed 15% of those fees incurred to a recognized advertising agency 
not owned or controlled by Licensee;
    (3) Monies received for the provision of time on the programming 
service to any third party;
    (4) Monies received from the sale of time to providers of paid 
programming such as infomercials;
    (5) Where merchandise, service, or anything of value is received by 
Licensee in lieu of cash consideration for the use of Licensee's 
programming service, the fair market value thereof or Licensee's 
prevailing published rate, whichever is less;
    (6) Monies or other consideration received by Licensee from 
Licensee's carriers, but not including monies received by Licensee's 
carriers from others and not accounted for by Licensee's carriers to 
Licensee, for the provision of hardware by anyone and used in connection 
with the programming service;
    (7) Monies or other consideration received for any references to or 
inclusion of any product or service on the programming service; and
    (8) Bad debts recovered regarding paragraphs (a)(1) through (7) of 
this section.
    (9) Revenues described in paragraphs (a)(1) through (8) of this 
section to which Licensee is entitled but which are paid to a parent, 
subsidiary, division, or affiliate of Licensee, in lieu of payment to 
Licensee but not including payments to Licensee's carriers for the 
programming service.
    (b) Gross Revenues exclude affiliate revenue returned during the 
reporting period and bad debts actually written off during reporting 
period.

[[Page 887]]



  Subpart C_Preexisting Satellite Digital Audio Radio Services (SDARS)



Sec.382.20  Definitions.

    In this subpart:
    Directly-Licensed Recording means a sound recording for which the 
Licensee has previously obtained a license of all relevant rights from 
the sound recording Copyright Owner.
    Reference Channels means internet webcast channels offered by the 
Licensee that directly correspond to channels offered on the Licensee's 
SDARS that are capable of being received on all models of Sirius radio, 
all models of XM radio or both, and on which the programming consists 
primarily of music.

[83 FR 65265, Dec. 19, 2018, as amended at 84 FR 32313, July 8, 2019]



Sec.382.21  Royalty fees for the public performance of sound recordings
and the making of ephemeral recordings by SDARS.

    (a) Royalty fees. Commencing January 1, 2018, and continuing through 
December 31, 2027, Licensees must pay royalty fees for all Eligible 
Transmissions of sound recordings at the rate of 15.5% of Gross 
Revenues.
    (b) Ephemeral recordings royalty fees. (1) The fee for all Ephemeral 
Recordings is part of the total fee payable under this section and 
constitutes 5% of it. All Ephemeral Recordings that a Licensee makes 
that are necessary and commercially reasonable for making noninteractive 
Digital Audio Transmissions as an SDARS are included in the 5%.
    (2) The minimum fee is $5,000 per year.



Sec.382.22  Calculation of Gross Revenues for SDARS.

    (a) Gross Revenues are:
    (1) Revenue recognized by the Licensee in accordance with GAAP from 
the operation of an SDARS and comprised of the following:
    (i) Subscription revenue recognized by Licensee directly from U.S. 
subscribers for licensee's SDARS; and
    (ii) Licensee's advertising revenues, or other monies received from 
sponsors, if any, attributable to advertising on channels other than 
those that use only incidental performances of sound recordings, less 
advertising agency and sales commissions.
    (2) Revenues set forth above to which Licensee is entitled but which 
are paid to a parent, wholly-owned subsidiary, or division of Licensee.
    (b) Gross Revenues exclude:
    (1) Monies or other consideration attributable to the sale and/or 
license of equipment and/or other technology, including but not limited 
to bandwidth, sales of devices that receive the Licensee's SDARS and any 
shipping and handling fees therefor;
    (2) Royalties paid to Licensee for intellectual property rights;
    (3) Monies or other consideration received by Licensee from the sale 
of phonorecords and digital phonorecord deliveries;
    (4) Sales and use taxes;
    (5) Credit card, invoice, activation, swap and early termination 
fees charged to subscribers and reasonably related to the Licensee's 
expenses to which they pertain;
    (6) Bad debt expense; and
    (7) Revenues recognized by Licensee (or otherwise received by 
Licensee if no GAAP ``recognition'' principles are applicable) for the 
provision of:
    (i) Current and future data services offered for a separate charge 
(e.g., weather, traffic, destination information, messaging, sports 
scores, stock ticker information, extended program associated data, 
video and photographic images, and such other telematics and/or data 
services as may exist from time to time);
    (ii) Channels, programming, products and/or other services offered 
for a separate charge where such channels use only incidental 
performances of sound recordings;
    (iii) Channels, programming, products and/or other services provided 
outside of the United States; and
    (iv) Channels, programming, products and/or other services for which 
the performance of sound recordings and/or the making of Ephemeral 
Recordings is exempt from any license requirement or is separately 
licensed, including by a

[[Page 888]]

statutory license and, for the avoidance of doubt, webcasting, audio 
services bundled with television programming, interactive services, and 
transmissions to business establishments.



Sec.382.23  Adjustments to royalty fee.

    (a) Reduction for Direct License Share. The royalty fee specified in 
Sec.382.21(a) may be reduced by the percentage of Eligible 
Transmissions comprising the Direct License Share.
    (1) The Direct License Share reduction is available to a Licensee 
only if--
    (i) The Reference Channels constitute a large majority of and are 
generally representative of the music channels offered on the Licensee's 
SDARS; and
    (ii) The Licensee provides the Collective, by no later than the due 
date for the relevant payment under Sec.382.3(d), a list of each 
Copyright Owner from which the Licensee claims to have a direct license 
of rights to Directly-Licensed Recordings that is in effect for the 
month for which the payment is made and of each sound recording for 
which the Licensee takes the reduction, identified by featured artist 
name, sound recording title, and International Standard Recording Code 
(ISRC) number or, alternatively to the ISRC, album title and copyright 
owner name. Notwithstanding Sec.382.6, the Collective may disclose 
such information as reasonably necessary for it to confirm whether a 
claimed direct license exists and claimed sound recordings are properly 
excludable.
    (2) To arrive at the percentage allocable to the Direct License 
Share for each month, the Licensee shall divide the internet 
Performances of Directly-Licensed Recordings on the Reference Channels 
by the total number of internet Performances of all sound recordings on 
the Reference Channels. In no event shall the Direct License Share be an 
amount greater than the result of dividing the number of plays of 
Directly-Licensed Recordings on the SDARS by the total number of plays 
of all sound recordings on the SDARS.
    (b) Definition of Performance. For purposes of this section, 
Performance means:
    (1) Except as discussed in paragraph (c)(2) of this section, a 
Performance is an instance in which any portion of a sound recording is 
publicly performed to a listener within the United States by means of a 
Digital Audio Transmission (e.g., the delivery of any portion of a 
single track from a compact disc to one listener).
    (2) An instance in which a portion of a sound recording is publicly 
performed to a listener within the United States by means of a Digital 
Audio Transmission is not a Performance if it both:
    (i) Makes no more than incidental use of sound recordings including, 
but not limited to, brief musical transitions in and out of commercials 
or program segments, brief use during news, talk and sports programming, 
brief background use during disk jockey announcements, brief use during 
commercials of sixty seconds or less in duration, or brief use during 
sporting or other public events; and
    (ii) Does not contain an entire sound recording and does not feature 
a particular sound recording of more than thirty seconds (as in the case 
of a sound recording used as a theme song), except for ambient music 
that is background at a public event.

[83 FR 65265, Dec. 19, 2018, as amended at 84 FR 32313, July 8, 2019]



PART 383_RATES AND TERMS FOR SUBSCRIPTION TRANSMISSIONS AND THE
REPRODUCTION OF EPHEMERAL RECORDINGS BY CERTAIN NEW SUBSCRIPTION
SERVICES--Table of Contents



Sec.
383.1 General.
383.2 Definitions.
383.3 Royalty fees for public performance of sound recordings and the 
          making of ephemeral recordings.
383.4 Terms for making payment of royalty fees.

    Authority: 17 U.S.C. 112(e), 114, and 801(b)(1).

    Source: 72 FR 72254, Dec. 20, 2007, unless otherwise noted.



Sec.383.1  General.

    (a) Scope. This part 383 establishes rates and terms of royalty 
payments for the public performance of sound recordings in certain 
digital transmissions by Licensees in accordance

[[Page 889]]

with the provisions of 17 U.S.C. 114, and the making of certain 
ephemeral recordings by Licensees in accordance with the provisions of 
17 U.S.C. 112(e), during the period commencing January 1, 2021, and 
continuing through December 31, 2025.
    (b) Legal compliance. Licensees relying upon the statutory licenses 
set forth in 17 U.S.C. 112(e) and 114 shall comply with the requirements 
of those sections and the rates and terms of this part.
    (c) Relationship to voluntary agreements. Notwithstanding the 
royalty rates and terms established in this part, the rates and terms of 
any voluntary license agreements entered into by Copyright Owners and 
Licensees shall apply in lieu of the rates and terms of this part to 
transmissions with the scope of such agreements.

[72 FR 72254, Dec. 20, 2007, as amended at 75 FR 14075, Mar. 24, 2010; 
80 FR 36928, June 29, 2015; 85 FR 9664, Feb. 20, 2020]



Sec.383.2  Definitions.

    For purposes of this part, the following definitions shall apply:
    (a) Bundled Contracts means contracts between the Licensee and a 
Provider in which the Service is not the only content licensed by the 
Licensee to the Provider.
    (b) Copyright Owner means a sound recording copyright owner, or a 
rights owner under 17 U.S.C. 1401(l)(2), who is entitled to receive 
royalty payments made under this part pursuant to the statutory licenses 
under 17 U.S.C. 112(e) and 114.
    (c) License Period means the period commencing January 1, 2021, and 
continuing through December 31, 2025.
    (d) Licensee is a person that has obtained statutory licenses under 
17 U.S.C. 112(e) and 114, and the implementing regulations, to make 
digital audio transmissions as part of a Service (as defined in 
paragraph (f) of this section), and ephemeral recordings for use in 
facilitating such transmissions.
    (e) Provider means a ``multichannel video programming distributor'' 
as that term is defined in 47 CFR 76.1000(e); notwithstanding such 
definition, for purposes of this part, a Provider shall include only a 
distributor of programming to televisions, such as a cable or satellite 
television provider.
    (f) A Service is a non-interactive (consistent with the definition 
of ``interactive service'' in 17 U.S.C. 114(j)(7)) audio-only 
subscription service (including accompanying information and graphics 
related to the audio) that is transmitted to residential subscribers of 
a television service through a Provider which is marketed as and is in 
fact primarily a video service where
    (1) Subscribers do not pay a separate fee for audio channels.
    (2) The audio channels are delivered by digital audio transmissions 
through a technology that is incapable of tracking the individual sound 
recordings received by any particular consumer.
    (3) However, paragraph (f)(2) of this section shall not apply to the 
Licensee's current contracts with Providers that are in effect as of the 
effective date of this part if such Providers become capable in the 
future of tracking the individual sound recordings received by any 
particular consumer, provided that the audio channels continued to be 
delivered to Subscribers by digital audio transmissions and the Licensee 
remains incapable of tracking the individual sound recordings received 
by any particular consumer.
    (g) Subscriber means every residential subscriber to the underlying 
service of the Provider who receives Licensee's Service in the United 
States for all or any part of a month; provided, however, that for any 
Licensee that is not able to track the number of subscribers on a per-
day basis, ``Subscribers'' shall be calculated based on the average of 
the number of subscribers on the last day of the preceding month and the 
last day of the applicable month, unless the Service is paid by the 
Provider based on end-of-month numbers, in which event ``Subscribers'' 
shall be counted based on end-of-month data.
    (h) Stand-Alone Contracts means contracts between the Licensee and a 
Provider in which the only content licensed to the Provider is the 
Service.

[72 FR 72254, Dec. 20, 2007, as amended at 75 FR 14075, Mar. 24, 2010; 
80 FR 36928, June 29, 2015; 84 FR 32313, July 8, 2019; 85 FR 9664, Feb. 
20, 2020]

[[Page 890]]



Sec.383.3  Royalty fees for public performances of sound recordings
and the making of ephemeral recordings.

    (a) Royalty rates. Royalty rates for the public performance of sound 
recordings by eligible digital transmissions made over a Service 
pursuant to 17 U.S.C. 114, and for ephemeral recordings of sound 
recordings made pursuant to 17 U.S.C. 112(e) to facilitate such 
transmissions during the License Period, are as follows. Each Licensee 
will pay, with respect to content covered by the License that is 
provided via the Service of each such Licensee:
    (1) For Stand-Alone Contracts, the following monthly payment per 
Subscriber to the Service of such Licensee:
    (i) 2021: $0.0208
    (ii) 2022: $0.0214
    (iii) 2023: $0.0221
    (iv) 2024: $0.0227
    (v) 2025: $0.0234
    (2) For Bundled Contracts, the following monthly payment per 
Subscriber to the Service of such Licensee:
    (i) 2021: $0.0346
    (ii) 2022: $0.0356
    (iii) 2023: $0.0367
    (iv) 2024: $0.0378
    (v) 2025: $0.0390
    (b) Minimum fee. Each Licensee will pay an annual, non-refundable 
minimum fee of one hundred thousand dollars ($100,000), payable on 
January 31 of each calendar year in which the Service is provided 
pursuant to the section 112(e) and 114 statutory licenses. Such fee 
shall be recoupable and credited against royalties due in the calendar 
year in which it is paid.
    (c) Allocation between ephemeral recordings fees and performance 
royalty fees. The Collective must credit 5% of all royalty payments as 
royalty payment for Ephemeral Recordings and credit the remaining 95% to 
section 114 royalties. All Ephemeral Recordings that a Licensee makes 
which are necessary and commercially reasonable for making 
noninteractive digital transmissions through a Service are included in 
the 5%.

[72 FR 72254, Dec. 20, 2007, as amended at 75 FR 14075, Mar. 24, 2010; 
80 FR 36928, June 29, 2015; 85 FR 9664, Feb. 20, 2020]



Sec.383.4  Terms for making payment of royalty fees.

    (a) Terms in general. Subject to the provisions of this section, 
terms governing timing and due dates of royalty payments to the 
Collective, late fees, statements of account, audit and verification of 
royalty payments and distributions, cost of audit and verification, 
record retention requirements, treatment of Licensees' confidential 
information, distribution of royalties by the Collective, unclaimed 
funds, designation of the Collective, and any definitions for applicable 
terms not defined herein and not otherwise inapplicable shall be those 
adopted by the Copyright Royalty Judges for Digital audio transmission 
and the reproduction of ephemeral recordings by Commercial Webcasters in 
37 CFR part 380, subpart A of this chapter, for the license period 2021-
2025. For purposes of this part, the term ``Collective'' refers to the 
collection and distribution organization that is designated by the 
Copyright Royalty Judges. For the License Period through 2020, the sole 
Collective is SoundExchange, Inc.
    (b) Reporting of performances. Without prejudice to any applicable 
notice and recordkeeping provisions, statements of account shall not 
require reports of performances.
    (c) Applicable regulations. To the extent not inconsistent with this 
part, all applicable regulations, including part 370 of this chapter, 
shall apply to activities subject to this part.

[75 FR 14075, Mar. 24, 2010, as amended at 80 FR 36928, June 29, 2015; 
85 FR 9664, Feb. 20, 2020]



PART 384_RATES AND TERMS FOR THE MAKING OF EPHEMERAL RECORDINGS BY
BUSINESS ESTABLISHMENT SERVICES--Table of Contents



Sec.
384.1 General.
384.2 Definitions.
384.3 Royalty fees for Ephemeral Recordings.
384.4 Terms for making payment of royalty fees and statements of 
          account.
384.5 Confidential information.
384.6 Verification of royalty payments.
384.7 Verification of royalty distributions.
384.8 Unclaimed funds.


[[Page 891]]


    Authority: 17 U.S.C. 112(e), 801(b)(1).

    Source: 73 FR 16199, Mar. 27, 2008, unless otherwise noted.



Sec.384.1  General.

    (a) Scope. This part 384 establishes rates and terms of royalty 
payments for the making of Ephemeral Recordings by a Business 
Establishment Service, as defined in Sec.384.2, in accordance with the 
provisions of 17 U.S.C. 112(e), during the period January 1, 2019, 
through December 31, 2023 (the ``License Period'').
    (b) Legal compliance. Licensees relying upon the statutory license 
set forth in 17 U.S.C. 112(e) shall comply with the requirements of that 
section, the rates and terms of this part and any other applicable 
regulations.
    (c) Relationship to voluntary agreements. Notwithstanding the 
royalty rates and terms established in this part, the rates and terms of 
any license agreements entered into by Copyright Owners and Licensees 
shall apply in lieu of the rates and terms of this part to the making of 
Ephemeral Recordings within the scope of such agreements.

[73 FR 16199, Mar. 27, 2008, as amended at 78 FR 66277, Nov. 5, 2013; 83 
FR 60363, Nov. 26, 2018]



Sec.384.2  Definitions.

    For purposes of this part, the following definitions shall apply:
    Business Establishment Service means a service making transmissions 
of sound recordings under the limitation on exclusive rights specified 
by 17 U.S.C. 114(d)(1)(C)(iv).
    Collective is the collection and distribution organization that is 
designated by the Copyright Royalty Judges. For the License Period, the 
Collective is SoundExchange, Inc.
    Copyright Owners are sound recording copyright owners, and rights 
owners under 17 U.S.C. 1401(l)(2), who are entitled to royalty payments 
made under this part pursuant to the statutory license under 17 U.S.C. 
112(e).
    Ephemeral Recording is a phonorecord created for the purpose of 
facilitating a transmission of a public performance of a sound recording 
under the limitations on exclusive rights specified by 17 U.S.C. 
114(d)(1)(C)(iv), and subject to the limitations specified in 17 U.S.C. 
112(e).
    Licensee is a Business Establishment Service that has obtained a 
compulsory license under 17 U.S.C. 112(e) and the implementing 
regulations therefor to make Ephemeral Recordings.
    Performers means the independent administrators identified in 17 
U.S.C. 114(g)(2)(B) and (C) and the parties identified in 17 U.S.C. 
114(g)(2)(D).
    Qualified Auditor is a certified public accountant.

[73 FR 16199, Mar. 27, 2008, as amended at 78 FR 66277, Nov. 5, 2013; 84 
FR 32313, July 8, 2019]



Sec.384.3  Royalty fees for ephemeral recordings.

    (a) Basic royalty rate. (1) For the making of any number of 
Ephemeral Recordings in the operation of a Business Establishment 
Service, a Licensee shall pay a royalty equal to the following 
percentages of such Licensee's ``Gross Proceeds'' derived from the use 
in such service of musical programs that are attributable to recordings 
subject to protection under title 17, United States Code:

------------------------------------------------------------------------
                             Year                                Rate %
------------------------------------------------------------------------
2019.........................................................       12.5
2020.........................................................      12.75
2021.........................................................       13.0
2022.........................................................      13.25
2023.........................................................       13.5
------------------------------------------------------------------------

    (2) ``Gross Proceeds'' as used in this section means all fees and 
payments, including those made in kind, received from any source before, 
during or after the License Period that are derived from the use of 
sound recordings subject to protection under title 17, United States 
Code, during the License Period pursuant to 17 U.S.C. 112(e) for the 
sole purpose of facilitating a transmission to the public of a 
performance of a sound recording under the limitation on exclusive 
rights specified in 17 U.S.C. 114(d)(1)(C)(iv). The attribution of Gross 
Proceeds to recordings subject to protection under title 17, United 
States Code, may be made on the basis of:
    (i) For classical programs, the proportion that the playing time of 
classical recordings subject to protection

[[Page 892]]

under title 17, United States Code, bears to the total playing time of 
all classical recordings subject to protection under title 17, United 
States Code in the program; and
    (ii) For all other programs, the proportion that the number of 
recordings subject to protection under title 17, United States Code, 
bears to the total number of all recordings subject to protection under 
title 17, United States Code in the program.
    (b) Minimum fee. Each Licensee shall pay a minimum fee of $20,000 
for each calendar year of the License Period in which it makes Ephemeral 
Recordings for use to facilitate transmissions under the limitation on 
exclusive rights specified by 17 U.S.C. 114(d)(1)(C)(iv), whether or not 
it does so for all or any part of the year. These minimum fees shall be 
nonrefundable, but shall be fully creditable to royalty payments due 
under paragraph (a) of this section for the same calendar year (but not 
any subsequent calendar year).
    (c) Other royalty rates and terms. This part 384 does not apply to 
persons or entities other than Licensees, or to Licensees to the extent 
that they make other types of ephemeral recordings beyond those set 
forth in paragraph (a) of this section. For ephemeral recordings other 
than those governed by paragraph (a) of this section, persons making 
such ephemeral recordings must pay royalties, to the extent (if at all) 
applicable, under 17 U.S.C. 112(e) or as prescribed by other law, 
regulation or agreement.

[73 FR 16199, Mar. 27, 2008, as amended at 78 FR 66277, Nov. 5, 2013; ; 
83 FR 60363, Nov. 26, 2018; 84 FR 32313, July 8, 2019]



Sec.384.4  Terms for making payment of royalty fees and statements 
of account.

    (a) Payment to the Collective. A Licensee shall make the royalty 
payments due under Sec.384.3 to the Collective.
    (b) Designation of the Collective. (1) Until such time as a new 
designation is made, SoundExchange, Inc., is designated as the 
Collective to receive statements of account and royalty payments from 
Licensees due under Sec.384.3 and to distribute such royalty payments 
to each Copyright Owner, or their designated agents, entitled to receive 
royalties under 17 U.S.C. 112(e).
    (2) If SoundExchange, Inc. should dissolve or cease to be governed 
by a board consisting of equal numbers of representatives of Copyright 
Owners and Performers, then it shall be replaced by a successor 
Collective upon the fulfillment of the requirements set forth in 
paragraph (b)(2)(i) of this section.
    (i) By a majority vote of the nine Copyright Owner representatives 
and the nine Performer representatives on the SoundExchange board as of 
the last day preceding the condition precedent in this paragraph (b)(2), 
such representatives shall file a petition with the Copyright Royalty 
Judges designating a successor to collect and distribute royalty 
payments to Copyright Owners entitled to receive royalties under 17 
U.S.C. 112(e) that have themselves authorized the Collective.
    (ii) The Copyright Royalty Judges shall publish in the Federal 
Register within 30 days of receipt of a petition filed under paragraph 
(b)(2)(i) of this section an order designating the Collective named in 
such petition.
    (c) Monthly payments. A Licensee shall make any payments due under 
Sec.384.3(a) on a monthly basis on or before the 45th day after the 
end of each month for that month. All monthly payments shall be rounded 
to the nearest cent.
    (d) Minimum payments. A Licensee shall make any minimum payment due 
under Sec.384.3(b) by January 31 of the applicable calendar year, 
except that payment by a Licensee that has not previously made Ephemeral 
Recordings pursuant to the license under 17 U.S.C. 112(e) shall be due 
by the 45th day after the end of the month in which the Licensee 
commences to do so.
    (e) Late payments. A Licensee shall pay a late fee of 1.0% per 
month, or the highest lawful rate, whichever is lower, if either or both 
a required payment or statement of account for a required payment is 
received by the Collective after the due date. Late fees shall accrue 
from the due date until both the payment and statement of account are 
received by the Collective.

[[Page 893]]

    (f) Statements of account. For any part of the License Period during 
which a Licensee operates a Business Establishment Service, at the time 
when a minimum payment is due under paragraph (d) of this section, and 
by 45 days after the end of each month during the period, the Licensee 
shall deliver to the Collective a statement of account containing the 
information set forth set forth in this paragraph (f) on a form 
prepared, and made available to Licensees, by the Collective. In the 
case of a minimum payment, or if a payment is owed for such month, the 
statement of account shall accompany the payment. A statement of account 
shall contain only the following information:
    (1) Such information as is necessary to calculate the accompanying 
royalty payment, or if no payment is owed for the month, to calculate 
any portion of the minimum fee recouped during the month;
    (2) The name, address, business title, telephone number, facsimile 
number (if any), electronic mail address and other contact information 
of the person to be contacted for information or questions concerning 
the content of the statement of account;
    (3) The signature of:
    (i) The owner of the Licensee or a duly authorized agent of the 
owner, if the Licensee is not a partnership or corporation;
    (ii) A partner or delegee, if the Licensee is a partnership; or
    (iii) An officer of the corporation, if the Licensee is a 
corporation;
    (4) The printed or typewritten name of the person signing the 
statement of account;
    (5) The date of signature;
    (6) If the Licensee is a partnership or corporation, the title or 
official position held in the partnership or corporation by the person 
signing the statement of account;
    (7) A certification of the capacity of the person signing; and
    (8) A statement to the following effect:

    I, the undersigned owner or agent of the Licensee, or officer or 
partner, have examined this statement of account and hereby state that 
it is true, accurate and complete to my knowledge after reasonable due 
diligence.

    (g) Distribution of royalties. (1) The Collective shall promptly 
distribute royalties received from Licensees directly to Copyright 
Owners, or their designated agents, that are entitled to such royalties. 
The Collective shall only be responsible for making distributions to 
those Copyright Owners or their designated agents who provide the 
Collective with such information as is necessary to identify the correct 
recipient. The Collective shall distribute royalties on a basis that 
values all Ephemeral Recordings by a Licensee equally based upon the 
information provided under the reports of use requirements for Licensees 
contained in Sec.370.4 of this chapter.
    (2) If the Collective is unable to locate a Copyright Owner entitled 
to a distribution of royalties under paragraph (g)(1) of this section 
within 3 years from the date of payment by a Licensee, such royalties 
shall be handled in accordance with Sec.384.8.
    (h) Retention of records. Books and records of a Licensee and of the 
Collective relating to payments of and distributions of royalties shall 
be kept for a period of not less than the prior 3 calendar years.

[73 FR 16199, Mar. 27, 2008, as amended at 78 FR 66277, Nov. 5, 2013]



Sec.384.5  Confidential information.

    (a) Definition. For purposes of this section, ``Confidential 
Information'' shall include the statements of account and any 
information contained therein, including the amount of royalty payments, 
and any information pertaining to the statements of account reasonably 
designated as confidential by the Licensee submitting the statement.
    (b) Exclusion. Confidential Information shall not include documents 
or information that at the time of delivery to the Collective are public 
knowledge. The party claiming the benefit of this provision shall have 
the burden of proving that the disclosed information was public 
knowledge.
    (c) Use of Confidential Information. In no event shall the 
Collective or any other person or entity authorized to have access to 
Confidential Information pursuant to paragraph (d) of this

[[Page 894]]

section use any Confidential Information for any purpose other than 
royalty collection and distribution and activities related directly 
thereto.
    (d) Disclosure of Confidential Information. Access to Confidential 
Information shall be limited to:
    (1) Those employees, agents, attorneys, consultants and independent 
contractors of the Collective, subject to an appropriate confidentiality 
agreement, who are engaged in the collection and distribution of royalty 
payments hereunder and activities related thereto, who are not also 
employees or officers of a Copyright Owner or Performer, and who, for 
the purpose of performing such duties during the ordinary course of 
their work require access to Confidential Information;
    (2) Board members of the Collective, and members of the Collective 
committees whose primary functions are directly related to royalty 
collection and distribution, subject to an appropriate confidentiality 
agreement and for the sole purpose of performing their duties as board 
or committee members of the Collective, as applicable, provided that the 
sole Confidential Information that may be shared pursuant to this 
paragraph (d)(2) is Confidential Information contained in monthly 
statements of accounts provided pursuant to Sec.384.4(f) that 
accompany royalty payments;
    (3) An independent and Qualified Auditor, subject to an appropriate 
confidentiality agreement, who is authorized to act on behalf of the 
Collective with respect to verification of a Licensee's statement of 
account pursuant to Sec.384.6 or on behalf of a Copyright Owner with 
respect to the verification of royalty distributions pursuant to Sec.
384.7;
    (4) Copyright Owners, including their designated agents, whose works 
have been used under the statutory license set forth in 17 U.S.C. 112(e) 
by the Licensee whose Confidential Information is being supplied, 
subject to an appropriate confidentiality agreement, provided that the 
sole Confidential Information that may be shared pursuant to paragraph 
(d)(4) of this section are monthly statements of account provided 
pursuant to Sec.384.4(f) that accompany royalty payments;
    (5) In connection with future proceedings under 17 U.S.C. 112(e) 
before the Copyright Royalty Judges, and under an appropriate protective 
order, attorneys, consultants and other authorized agents of the parties 
to the proceedings or the courts; and
    (6) In connection with bona fide royalty disputes or claims that are 
the subject of the procedures under Sec.384.6 or Sec.384.7, and 
under an appropriate confidentiality agreement or protective order, the 
specific parties to such disputes or claims, their attorneys, 
consultants or other authorized agents, and/or arbitration panels or the 
courts to which disputes or claims may be submitted.
    (e) Safeguarding of Confidential Information. The Collective and any 
person or entity identified in paragraph (d) of this section shall 
implement procedures to safeguard against unauthorized access to or 
dissemination of any Confidential Information using a reasonable 
standard of care, but no less than the same degree of security used to 
protect Confidential Information or similarly sensitive information 
belonging to the Collective, person, or entity.

[73 FR 16199, Mar. 27, 2008, as amended at 78 FR 66278, Nov. 5, 2013; 83 
FR 60363, Nov. 26, 2018]



Sec.384.6  Verification of royalty payments.

    (a) General. This section prescribes procedures by which the 
Collective may verify the royalty payments made by a Licensee.
    (b) Frequency of verification. The Collective may conduct a single 
audit of a Licensee, upon reasonable notice and during reasonable 
business hours, during any given calendar year, for any or all of the 
prior 3 calendar years, but no calendar year shall be subject to audit 
more than once.
    (c) Notice of intent to audit. The Collective must file with the 
Copyright Royalty Judges a notice of intent to audit a particular 
Licensee, which shall, within 30 days of the filing of the notice, 
publish in the Federal Register a notice announcing such filing. The 
notification of intent to audit shall be served at the same time on the 
Licensee to be audited. Any such audit shall be conducted by an 
independent

[[Page 895]]

and Qualified Auditor identified in the notice, and shall be binding on 
all parties.
    (d) Acquisition and retention of report. The Licensee shall use 
commercially reasonable efforts to obtain or to provide access to any 
relevant books and records maintained by third parties for the purpose 
of the audit. The Collective shall retain the report of the verification 
for a period of not less than 3 years.
    (e) Acceptable verification procedure. An audit, including 
underlying paperwork, which was performed in the ordinary course of 
business according to generally accepted auditing standards by an 
independent and Qualified Auditor, shall serve as an acceptable 
verification procedure for all parties with respect to the information 
that is within the scope of the audit.
    (f) Consultation. Before rendering a written report to the 
Collective, except where the auditor has a reasonable basis to suspect 
fraud and disclosure would, in the reasonable opinion of the auditor, 
prejudice the investigation of such suspected fraud, the auditor shall 
review the tentative written findings of the audit with the appropriate 
agent or employee of the Licensee being audited in order to remedy any 
factual errors and clarify any issues relating to the audit; Provided 
that the appropriate agent or employee of the Licensee reasonably 
cooperates with the auditor to remedy promptly any factual errors or 
clarify any issues raised by the audit.
    (g) Costs of the verification procedure. The Collective shall pay 
the cost of the verification procedure, unless it is finally determined 
that there was an underpayment of 10% or more, in which case the 
Licensee shall, in addition to paying the amount of any underpayment, 
bear the reasonable costs of the verification procedure.

[73 FR 16199, Mar. 27, 2008, as amended at 78 FR 66278, Nov. 5, 2013]



Sec.384.7  Verification of royalty distributions.

    (a) General. This section prescribes procedures by which any 
Copyright Owner may verify the royalty distributions made by the 
Collective; provided, however, that nothing contained in this section 
shall apply to situations where a Copyright Owner and the Collective 
have agreed as to proper verification methods.
    (b) Frequency of verification. A Copyright Owner may conduct a 
single audit of the Collective upon reasonable notice and during 
reasonable business hours, during any given calendar year, for any or 
all of the prior 3 calendar years, but no calendar year shall be subject 
to audit more than once.
    (c) Notice of intent to audit. A Copyright Owner must file with the 
Copyright Royalty Judges a notice of intent to audit the Collective, 
which shall, within 30 days of the filing of the notice, publish in the 
Federal Register a notice announcing such filing. The notification of 
intent to audit shall be served at the same time on the Collective. Any 
such audit shall be conducted by an independent and Qualified Auditor 
identified in the notice, and shall be binding on all Copyright Owners.
    (d) Acquisition and retention of record. The Collective shall use 
commercially reasonable efforts to obtain or to provide access to any 
relevant books and records maintained by third parties for the purpose 
of the audit. The Copyright Owner requesting the verification procedure 
shall retain the report of the verification for a period of not less 
than 3 years.
    (e) Acceptable verification procedure. An audit, including 
underlying paperwork, which was performed in the ordinary course of 
business according to generally accepted auditing standards by an 
independent and Qualified Auditor, shall serve as an acceptable 
verification procedure for all parties with respect to the information 
that is within the scope of the audit.
    (f) Consultation. Before rendering a written report to a Copyright 
Owner, except where the auditor has a reasonable basis to suspect fraud 
and disclosure would, in the reasonable opinion of the auditor, 
prejudice the investigation of such suspected fraud, the auditor shall 
review the tentative written findings of the audit with the appropriate 
agent or employee of the Collective in order to remedy any factual 
errors and clarify any issues relating to the audit; Provided that the 
appropriate agent or employee of the Collective reasonably cooperates 
with the

[[Page 896]]

auditor to remedy promptly any factual errors or clarify any issues 
raised by the audit.
    (g) Costs of the verification procedure. The Copyright Owner 
requesting the verification procedure shall pay the cost of the 
procedure, unless it is finally determined that there was an 
underpayment of 10% or more, in which case the Collective shall, in 
addition to paying the amount of any underpayment, bear the reasonable 
costs of the verification procedure.

[73 FR 16199, Mar. 27, 2008, as amended at 78 FR 66278, Nov. 5, 2013]



Sec.384.8  Unclaimed funds.

    If the Collective is unable to identify or locate a Copyright Owner 
who is entitled to receive a royalty distribution under this part, the 
Collective shall retain the required payment in a segregated trust 
account for a period of 3 years from the date of distribution. No claim 
to such distribution shall be valid after the expiration of the 3-year 
period. After expiration of this period, the Collective may apply the 
unclaimed funds to offset any costs deductible under 17 U.S.C. 
114(g)(3). The foregoing shall apply notwithstanding the common law or 
statutes of any State.

[78 FR 66278, Nov. 5, 2013]



PART 385_RATES AND TERMS FOR USE OF NONDRAMATIC MUSICAL WORKS IN THE
MAKING AND DISTRIBUTING OF PHYSICAL AND DIGITAL PHONORECORDS--
Table of Contents



              Subpart A_Regulations of General Application

Sec.
385.1 General.
385.2 Definitions.
385.3 Late payments.
385.4 Recordkeeping for promotional or free trial non-royalty-bearing 
          uses.

    Subpart B_Physical Phonorecord Deliveries, Permanent Downloads, 
                      Ringtones, and Music Bundles

385.10 Scope.
385.11 Royalty rates.

 Subpart C_Eligible Interactive Streaming, Eligible Limited Downloads, 
     Limited Offerings, Mixed Service Bundles, Bundled Subscription 
      Offerings, Locker Services, and Other Delivery Configurations

385.20 Scope.
385.21 Royalty rates and calculations.
385.22 Royalty floors for specific types of offerings.

          Subpart D_Promotional and Free-to-the-User Offerings

385.30 Scope.
385.31 Royalty rates.

    Authority: 17 U.S.C. 115, 801(b)(1), 804(b)(4).

    Source: 84 FR 2031, Feb. 5, 2019, unless otherwise noted.



              Subpart A_Regulations of General Application



Sec.385.1  General.

    (a) Scope. This part establishes rates and terms of royalty payments 
for the use of nondramatic musical works in making and distributing of 
physical and digital phonorecords in accordance with the provisions of 
17 U.S.C. 115. This subpart contains regulations of general application 
to the making and distributing of phonorecords subject to the section 
115 license.
    (b) Legal compliance. Licensees relying on the compulsory license 
detailed in 17 U.S.C. 115 shall comply with the requirements of that 
section, the rates and terms of this part, and any other applicable 
regulations. This part describes rates and terms for the compulsory 
license only.
    (c) Interpretation. This part is intended only to set rates and 
terms for situations in which the exclusive rights of a Copyright Owner 
are implicated and a compulsory license pursuant to 17 U.S.C. 115 is 
obtained. Neither the part nor the act of obtaining a license under 17 
U.S.C. 115 is intended to express or imply any conclusion as to the 
circumstances in which a user must obtain a compulsory license pursuant 
to 17 U.S.C. 115.
    (d) Relationship to voluntary agreements. The rates and terms of any 
license agreements entered into by

[[Page 897]]

Copyright Owners and Licensees relating to use of musical works within 
the scope of those license agreements shall apply in lieu of the rates 
and terms of this part.



Sec.385.2  Definitions.

    For the purposes of this part, the following definitions apply:
    Accounting Period means the monthly period specified in 17 U.S.C. 
115(c)(2)(I) and in 17 U.S.C. 115(d)(4)(A)(i), and any related 
regulations, as applicable.
    Affiliate means an entity controlling, controlled by, or under 
common control with another entity, except that an affiliate of a Sound 
Recording Company shall not include a Copyright Owner to the extent it 
is engaging in business as to musical works.
    Bundled Subscription Offering means a Subscription Offering 
providing Licensed Activity consisting of Streams or Eligible Limited 
Downloads that is made available to End Users with one or more other 
products or services (including products or services subject to other 
subparts) as part of a single transaction without pricing for the 
subscription service providing Licensed Activity separate from the 
product(s) or service(s) with which it is made available (e.g., a case 
in which a user can buy a portable device and one-year access to a 
subscription service providing Licensed Activity for a single price).
    Copyright Owner(s) are nondramatic musical works copyright owners 
who are entitled to royalty payments made under this part pursuant to 
the compulsory license under 17 U.S.C. 115.
    Digital Phonorecord Delivery has the same meaning as in 17 U.S.C. 
115(e).
    Eligible Interactive Stream means a Stream in which the performance 
of the sound recording is not exempt from the sound recording 
performance royalty under 17 U.S.C. 114(d)(1) and does not in itself, or 
as a result of a program in which it is included, qualify for statutory 
licensing under 17 U.S.C. 114(d)(2).
    Eligible Limited Download means a transmission of a sound recording 
embodying a musical work to an End User of a digital phonorecord under 
17 U.S.C. 115(c)(3)(C) and (D) that results in a Digital Phonorecord 
Delivery of that sound recording that is only accessible for listening 
for--
    (1) An amount of time not to exceed one month from the time of the 
transmission (unless the Licensee, in lieu of retransmitting the same 
sound recording as another Eligible Limited Download, separately, and 
upon specific request of the End User made through a live network 
connection, reauthorizes use for another time period not to exceed one 
month), or in the case of a subscription plan, a period of time 
following the end of the applicable subscription no longer than a 
subscription renewal period or three months, whichever is shorter; or
    (2) A number of times not to exceed 12 (unless the Licensee, in lieu 
of retransmitting the same sound recording as another Eligible Limited 
Download, separately, and upon specific request of the End User made 
through a live network connection, reauthorizes use of another series of 
12 or fewer plays), or in the case of a subscription transmission, 12 
times after the end of the applicable subscription.
    End User means each unique person that:
    (1) Pays a subscription fee for an Offering during the relevant 
Accounting Period; or
    (2) Makes at least one Play during the relevant Accounting Period.
    Family Plan means a discounted subscription to be shared by two or 
more family members for a single subscription price.
    Free Trial Offering means a subscription to a Service Provider's 
transmissions of sound recordings embodying musical works when:
    (1) Neither the Service Provider, the Sound Recording Company, the 
Copyright Owner, nor any person or entity acting on behalf of or in lieu 
of any of them receives any monetary consideration for the Offering;
    (2) The free usage does not exceed 30 consecutive days per 
subscriber per two-year period;
    (3) In connection with the Offering, the Service Provider is 
operating with appropriate musical license authority and complies with 
the recordkeeping requirements in Sec.385.4;

[[Page 898]]

    (4) Upon receipt by the Service Provider of written notice from the 
Copyright Owner or its agent stating in good faith that the Service 
Provider is in a material manner operating without appropriate license 
authority from the Copyright Owner under 17 U.S.C. 115, the Service 
Provider shall within 5 business days cease transmission of the sound 
recording embodying that musical work and withdraw it from the 
repertoire available as part of a Free Trial Offering;
    (5) The Free Trial Offering is made available to the End User free 
of any charge; and
    (6) The Service Provider offers the End User periodically during the 
free usage an opportunity to subscribe to a non-free Offering of the 
Service Provider.
    GAAP means U.S. Generally Accepted Accounting Principles in effect 
at the relevant time, except that if the U.S. Securities and Exchange 
Commission permits or requires entities with securities that are 
publicly traded in the U.S. to employ International Financial Reporting 
Standards in lieu of Generally Accepted Accounting Principles, then that 
entity may employ International Financial Reporting Standards as 
``GAAP'' for purposes of this subpart.
    Licensee means any entity availing itself of the compulsory license 
under 17 U.S.C. 115 to use copyrighted musical works in the making or 
distributing of physical or digital phonorecords.
    Licensed Activity, as the term is used in subpart B of this part, 
means delivery of musical works, under voluntary or statutory license, 
via physical phonorecords and Digital Phonorecord Deliveries in 
connection with Permanent Downloads, Ringtones, and Music Bundles; and, 
as the term is used in subparts C and D of this part, means delivery of 
musical works, under voluntary or statutory license, via Digital 
Phonorecord Deliveries in connection with Interactive Eligible Streams, 
Eligible Limited Downloads, Limited Offerings, mixed Bundles, and Locker 
Services.
    Limited Offering means a subscription plan providing Eligible 
Interactive Streams or Eligible Limited Downloads for which--
    (1) An End User cannot choose to listen to a particular sound 
recording (i.e., the Service Provider does not provide Eligible 
Interactive Streams of individual recordings that are on-demand, and 
Eligible Limited Downloads are rendered only as part of programs rather 
than as individual recordings that are on-demand); or
    (2) The particular sound recordings available to the End User over a 
period of time are substantially limited relative to Service Providers 
in the marketplace providing access to a comprehensive catalog of 
recordings (e.g., a product limited to a particular genre or permitting 
Eligible Interactive Streaming only from a monthly playlist consisting 
of a limited set of recordings).
    Locker Service means an Offering providing digital access to sound 
recordings of musical works in the form of Eligible Interactive Streams, 
Permanent Downloads, Restricted Downloads or Ringtones where the Service 
Provider has reasonably determined that the End User has purchased or is 
otherwise in possession of the subject phonorecords of the applicable 
sound recording prior to the End User's first request to use the sound 
recording via the Locker Service. The term Locker Service does not mean 
any part of a Service Provider's products otherwise meeting this 
definition, but as to which the Service Provider has not obtained a 
section 115 license.
    Mixed Service Bundle means one or more of Permanent Downloads, 
Ringtones, Locker Services, or Limited Offerings a Service Provider 
delivers to End Users together with one or more non-music services 
(e.g., internet access service, mobile phone service) or non-music 
products (e.g., a telephone device) of more than token value and 
provided to users as part of one transaction without pricing for the 
music services or music products separate from the whole Offering.
    Music Bundle means two or more of physical phonorecords, Permanent 
Downloads or Ringtones delivered as part of one transaction (e.g., 
download plus ringtone, CD plus downloads). In the case of Music Bundles 
containing

[[Page 899]]

one or more physical phonorecords, the Service Provider must sell the 
physical phonorecord component of the Music Bundle under a single 
catalog number, and the musical works embodied in the Digital 
Phonorecord Delivery configurations in the Music Bundle must be the same 
as, or a subset of, the musical works embodied in the physical 
phonorecords; provided that when the Music Bundle contains a set of 
Digital Phonorecord Deliveries sold by the same Sound Recording Company 
under substantially the same title as the physical phonorecord (e.g., a 
corresponding digital album), the Service Provider may include in the 
same bundle up to 5 sound recordings of musical works that are included 
in the stand-alone version of the set of digital phonorecord deliveries 
but not included on the physical phonorecord. In addition, the Service 
Provider must permanently part with possession of the physical 
phonorecord or phonorecords it sells as part of the Music Bundle. In the 
case of Music Bundles composed solely of digital phonorecord deliveries, 
the number of digital phonorecord deliveries in either configuration 
cannot exceed 20, and the musical works embodied in each configuration 
in the Music Bundle must be the same as, or a subset of, the musical 
works embodied in the configuration containing the most musical works.
    Offering means a Service Provider's engagement in Licensed Activity 
covered by subparts C and D of this part.
    Paid Locker Service means a Locker Service for which the End User 
pays a fee to the Service Provider.
    Performance Royalty means the license fee payable for the right to 
perform publicly musical works in any of the forms covered by subparts C 
and D this part.
    Permanent Download has the same meaning as in 17 U.S.C. 115(e).
    Play means an Eligible Interactive Stream, or play of an Eligible 
Limited Download, lasting 30 seconds or more and, if a track lasts in 
its entirety under 30 seconds, an Eligible Interactive Stream or play of 
an Eligible Limited Download of the entire duration of the track. A Play 
excludes an Eligible Interactive Stream or play of a an Eligible Limited 
Download that has not been initiated or requested by a human user. If a 
single End User plays the same track more than 50 straight times, all 
plays after play 50 shall be deemed not to have been initiated or 
requested by a human user.
    Promotional Offering means a digital transmission of a sound 
recording, in the form of an Eligible Interactive Stream or an Eligible 
Limited Download, embodying a musical work, the primary purpose of which 
is to promote the sale or other paid use of that sound recording or to 
promote the artist performing on that sound recording and not to promote 
or suggest promotion or endorsement of any other good or service and:
    (1) A Sound Recording Company is lawfully distributing the sound 
recording through established retail channels or, if the sound recording 
is not yet released, the Sound Recording Company has a good faith 
intention to lawfully distribute the sound recording or a different 
version of the sound recording embodying the same musical work;
    (2) For Eligible Interactive Streaming or Eligible Limited 
Downloads, the Sound Recording Company requires a writing signed by an 
authorized representative of the Service Provider representing that the 
Service Provider is operating with appropriate musical works license 
authority and that the Service Provider is in compliance with the 
recordkeeping requirements of Sec.385.4;
    (3) For Eligible Interactive Streaming of segments of sound 
recordings not exceeding 90 seconds, the Sound Recording Company 
delivers or authorizes delivery of the segments for promotional purposes 
and neither the Service Provider nor the Sound Recording Company creates 
or uses a segment of a sound recording in violation of 17 U.S.C. 106(2) 
or 115(a)(2);
    (4) The Promotional Offering is made available to an End User free 
of any charge; and
    (5) The Service Provider provides to the End User at the same time 
as the Promotional Offering stream an opportunity to purchase the sound 
recording or the Service Provider periodically offers End Users the 
opportunity to subscribe to a paid Offering of the Service Provider.

[[Page 900]]

    Purchased Content Locker Service means a Locker Service made 
available to End User purchasers of Permanent Downloads, Ringtones, or 
physical phonorecords at no incremental charge above the otherwise 
applicable purchase price of the Permanent Downloads, Ringtones, or 
physical phonorecords acquired from a qualifying seller. With a 
Purchased Content Locker Service, an End User may receive one or more 
additional phonorecords of the purchased sound recordings of musical 
works in the form of Permanent Downloads or Ringtones at the time of 
purchase, or subsequently have digital access to the purchased sound 
recordings of musical works in the form of Eligible Interactive Streams, 
additional Permanent Downloads, Restricted Downloads, or Ringtones.
    (1) A qualifying seller for purposes of this definition is the 
entity operating the Service Provider, including affiliates, 
predecessors, or successors in interest, or--
    (i) In the case of Permanent Downloads or Ringtones, a seller having 
a legitimate connection to the locker service provider pursuant to one 
or more written agreements (including that the Purchased Content Locker 
Service and Permanent Downloads or Ringtones are offered through the 
same third party); or
    (ii) In the case of physical phonorecords:
    (A) The seller of the physical phonorecord has an agreement with the 
Purchased Content Locker Service provider establishing an integrated 
offer that creates a consumer experience commensurate with having the 
same Service Provider both sell the physical phonorecord and offer the 
integrated locker service; or
    (B) The Service Provider has an agreement with the entity offering 
the Purchased Content Locker Service establishing an integrated offer 
that creates a consumer experience commensurate with having the same 
Service Provider both sell the physical phonorecord and offer the 
integrated locker service.
    (2) [Reserved]
    Relevant Page means an electronic display (for example, a web page 
or screen) from which a Service Provider's Offering consisting of 
Streams or Eligible Limited Downloads is directly available to End 
Users, but only when the Offering and content directly relating to the 
Offering (e.g., an image of the artist, information about the artist or 
album, reviews, credits, and music player controls) comprises 75% or 
more of the space on that display, excluding any space occupied by 
advertising. An Offering is directly available to End Users from a page 
if End Users can receive sound recordings of musical works (in most 
cases this will be the page on which the Eligible Limited Download or 
Eligible Interactive Stream takes place).
    Restricted Download means a Digital Phonorecord Delivery in a form 
that cannot be retained and replayed on a permanent basis. The term 
Restricted Download includes an Eligible Limited Download.
    Ringtone means a phonorecord of a part of a musical work distributed 
as a Digital Phonorecord Delivery in a format to be made resident on a 
telecommunications device for use to announce the reception of an 
incoming telephone call or other communication or message or to alert 
the receiver to the fact that there is a communication or message.
    Service Provider means that entity governed by subparts C and D of 
this part, which might or might not be the Licensee, that with respect 
to the section 115 license:
    (1) Contracts with or has a direct relationship with End Users or 
otherwise controls the content made available to End Users;
    (2) Is able to report fully on Service Provider Revenue from the 
provision of musical works embodied in phonorecords to the public, and 
to the extent applicable, verify Service Provider Revenue through an 
audit; and
    (3) Is able to report fully on its usage of musical works, or 
procure such reporting and, to the extent applicable, verify usage 
through an audit.
    Service Provider Revenue. (1) Subject to paragraphs (2) through (5) 
of this definition and subject to GAAP, Service Provider Revenue shall 
mean:

[[Page 901]]

    (i) All revenue from End Users recognized by a Service Provider for 
the provision of any Offering;
    (ii) All revenue recognized by a Service Provider by way of 
sponsorship and commissions as a result of the inclusion of third-party 
``in-stream'' or ``in-download'' advertising as part of any Offering, 
i.e., advertising placed immediately at the start or end of, or during 
the actual delivery of, a musical work, by way of Eligible Interactive 
Streaming or Eligible Limited Downloads; and
    (iii) All revenue recognized by the Service Provider, including by 
way of sponsorship and commissions, as a result of the placement of 
third-party advertising on a Relevant Page of the Service Provider or on 
any page that directly follows a Relevant Page leading up to and 
including the Eligible Limited Download or Eligible Interactive Stream 
of a musical work; provided that, in case more than one Offering is 
available to End Users from a Relevant Page, any advertising revenue 
shall be allocated between or among the Service Providers on the basis 
of the relative amounts of the page they occupy.
    (2) Service Provider Revenue shall:
    (i) Include revenue recognized by the Service Provider, or by any 
associate, affiliate, agent, or representative of the Service Provider 
in lieu of its being recognized by the Service Provider; and
    (ii) Include the value of any barter or other nonmonetary 
consideration; and
    (iii) Except as expressly detailed in this part, not be subject to 
any other deduction or set-off other than refunds to End Users for 
Offerings that the End Users were unable to use because of technical 
faults in the Offering or other bona fide refunds or credits issued to 
End Users in the ordinary course of business.
    (3) Service Provider Revenue shall exclude revenue derived by the 
Service Provider solely in connection with activities other than 
Offering(s), whereas advertising or sponsorship revenue derived in 
connection with any Offering(s) shall be treated as provided in 
paragraphs (2) and (4) of this definition.
    (4) For purposes of paragraph (1) of this definition, advertising or 
sponsorship revenue shall be reduced by the actual cost of obtaining 
that revenue, not to exceed 15%.
    (5) In instances in which a Service Provider provides an Offering to 
End Users as part of the same transaction with one or more other 
products or services that are not Licensed Activities, then the revenue 
from End Users deemed to be recognized by the Service Provider for the 
Offering for the purpose of paragraph (1) of this definition shall be 
the lesser of the revenue recognized from End Users for the bundle and 
the aggregate standalone published prices for End Users for each of the 
component(s) of the bundle that are Licensed Activities; provided that, 
if there is no standalone published price for a component of the bundle, 
then the Service Provider shall use the average standalone published 
price for End Users for the most closely comparable product or service 
in the U.S. or, if more than one comparable exists, the average of 
standalone prices for comparables.
    Sound Recording Company means a person or entity that:
    (1) Is a copyright owner of a sound recording embodying a musical 
work;
    (2) In the case of a sound recording of a musical work fixed before 
February 15, 1972, has rights to the sound recording, under chapter 14 
of title 17, United States Code, that are equivalent to the rights of a 
copyright owner of a sound recording of a musical work under title 17, 
United States Code;
    (3) Is an exclusive Licensee of the rights to reproduce and 
distribute a sound recording of a musical work; or
    (4) Performs the functions of marketing and authorizing the 
distribution of a sound recording of a musical work under its own label, 
under the authority of the Copyright Owner of the sound recording.
    Stream means the digital transmission of a sound recording of a 
musical work to an End User--
    (1) To allow the End User to listen to the sound recording, while 
maintaining a live network connection to the transmitting service, 
substantially at the time of transmission, except to the extent that the 
sound recording remains accessible for future listening from a Streaming 
Cache Reproduction;

[[Page 902]]

    (2) Using technology that is designed such that the sound recording 
does not remain accessible for future listening, except to the extent 
that the sound recording remains accessible for future listening from a 
Streaming Cache Reproduction; and
    (3) That is subject to licensing as a public performance of the 
musical work.
    Streaming Cache Reproduction means a reproduction of a sound 
recording embodying a musical work made on a computer or other receiving 
device by a Service Provider solely for the purpose of permitting an End 
User who has previously received a Stream of that sound recording to 
play the sound recording again from local storage on the computer or 
other device rather than by means of a transmission; provided that the 
End User is only able to do so while maintaining a live network 
connection to the Service Provider, and the reproduction is encrypted or 
otherwise protected consistent with prevailing industry standards to 
prevent it from being played in any other manner or on any device other 
than the computer or other device on which it was originally made.
    Student Plan means a discounted Subscription to an Offering 
available on a limited basis to students.
    Subscription means an Offering for which End Users are required to 
pay a fee to have access to the Offering for defined subscription 
periods of 3 years or less (in contrast to, for example, a service where 
the basic charge to users is a payment per download or per play), 
whether the End User makes payment for access to the Offering on a 
standalone basis or as part of a Bundle with one or more other products 
or services.
    Total Cost of Content or TCC means the total amount expensed by a 
Service Provider or any of its affiliates in accordance with GAAP for 
rights to make Eligible Interactive Streams or Eligible Limited 
Downloads of a musical work embodied in a sound recording through the 
Service Provider for the accounting period, which amount shall equal the 
applicable consideration for those rights at the time the applicable 
consideration is properly recognized as an expense under GAAP. As used 
in this definition, ``applicable consideration'' means anything of value 
given for the identified rights to undertake the Licensed Activity, 
including, without limitation, ownership equity, monetary advances, 
barter or any other monetary and/or nonmonetary consideration, whether 
that consideration is conveyed via a single agreement, multiple 
agreements and/or agreements that do not themselves authorize the 
Licensed Activity but nevertheless provide consideration for the 
identified rights to undertake the Licensed Activity, and including any 
value given to an affiliate of a Sound Recording Company for the rights 
to undertake the Licensed Activity. Value given to a Copyright Owner of 
musical works that is controlling, controlled by, or under common 
control with a Sound Recording Company for rights to undertake the 
Licensed Activity shall not be considered value given to the Sound 
Recording Company. Notwithstanding the foregoing, applicable 
consideration shall not include in-kind promotional consideration given 
to a Sound Recording Company (or affiliate thereof) that is used to 
promote the sale or paid use of sound recordings embodying musical works 
or the paid use of music services through which sound recordings 
embodying musical works are available where the in-kind promotional 
consideration is given in connection with a use that qualifies for 
licensing under 17 U.S.C. 115.

[84 FR 2031, Feb. 5, 2019, as amended at 84 FR 32313, July 8, 2019]



Sec.385.3  Late payments.

    A Licensee shall pay a late fee of 1.5% per month, or the highest 
lawful rate, whichever is lower, for any payment owed to a Copyright 
Owner and remaining unpaid after the due date established in 17 U.S.C. 
115(c)(2)(I) or 115(d)(4)(A)(i), as applicable and detailed in part 210 
of this title. Late fees shall accrue from the due date until the 
Copyright Owner receives payment.

[84 FR 2031, Feb. 5, 2019, as amended at 84 FR 32316, July 8, 2019]



Sec.385.4  Recordkeeping for promotional or free trial non-royalty-bearing uses.

    (a) General. A Licensee transmitting a sound recording embodying a 
musical

[[Page 903]]

work subject to section 115 and subparts C and D of this part and 
claiming a Promotional or Free Trial zero royalty rate shall keep 
complete and accurate contemporaneous written records of making or 
authorizing Eligible Interactive Streams or Eligible Limited Downloads, 
including the sound recordings and musical works involved, the artists, 
the release dates of the sound recordings, a brief statement of the 
promotional activities authorized, the identity of the Offering or 
Offerings for which the zero-rate is authorized (including the internet 
address if applicable), and the beginning and end date of each zero rate 
Offering.
    (b) Retention of records. A Service Provider claiming zero rates 
shall maintain the records required by this section for no less time 
than the Service Provider maintains records of royalty-bearing uses 
involving the same types of Offerings in the ordinary course of 
business, but in no event for fewer than five years from the conclusion 
of the zero rate Offerings to which they pertain.
    (c) Availability of records. If a Copyright Owner or agent requests 
information concerning zero rate Offerings, the Licensee shall respond 
to the request within an agreed, reasonable time.

[84 FR 2031, Feb. 5, 2019, as amended at 84 FR 32316, July 8, 2019]



    Subpart B_Physical Phonorecord Deliveries, Permanent Downloads, 
                      Ringtones, and Music Bundles



Sec.385.10  Scope.

    This subpart establishes rates and terms of royalty payments for 
making and distributing phonorecords, including by means of Digital 
Phonorecord Deliveries, in accordance with the provisions of 17 U.S.C. 
115.



Sec.385.11  Royalty rates.

    (a) Physical phonorecord deliveries and Permanent Downloads. For 
every physical phonorecord and Permanent Download the Licensee makes and 
distributes or authorizes to be made and distributed, the royalty rate 
payable for each work embodied in the phonorecord or Permanent Download 
shall be either 9.1 cents or 1.75 cents per minute of playing time or 
fraction thereof, whichever amount is larger.
    (b) Ringtones. For every Ringtone the Licensee makes and distributes 
or authorizes to be made and distributed, the royalty rate payable for 
each work embodied therein shall be 24 cents.
    (c) Music Bundles. For a Music Bundle, the royalty rate for each 
element of the Music Bundle shall be the rate required under paragraph 
(a) or (b) of this section, as appropriate.

[84 FR 2031, Feb. 5, 2019, as amended at 84 FR 32316, July 8, 2019]



 Subpart C_Eligible Interactive Streaming, Eligible Limited Downloads, 
     Limited Offerings, Mixed Service Bundles, Bundled Subscription 
      Offerings, Locker Services, and Other Delivery Configurations



Sec.385.20  Scope.

    This subpart establishes rates and terms of royalty payments for 
Eligible Interactive Streams and Eligible Limited Downloads of musical 
works, and other reproductions or distributions of musical works through 
Limited Offerings, Mixed Service Bundles, Bundled Subscription 
Offerings, Paid Locker Services, and Purchased Content Locker Services 
provided through subscription and nonsubscription digital music Service 
Providers in accordance with the provisions of 17 U.S.C. 115, exclusive 
of Offerings subject to subpart D of this part.

[84 FR 32316, July 8, 2019]



Sec.385.21  Royalty rates and calculations.

    (a) Applicable royalty. Licensees that engage in Licensed Activity 
covered by this subpart pursuant to 17 U.S.C. 115 shall pay royalties 
therefor that are calculated as provided in this section, subject to the 
royalty floors for specific types of services described in Sec.385.22.
    (b) Rate calculation. Royalty payments for Licensed Activity in this 
subpart shall be calculated as provided in paragraph (b) of this 
section. If a

[[Page 904]]

Service Provider includes different Offerings, royalties must be 
calculated separately with respect to each Offering taking into 
consideration Service Provider Revenue and expenses associated with each 
Offering.
    (1) Step 1: Calculate the all-In royalty for the Offering. For each 
Accounting Period, the all-in royalty shall be the greater of the 
applicable percent of Service Provider Revenue and the applicable 
percent of TCC set forth in the following table.

                           Table 1 to Paragraph (b)(1)--2018-2022 All-In Royalty Rates
----------------------------------------------------------------------------------------------------------------
          Royalty year               2018 (%)        2019 (%)        2020 (%)        2021 (%)        2022 (%)
----------------------------------------------------------------------------------------------------------------
Percent of Revenue..............            11.4            12.3            13.3            14.2            15.1
Percent of TCC..................            22.0            23.1            24.1            25.2            26.2
----------------------------------------------------------------------------------------------------------------

    (2) Step 2: Subtract applicable Performance Royalties. From the 
amount determined in step 1 in paragraph (b)(1) of this section, for 
each Offering of the Service Provider, subtract the total amount of 
Performance Royalty that the Service Provider has expensed or will 
expense pursuant to public performance licenses in connection with uses 
of musical works through that Offering during the Accounting Period that 
constitute Licensed Activity. Although this amount may be the total of 
the Service Provider's payments for that Offering for the Accounting 
Period, it will be less than the total of the Performance Royalties if 
the Service Provider is also engaging in public performance of musical 
works that does not constitute Licensed Activity. In the case in which 
the Service Provider is also engaging in the public performance of 
musical works that does not constitute Licensed Activity, the amount to 
be subtracted for Performance Royalties shall be the amount allocable to 
Licensed Activity uses through the relevant Offering as determined in 
relation to all uses of musical works for which the Service Provider 
pays Performance Royalties for the Accounting Period. The Service 
Provider shall make this allocation on the basis of Plays of musical 
works or, where per-play information is unavailable because of bona fide 
technical limitations as described in step 3 in paragraph (b)(3) of this 
section, using the same alternative methodology as provided in step 4 in 
paragraph (b)(4) of this section.
    (3) Step 3: Determine the payable royalty pool. The payable royalty 
pool is the amount payable for the reproduction and distribution of all 
musical works used by the Service Provider by virtue of its Licensed 
Activity for a particular Offering during the Accounting Period. This 
amount is the greater of:
    (i) The result determined in step 2 in paragraph (b)(2) of this 
section; and
    (ii) The royalty floor (if any) resulting from the calculations 
described in Sec.385.22.
    (4) Step 4: Calculate the per-work royalty allocation. This is the 
amount payable for the reproduction and distribution of each musical 
work used by the Service Provider by virtue of its Licensed Activity 
through a particular Offering during the Accounting Period. To determine 
this amount, the result determined in step 3 in paragraph (b)(3) of this 
section must be allocated to each musical work used through the 
Offering. The allocation shall be accomplished by dividing the payable 
royalty pool determined in step 3 for the Offering by the total number 
of Plays of all musical works through the Offering during the Accounting 
Period (other than Plays subject to subpart D of this part) to yield a 
per-Play allocation, and multiplying that result by the number of Plays 
of each musical work (other than Plays subject to subpart D of this 
part)) through the Offering during the Accounting Period. For purposes 
of determining the per-work royalty allocation in all calculations under 
step 4 in this paragraph (b)(4) only (i.e., after the payable royalty 
pool has been determined), for sound recordings of musical works with a 
playing time of over 5 minutes, each Play shall be counted as provided 
in

[[Page 905]]

paragraph (c) of this section. Notwithstanding the foregoing, if the 
Service Provider is not capable of tracking Play information because of 
bona fide limitations of the available technology for Offerings of that 
nature or of devices useable with the Offering, the per-work royalty 
allocation may instead be accomplished in a manner consistent with the 
methodology used for making royalty payment allocations for the use of 
individual sound recordings.
    (c) Overtime adjustment. For purposes of the calculations in step 4 
in paragraph (b)(4) of this section only, for sound recordings of 
musical works with a playing time of over 5 minutes, adjust the number 
of Plays as follows.
    (1) 5:01 to 6:00 minutes--Each play = 1.2 plays.
    (2) 6:01 to 7:00 minutes--Each play = 1.4 plays.
    (3) 7:01 to 8:00 minutes--Each play = 1.6 plays.
    (4) 8:01 to 9:00 minutes--Each play = 1.8 plays.
    (5) 9:01 to 10:00 minutes--Each play = 2.0 plays.
    (6) For playing times of greater than 10 minutes, continue to add 
0.2 plays for each additional minute or fraction thereof.
    (d) Accounting. The calculations required by paragraph (b) of this 
section shall be made in good faith and on the basis of the best 
knowledge, information, and belief at the time payment is due, and 
subject to the additional accounting and certification requirements of 
17 U.S.C. 115(c)(2)(I), 17 U.S.C. 115(d)(4)(A)(i), and part 210 of this 
title. Without limitation, statements of account shall set forth each 
step of the calculations with sufficient information to allow the 
assessment of the accuracy and manner in which the payable royalty pool 
and per-play allocations (including information sufficient to 
demonstrate whether and how a royalty floor pursuant to Sec.385.22 
does or does not apply) were determined and, for each Offering reported, 
also indicate the type of Licensed Activity involved and the number of 
Plays of each musical work (including an indication of any overtime 
adjustment applied) that is the basis of the per-work royalty allocation 
being paid.

[84 FR 2031, Feb. 5, 2019, as amended at 84 FR 32316, July 8, 2019]



Sec.385.22  Royalty floors for specific types of offerings.

    (a) In general. The following royalty floors for use in step 3 of 
Sec.385.21(b)(3)(ii) shall apply to the respective types of Offerings.
    (1) Standalone non-portable Subscription--streaming only. Except as 
provided in paragraph (a)(4) of this section, in the case of a 
Subscription Offering through which an End User can listen to sound 
recordings only in the form of Eligible Interactive Streams and only 
from a non-portable device to which those Streams are originally 
transmitted while the device has a live network connection, the royalty 
floor is the aggregate amount of 15 cents per subscriber per month.
    (2) Standalone non-portable Subscription--mixed. Except as provided 
in paragraph (a)(4) of this section, in the case of a Subscription 
Offering through which an End User can listen to sound recordings either 
in the form of Eligible Interactive Streams or Eligible Limited 
Downloads but only from a non-portable device to which those Streams or 
Eligible Limited Downloads are originally transmitted, the royalty floor 
for use in step 3 of Sec.385.21(b)(3)(ii) is the aggregate amount of 
30 cents per subscriber per month.
    (3) Standalone portable Subscription Offering. Except as provided in 
paragraph (a)(4) of this section, in the case of a Subscription Offering 
through which an End User can listen to sound recordings in the form of 
Eligible Interactive Streams or Eligible Limited Downloads from a 
portable device, the royalty floor for use in step 3 of Sec.
385.21(b)(3)(ii) is the aggregate amount of 50 cents per subscriber per 
month.
    (4) Bundled Subscription Offerings. In the case of a Bundled 
Subscription Offering, the royalty floor for use in step 3 of Sec.
385.21(b)(3)(ii) is the royalty floor that would apply to the music 
component of the bundle if it were offered on a standalone basis for 
each End User who has made at least one Play of a licensed work during 
that month (each

[[Page 906]]

such End User to be considered an ``active subscriber'').
    (b) Computation of royalty rates. For purposes of paragraph (a) of 
this section, to determine the royalty floor, as applicable to any 
particular Offering, the total number of subscriber-months for the 
Accounting Period, shall be calculated by taking all End Users who were 
subscribers for complete calendar months, prorating in the case of End 
Users who were subscribers for only part of a calendar month, and 
deducting on a prorated basis for End Users covered by an Offering 
subject to subpart D of this part, except in the case of a Bundled 
Subscription Offering, subscriber-months shall be determined with 
respect to active subscribers as defined in paragraph (a)(4) of this 
section. The product of the total number of subscriber-months for the 
Accounting Period and the specified number of cents per subscriber (or 
active subscriber, as the case may be) shall be used as the subscriber-
based component of the royalty floor for the Accounting Period. A Family 
Plan shall be treated as 1.5 subscribers per month, prorated in the case 
of a Family Plan Subscription in effect for only part of a calendar 
month. A Student Plan shall be treated as 0.50 subscribers per month, 
prorated in the case of a Student Plan End User who subscribed for only 
part of a calendar month.

[84 FR 2031, Feb. 5, 2019, as amended at 84 FR 32316, July 8, 2019]



          Subpart D_Promotional and Free-to-the-User Offerings



Sec.385.30  Scope.

    This subpart establishes rates and terms of royalty payments for 
Promotional Offerings, Free Trial Offerings, and Certain Purchased 
Content Locker Services provided by subscription and nonsubscription 
digital music Service Providers in accordance with the provisions of 17 
U.S.C. 115.

[84 FR 32316, July 8, 2019]



Sec.385.31  Royalty rates.

    (a) Promotional Offerings. For Promotional Offerings of audio-only 
Eligible Interactive Streaming and Eligible Limited Downloads of sound 
recordings embodying musical works that the Sound Recording Company 
authorizes royalty-free to the Service Provider, the royalty rate is 
zero.
    (b) Free Trial Offerings. For Free Trial Offerings for which the 
Service Provider receives no monetary consideration, the royalty rate is 
zero.
    (c) Certain Purchased Content Locker Services. For every Purchased 
Content Locker Service for which the Service Provider receives no 
monetary consideration, the royalty rate is zero.
    (d) Unauthorized use. If a Copyright Owner or agent of the Copyright 
Owner sends written notice to a Licensee stating in good faith that a 
particular Offering subject to this subpart differs in a material manner 
from the terms governing that Offering, the Licensee must within 5 
business days cease Streaming or otherwise making available that 
Copyright Owner's musical works and shall withdraw from the identified 
Offering any End User's access to the subject musical work.

[84 FR 2031, Feb. 5, 2019, as amended at 84 FR 32317, July 8, 2019]



PART 386_ADJUSTMENT OF ROYALTY FEES FOR SECONDARY TRANSMISSIONS BY 
SATELLITE CARRIERS--Table of Contents



Sec.
386.1 General.
386.2 Royalty fee for secondary transmission by satellite carriers.

    Authority: 17 U.S.C. 119(c), 801(b)(1).

    Source: 75 FR 53198, Aug. 31, 2010, unless otherwise noted.



Sec.386.1  General.

    This part 386 adjusts the rates of royalties payable under the 
statutory license for the secondary transmission of broadcast stations 
under 17 U.S.C. 119.



Sec.386.2  Royalty fee for secondary transmission by satellite
carriers.

    (a) General. (1) For purposes of this section, Per subscriber per 
month shall mean for each subscriber subscribing to the station in 
question (or to a package including such station) on the last day of a 
given month.
    (2) In the case of a station engaged in digital multicasting, the 
rates set forth

[[Page 907]]

in paragraph (b) of this section shall apply to each digital stream that 
a satellite carrier or distributor retransmits pursuant to 17 U.S.C. 
119, provided however that no additional royalty shall be paid for the 
carriage of any material related to the programming on such stream.
    (b) Rates--(1) Private home viewing. The rates applicable to 
Satellite Carriers' carriage of each broadcast signal for private home 
viewing shall be as follows:
    (i) 2010: 25 cents per subscriber per month (for each month of 
2010);
    (ii) 2011: 25 cents per subscriber per month;
    (iii) 2012: 26 cents per subscriber per month;
    (iv) 2013: 27 cents per subscriber per month;
    (v) 2014: 27 cents per subscriber per month.
    (vi) 2015: 27 cents per subscriber per month (for each month of 
2015).\1\
---------------------------------------------------------------------------

    \1\ This is the 2014 rate adjusted for the amount of inflation as 
measured by the change in the Consumer Price Index for All Urban 
Consumers All Items from October 2013 to October 2014.
---------------------------------------------------------------------------

    (vii) 2016: 27 cents per subscriber per month (for each month of 
2016).\3\
---------------------------------------------------------------------------

    \3\ This is the 2015 rate adjusted for the amount of inflation as 
measured by the change in the Consumer Price Index for All Urban 
Consumers All Items from October 2014 to October 2015.
---------------------------------------------------------------------------

    (viii) 2017: 27 cents per subscriber per month.
    (ix) 2018: 28 cents per subscriber per month.
    (x) 2019: 29 cents per subscriber per month.
    (xi) 2020: 30 cents per subscriber per month.
    (xii) 2021: 30 cents per subscriber per month.
    (2) Viewing in commercial establishments. The rates applicable to 
Satellite Carriers' carriage of each broadcast signal for viewing in 
commercial establishments shall be as follows:
    (i) 2010: 50 cents per subscriber per month (for each month of 
2010);
    (ii) 2011: 51 cents per subscriber per month;
    (iii) 2012: 53 cents per subscriber per month;
    (iv) 2013: 54 cents per subscriber per month;
    (v) 2014: 55 cents per subscriber per month.
    (vi) 2015: 56 cents per subscriber per month (for each month of 
2015).\2\
---------------------------------------------------------------------------

    \2\ This is the 2014 rate adjusted for the amount of inflation as 
measured by the change in the Consumer Price Index for All Urban 
Consumers All Items from October 2013 to October 2014.
---------------------------------------------------------------------------

    (vii) 2016: 56 cents per subscriber per month (for each month of 
2016).\4\
---------------------------------------------------------------------------

    \4\ This is the 2015 rate adjusted for the amount of inflation as 
measured by the change in the Consumer Price Index for All Urban 
Consumers All Items from October 2014 to October 2015.
---------------------------------------------------------------------------

    (viii) 2017: 57 cents per subscriber per month.
    (ix) 2018: 58 cents per subscriber per month.
    (x) 2019: 59 cents per subscriber per month.
    (xi) 2020: 60 cents per subscriber per month.
    (xii) 2021: 61 cents per subscriber per month.

[75 FR 53198, Aug. 31, 2010, as amended at 75 FR 75624, Dec. 6, 2010; 76 
FR 74704, Dec. 1, 2011; 77 FR 70374, Nov. 26, 2012; 78 FR 71502, Nov. 
29, 2013; 80 FR 22418, Apr. 22, 2015; 80 FR 73119, Nov. 24, 2015; 81 FR 
84479, Nov. 23, 2016; 82 FR 55947, Nov. 27, 2017; 83 FR 61127, Nov. 28, 
2018; 84 FR 64206, Nov. 21, 2019; 85 FR 74884, Nov. 24, 2020]



PART 387_ADJUSTMENT OF ROYALTY FEE FOR CABLE COMPULSORY LICENSE--
Table of Contents



Sec.
387.1 General.
387.2 Royalty fee for compulsory license for secondary transmission by 
          cable systems.

    Authority: 17 U.S.C. 801(b)(2), 803(b)(6).

    Source: 81 FR 62813, Sept. 13, 2016, unless otherwise noted.



Sec.387.1  General.

    This part establishes adjusted terms and rates for royalty payments 
in accordance with the provisions of 17 U.S.C. 111 and 801(b)(2)(A), 
(B), (C), and (D). Upon compliance with 17 U.S.C. 111 and the terms and 
rates of this part, a cable system shall be subject to a statutory 
license authorizing secondary

[[Page 908]]

transmissions of broadcast signals to the extent provided in 17 U.S.C. 
111.



Sec.387.2  Royalty fee for compulsory license for secondary 
transmission by cable systems.

    (a) Royalty fee rates. Commencing with the first semiannual 
accounting period of 2015 and for each semiannual accounting period 
thereafter, the royalty fee rates for secondary transmission by cable 
systems not subject to paragraph (b) of this section are those 
established by 17 U.S.C. 111(d)(1)(B)(i)-(iv), as amended.
    (b) Rates for certain classes of cable systems. Commencing with the 
first semiannual accounting period of 2015 and for each semiannual 
accounting period thereafter, the alternate tiered royalty fee rates for 
cable systems with certain levels of gross receipts as described in 17 
U.S.C. 111(d)(1)(E) and (F), are those described therein.
    (c) 3.75 percent rate. Commencing with the first semiannual 
accounting period of 2015, and for each semiannual accounting period 
thereafter, and notwithstanding paragraphs (a) and (d) of this section, 
for each distant signal equivalent or fraction thereof not represented 
by the carriage of:
    (1) Any signal that was permitted (or, in the case of cable systems 
commencing operations after June 24, 1981, that would have been 
permitted) under the rules and regulations of the Federal Communications 
Commission in effect on June 24, 1981 (former 47 CFR 76.1 through 76.617 
(1980)); or
    (2) A signal of the same type (that is, independent, network, or 
non-commercial educational) substituted for such permitted signal; or
    (3) A signal that was carried pursuant to an individual waiver of 
(former 47 CFR 76.1 through 76.617 (1980)); in lieu of the royalty rates 
specified in paragraphs (a) and (d) of this section, the royalty rate 
shall be 3.75 percent of the gross receipts of the cable system for each 
distant signal equivalent. Any fraction of a distant signal equivalent 
shall be computed at its fractional value.
    (d) Syndicated exclusivity surcharge. Commencing with the first 
semiannual accounting period of 2015 and for each semiannual accounting 
period thereafter, in the case of a cable system located outside the 35-
mile specified zone of a commercial VHF station that places a predicted 
Grade B contour, in whole or in part, over the cable system, and that is 
not significantly viewed or otherwise exempt from the FCC's syndicated 
exclusivity rules in effect on June 24, 1981 (former 47 CFR 76.151 
through 76.617 (1980)), for each distant signal equivalent or fraction 
thereof represented by the carriage of such commercial VHF station, the 
royalty rate shall be, in addition to the amount specified in paragraph 
(a) of this section:
    (1) For cable systems located wholly or in part within a top 50 
television market:
    (i) 0.599 percent of such gross receipts for the first distant 
signal equivalent;
    (ii) 0.377 percent of such gross receipts for each of the second, 
third, and fourth distant signal equivalents; and
    (iii) 0.178 percent of such gross receipts for the fifth distant 
signal equivalent and each additional distant signal equivalent 
thereafter;
    (2) For cable systems located wholly or in part within a second 50 
television market:
    (i) 0.300 percent of such gross receipts for the first distant 
signal equivalent;
    (ii) 0.189 percent of such gross receipts for each of the second, 
third, and fourth distant signal equivalents; and
    (iii) 0.089 percent of such gross receipts for the fifth distant 
signal equivalent and each additional distant signal equivalent 
thereafter;
    (3) For purposes of this section ``first 50 major television 
markets'' and ``second 50 major television markets'' shall be defined as 
those terms are defined or interpreted in accordance with the Federal 
Communications Commission rule ``Major television markets'' in effect on 
June 24, 1981 (47 CFR 76.51 (1980)).
    (e) Sports programming surcharge. Commencing with the first 
semiannual accounting period of 2019 and for each semiannual accounting 
period thereafter, in the case of an affected cable system filing Form 
SA3 as referenced in 37 CFR 201.17(d)(2)(ii) (2014), the royalty rate 
shall be, in addition to the amounts specified in paragraphs (a), (c), 
and (d) of this section, a surcharge

[[Page 909]]

of 0.025 percent of the affected cable system's gross receipts for the 
secondary transmission to subscribers of each live television broadcast 
of a sports event where the secondary transmission of that broadcast 
would have been subject to deletion under the FCC Sports Blackout Rule. 
For purposes of this paragraph:
    (1) The term ``cable system'' shall have the same meaning as in 17 
U.S.C. 111(f)(3);
    (2) An ``affected cable system''--
    (i) Is a ``community unit,'' as the comparable term is defined or 
interpreted in accordance with Sec.76.5(dd) of the rules and 
regulations of the Federal Communications Commission, in effect as of 
November 23, 2014, 47 CFR 76.5(dd) (2014);
    (ii) That is located in whole or in part within the 35-mile 
specified zone of a television broadcast station licensed to a community 
in which a sports event is taking place, provided that if there is no 
television broadcast station licensed to the community in which a sports 
event is taking place, the applicable specified zone shall be that of 
the television broadcast station licensed to the community with which 
the sports event or team is identified, or, if the event or local team 
is not identified with any particular community, the nearest community 
to which a television station is licensed; and
    (iii) Whose royalty fee is specified by 17 U.S.C. 111(d)(1)(B);
    (3) A ``television broadcast'' of a sports event must qualify as a 
``non-network television program'' within the meaning of 17 U.S.C. 
111(d)(3)(A);
    (4) The term ``specified zone'' shall be defined as the comparable 
term is defined or interpreted in accordance with Sec.76.5(e) of the 
rules and regulations of the Federal Communications Commission in effect 
as of November 23, 2014, 47 CFR 76.5(e) (2014);
    (5) The term ``gross receipts'' shall have the same meaning as in 17 
U.S.C. 111(d)(1)(B) and shall include all gross receipts of the affected 
cable system during the semiannual accounting period except those from 
the affected cable system's subscribers who reside in:
    (i) The local service area of the primary transmitter, as defined in 
17 U.S.C. 111(f)(4);
    (ii) Any community where the cable system has fewer than 1000 
subscribers;
    (iii) Any community located wholly outside the specified zone 
referenced in paragraph (e)(4) of this section; and
    (iv) Any community where the primary transmitter was lawfully 
carried prior to March 31, 1972;
    (6) The term ``FCC Sports Blackout Rule'' refers to Sec.76.111 of 
the rules and regulations of the Federal Communications Commission in 
effect as of November 23, 2014, 47 CFR 76.111 (2014);
    (7) Subject to paragraph (e)(8) of this section, the surcharge will 
apply to the secondary transmission of a primary transmission of a live 
television broadcast of a sports event only where the holder of the 
broadcast rights to the sports event or its agent has provided the 
affected cable system--
    (i) Advance written notice regarding the secondary transmission as 
required by Sec.76.111(b) and (c) of the FCC Sports Blackout Rule; and
    (ii) Documentary evidence that the specific team on whose behalf the 
notice is given had invoked the protection afforded by the FCC Sports 
Blackout Rule during the period from January 1, 2012, through November 
23, 2014;
    (8) In the case of collegiate sports events, the number of events 
involving a specific team as to which an affected cable system must pay 
the surcharge will be no greater than the largest number of events as to 
which the FCC Sports Blackout Rule was invoked in a particular 
geographic area by that team during any one of the accounting periods 
occurring between January 1, 2012, and November 23, 2014;
    (9) Nothing herein shall preclude any copyright owner of a live 
television broadcast, the secondary transmission of which would have 
been subject to deletion under the FCC Sports Blackout Rule, from 
receiving a share of royalties paid pursuant to this paragraph (e).
    (f) Computation of rates. Computation of royalty fees shall be 
governed by 17 U.S.C. 111(d) and 111(f) and 37 CFR 201.17.

[81 FR 62813, Sept. 13, 2016, as amended at 83 FR 62715, Dec. 6, 2018]

[[Page 910]]



PART 388_ADJUSTMENT OF ROYALTY RATE FOR COIN-OPERATED PHONORECORD 
PLAYERS--Table of Contents



Sec.
388.1 General.
388.2 Definition of coin-operated phonorecord player.
388.3 Compulsory license fees for coin-operated phonorecord players.

    Authority: 17 U.S.C. 116, 801(b)(1).

    Source: 81 FR 83141, Nov. 21, 2016, unless otherwise noted.



Sec.388.1  General.

    This part 388 establishes the compulsory license fees for coin-
operated phonorecord players beginning on January 1, 1982, in accordance 
with the provisions of 17 U.S.C. 116.



Sec.388.2  Definition of coin-operated phonorecord player.

    As used in this part, the term coin-operated phonorecord player is a 
machine or device that:
    (a) Is employed solely for the performance of nondramatic musical 
works by means of phonorecords upon being activated by insertion of 
coins, currency, tokens, or other monetary units or their equivalent;
    (b) Is located in an establishment making no direct or indirect 
charge for admission;
    (c) Is accompanied by a list of the titles of all the musical works 
available for performance on it, which list is affixed to the 
phonorecord player or posted in the establishment in a prominent 
position where it can be readily examined by the public; and
    (d) Affords a choice of works available for performance and permits 
the choice to be made by the patrons of the establishment in which it is 
located.



Sec.388.3  Compulsory license fees for coin-operated phonorecord 
players.

    (a) Commencing January 1, 1982, the annual compulsory license fee 
for a coin-operated phonorecord player shall be $25.
    (b) Commencing January 1, 1984, the annual compulsory license fee 
for a coin-operated phonorecord player shall be $50.
    (c) Commencing January 1, 1987, the annual compulsory license fee 
for a coin-operated phonorecord player shall be $63.
    (d) If performances are made available on a particular coin-operated 
phonorecord player for the first time after July 1 of any year, the 
compulsory license fee for the remainder of that year shall be one half 
of the annual rate of paragraph (a), (b), or (c) of this section, 
whichever is applicable.
    (e) Commencing January 1, 1990, the annual compulsory license fee 
for a coin-operated phonorecord player is suspended through December 31, 
1999, or until such earlier or later time as the March 1990 license 
agreement between AMOA and ASCAP/BMI/SESAC is terminated.

                           PART 389 [RESERVED]



PART 390_AMOUNTS OF AND TERMS FOR ADMINISTRATIVE ASSESSMENTS TO FUND
MECHANICAL LICENSING COLLECTIVE--Table of Contents



Sec.
390.1 Definitions.
390.2 Amount of assessments.
390.3 Annual minimum fees.
390.4 Annual Assessment allocation and payment.

    Authority: 17 U.S.C. 115, 801(b).

    Source: 85 FR 832, Jan. 8, 2020, unless otherwise noted.



Sec.390.1  Definitions.

    Administrative assessment has the meaning set forth in 17 U.S.C. 
115(e)(3).
    Aggregate Sound Recordings Count means the sum of the Unique Sound 
Recordings Counts of each and every Allocated Licensee, calculated over 
the respective Quarterly Allocation calculation period.
    Allocated Licensees mean licensees as set forth in Sec.390.3(a) 
who are allocated an additional share of assessments beyond the annual 
minimum fee.
    Allocated Licensee Assessment Pool means an amount equaling 50% of 
each Annual Assessment and Quarterly Allocation.
    Annual Assessment means the administrative assessment for each 
calendar year beginning with the calendar year 2021.

[[Page 911]]

    Annual Calculation Period means the calculation period for annual 
minimum fees, as set forth in Sec.390.3(b).
    Annual minimum fee means the minimum amount each Licensee shall pay 
for each Annual Assessment period, as set forth in Sec.390.3.
    Blanket Licensee means a digital music provider that is engaged, in 
all or in part, in covered activities pursuant to a compulsory blanket 
license described in 17 U.S.C. 115(d).
    Certified Minimum Fee Disclosure means a Licensee's certified 
statement setting forth its Unique Sound Recordings Count for the 
respective calculation period.
    Covered activity has the meaning set forth in 17 U.S.C. 115(e)(7).
    Digital licensee coordinator or DLC has the meaning set forth in 17 
U.S.C. 115(e)(9).
    ECI means the Employment Cost Index for total compensation (not 
seasonally adjusted), all civilian workers, as published on the website 
of the United States Department of Labor, Bureau of Labor Statistics, 
for the most recent 12-month period for which data are available on the 
date that is 60 days prior to the start of the calendar year.
    Flat Fee Licensees mean licensees as set forth in Sec.390.3(a) who 
are not allocated an additional share of assessments beyond the annual 
minimum fee.
    License availability date has the meaning set forth in 17 U.S.C. 
115(e)(15).
    Licensee means either a Blanket Licensee or a Significant Nonblanket 
Licensee.
    Mechanical licensing collective or MLC has the meaning set forth in 
17 U.S.C. 115(e)(18).
    New Licensee means a Licensee that begins engaging in covered 
activities on or after the license availability date.
    Notice of license has the meaning set forth in 17 U.S.C. 115(e)(22).
    Notice of nonblanket activity has the meaning set forth in 17 U.S.C. 
115(e)(23).
    Quarterly Allocation means each of four equal parts of each Annual 
Assessment, to be paid on a calendar quarterly basis.
    Significant Nonblanket Licensee has the meaning set forth in 17 
U.S.C. 115(e)(31).
    Startup Assessment means the one-time administrative assessment for 
the startup phase of the MLC.
    Threshold Licensee means an Allocated Licensee that reports at least 
7.5% of the Aggregate Sound Recordings Count of all Allocated Licensees.
    Threshold Licensee Assessment Pool means an amount equaling 50% of 
each Annual Assessment and Quarterly Allocation.
    Unique Sound Recordings Count means, for each Licensee, the number 
of unique sound recordings used and reported per month by such Licensee 
in Section 115 covered activities, such as would be reflected in the 
information required to be reported under 17 U.S.C. 115(d), calculated 
as a monthly average over the respective calculation period, except that 
a sound recording of a musical work that is in the public domain and 
designated as such in a monthly report of use shall not count towards 
the Licensee's Unique Sound Recordings Count. For example, a Licensee's 
Unique Sound Recordings Count for a Quarterly Allocation calculation 
period will be calculated by adding together the counts of unique sound 
recordings reported by such Licensee to the MLC during each month of 
that quarter and dividing that sum by three. A Licensee's Unique Sound 
Recordings Count for an Annual Calculation Period will be calculated by 
adding together the counts of unique sound recordings reported by such 
Licensee to the MLC during each month of that twelve-month period and 
dividing that sum by twelve. In the case of a Licensee that was engaged 
in covered activities only for part of a Quarterly Allocation 
calculation period or Annual Calculation Period, the monthly average 
shall be calculated using only the calendar months that the Licensee was 
engaged in covered activities. In the case of a Licensee that was not 
engaged in covered activities during any part of a Quarterly Allocation 
calculation period or Annual Calculation Period, the monthly average 
shall be zero. Within each month's usage reports from a particular 
Licensee, a sound recording reported multiple

[[Page 912]]

times with the same metadata would be counted as a single sound 
recording, and a sound recording reported multiple times each with 
different metadata would be counted multiple times, once for each 
reporting with new or different metadata.

[86 FR 6568, Jan. 22, 2021]



Sec.390.2  Amount of assessments.

    (a) Startup Assessment. The Startup Assessment shall be in the 
amount of $33,500,000.
    (b) 2021 Annual Assessment. The Annual Assessment for the calendar 
year 2021 shall be in the amount of $28,500,000.
    (c) Other Annual Assessments. (1) For the calendar year 2022 and all 
subsequent years, the amount of the Annual Assessment will be 
automatically adjusted by increasing the amount of the Annual Assessment 
of the preceding calendar year by the lesser of:
    (i) 3 percent; and
    (ii) The percentage change in the ECI.
    (2) The MLC shall publish notice on its website of each year's 
automatic adjustment to the Annual Assessment. The Annual Assessment 
shall continue from year to year unless and until the Copyright Royalty 
Judges cause to be published an adjusted administrative assessment 
pursuant to 17 U.S.C. 115(d)(7)(D)(iv) or (v).



Sec.390.3  Annual minimum fees.

    (a) Amounts. Subject to paragraph (e) of this section, Licensees 
shall pay annual minimum fees as follows--
    (1) In general. Except as provided in paragraph (a)(2) of this 
section--
    (i) Licensees that have a Unique Sound Recordings Count of 10,000 or 
less during the relevant Annual Calculation Period shall pay $2,500 and 
shall be Flat Fee Licensees for the respective Annual Assessment;
    (ii) Licensees that have a Unique Sound Recordings Count of between 
10,001 and 25,000 during the relevant Annual Calculation Period shall 
pay $5,000 and shall be Flat Fee Licensees for the respective Annual 
Assessment;
    (iii) Licensees that have a Unique Sound Recordings Count of between 
25,001 and 50,000 during the relevant Annual Calculation Period shall 
pay $10,000 and shall be Flat Fee Licensees for the respective Annual 
Assessment, where such Annual Calculation Period is for the Annual 
Assessment for the calendar year 2024 or earlier; otherwise such 
Licensees shall pay $60,000 and shall be Allocated Licensees for the 
respective Annual Assessment;
    (iv) Licensees that have a Unique Sound Recordings Count of between 
50,001 and 100,000 during the relevant Annual Calculation Period shall 
pay $20,000 and shall be Flat Fee Licensees for the respective Annual 
Assessment, where such Annual Calculation Period is for the Annual 
Assessment for the calendar year 2024 or earlier; otherwise such 
Licensees shall pay $60,000 and shall be Allocated Licensees; and
    (v) Licensees that have a Unique Sound Recordings Count greater than 
100,000 during the relevant Annual Calculation Period shall pay an 
annual minimum fee of $60,000 and shall be Allocated Licensees for the 
respective Annual Assessment.
    (2) Download store annual fee. Licensees that engage in covered 
activities exclusively under authority obtained from licensors of sound 
recordings to make and distribute permanent downloads of musical works 
embodied in such sound recordings pursuant to individual download 
licenses or voluntary licenses shall be Flat Fee Licensees and pay the 
following amounts:
    (i) $2,500 if the Licensee has a Unique Sound Recordings Count of 
50,000 or less during the relevant Annual Calculation Period.
    (ii) $5,000 if the Licensee has a Unique Sound Recordings Count of 
between 50,001 to 100,000 during the prior Annual Calculation Period.
    (iii) $10,000 if the Licensee has a Unique Sound Recordings Count of 
between 100,001 to 250,000 during the prior Annual Calculation Period.
    (iv) $20,000 if the Licensee has a Unique Sound Recordings Count of 
between 250,001 to 500,000 during the prior Annual Calculation Period.
    (v) $60,000 if the Licensee has a Unique Sound Recordings Count of 
greater than 500,000 during the prior Annual Calculation Period.
    (b) Annual Calculation Period. The calculation period for annual 
minimum fees shall be the 12-month period that

[[Page 913]]

ends on the September 30th immediately preceding the start of the 
assessment period (e.g., the annual minimum fee calculation period for 
the 2021 Annual Assessment shall be October 1, 2019 to September 30, 
2020).
    (c) Calculation by Licensee certification (2021 and 2022)--(1) 2021. 
Each Licensee in operation on or before the license availability date 
shall submit to the MLC,--no later than February 15, 2021, its Certified 
Minimum Fee Disclosure for the 2021 annual minimum fee (i.e., for the 
period from October 1, 2019, to September 30, 2020). Each Licensee shall 
submit the appropriate annual minimum fee as calculated under paragraph 
(a) of this section for the 2021 Assessment simultaneously with its 
Certified Minimum Fee Disclosure.
    (2) 2022. Each Licensee shall submit to the MLC by November 1, 2021, 
a Certified Minimum Fee Disclosure for the 2022 Assessment and shall pay 
by January 15, 2022, the appropriate annual minimum fee.
    (d) Calculation by the MLC (2023 and subsequent years). Beginning 
with the 2023 Assessment and continuing in subsequent years, the MLC 
will calculate each Licensee's annual minimum fee based on usage 
reporting received from Licensees pursuant to 17 U.S.C. 115(d)(4). The 
MLC shall send invoices for the appropriate annual minimum fee to each 
Licensee. Licensees shall pay the annual minimum fee invoices from the 
MLC by the later of:
    (1) 30 days from receipt of the invoice from the MLC; or
    (2) January 15th of the respective Annual Assessment year.
    (e) New licensees. (1) A New Licensee shall remit the lowest annual 
fee set forth in paragraph (a)(1) or (2) of this section, as applicable, 
along with its notice of license or notice of nonblanket activity to be 
attributable to the calendar year in which such Licensee begins engaging 
in covered activities.
    (2) A New Licensee shall initially be deemed a Flat Fee Licensee. 
When the MLC calculates the Quarterly Allocation with the first 
calculation period pursuant to Sec.390.4(b) during which the New 
Licensee was engaged in covered activities, whether such activities were 
for all or part of the calculation period, the MLC shall calculate the 
New Licensee's Unique Sound Recording Count for that calculation period. 
In the event that such New Licensee has not provided timely reporting, 
the MLC may instead, in its discretion, use the most recent reporting 
from that New Licensee for such calculation. If such New Licensee is 
calculated to have a Unique Sound Recordings Count that exceeds the 
amount that would qualify it to be a Flat Fee Licensee under paragraph 
(a)(1) of this section, it shall be deemed an Allocated Licensee for 
that Quarterly Allocation and the remainder of the calendar year and 
shall be invoiced and pay the assessment as calculated in Sec.390.4 
for the respective quarters, with such New Licensee's Unique Sound 
Recordings Count to be included in the Aggregate Sound Recording Count 
for such quarters.
    (3) A New Licensee shall be subject to the provisions of paragraphs 
(a) through (d) of this section, as applicable, to determine the amount 
and timing of the annual minimum fees owed for the calendar year 
following the year when the Licensee begins engaging in covered 
activities, and for such purposes a New Licensee shall be treated as 
having a Unique Sound Recordings Count of zero for the Annual 
Calculation Period if it began engaging in covered activities after the 
end of the Annual Calculation Period. A New Licensee that has been 
deemed an Allocated Licensee pursuant to paragraph (e)(2) of this 
section shall be subject to the provisions of paragraphs (a) through (d) 
of this section, as applicable, to determine its status as a Flat Fee 
Licensee or Allocated Licensee, for calendar years following the 
calendar year in which it is first deemed an Allocated Licensee.

[86 FR 6569, Jan. 22, 2021]



Sec.390.4  Annual Assessment allocation and payment.

    (a) Allocation formula. Each Annual Assessment shall be divided into 
four equal Quarterly Allocations, after first subtracting annual fees 
payable by Flat Fee Licensees. The MLC may adjust Quarterly Allocations 
to compensate for any adjustments to the Flat Fee Licensee annual fees 
that

[[Page 914]]

occur after the initial division of the Annual Assessment. Each 
Quarterly Allocation shall be allocated and paid on a calendar quarterly 
basis. Each Quarterly Allocation shall be divided into two equal parts, 
allocated among Licensees according to the following formula:
    (1) Allocated Licensee Assessment Pool. The Allocated Licensee 
Assessment Pool shall be allocated on a pro rata basis across all 
Allocated Licensees based on each Licensee's share of the Aggregate 
Sound Recordings Count.
    (2) Threshold Licensee Assessment Pool. The Threshold Licensee 
Assessment Pool shall be allocated on a pro rata basis across Threshold 
Licensees based on each Threshold Licensee's share of the aggregate 
Unique Sound Recordings Counts of all Threshold Licensees. In the event 
that no Threshold Licensees exist for a Quarterly Allocation, the 
Threshold Licensee Assessment Pool shall become payable by all Allocated 
Licensees in the same manner as the Allocated Licensee Assessment Pool.
    (b) Calculation periods and timing. The calculation period for each 
Quarterly Allocation shall be the three-month period that ends three 
months prior to the start of the respective quarter, except that the 
calculation period for the Quarterly Allocation for the first and second 
quarters of 2021 shall be the same as for the annual minimum fee for the 
2021 Annual Assessment and shall be calculated based upon the 
information provided in the Certified Minimum Fee Disclosures, as 
required by this part. The MLC shall make all calculations for each 
respective period based upon the reporting for such period received from 
Licensees as of the time of calculation by the MLC, which calculation 
time shall not be earlier than the legal deadline for submission of 
reporting by Licensees for the respective period. In the event that a 
Licensee has not provided timely reporting for the respective 
calculation period at the time the MLC calculates a Quarterly 
Allocation, the MLC may instead use, in its discretion, the most recent 
reporting from that Licensee to determine that Licensee's Unique Sound 
Recordings Count, for the purposes of calculating the Quarterly 
Allocation.
    (c) Invoicing and payment of allocation--(1) Deadline for payment. 
(i) Invoices from the MLC for Quarterly Allocation shares shall be 
payable pursuant to the MLC invoice no later than 45 days after receipt 
of the invoice from the MLC.
    (ii) Invoices from the MLC to Licensees shall be deemed received on 
the business day after electronic transmission.
    (2) Format of invoices. (i) The quarterly invoices issued by the MLC 
shall include at least the following information, where applicable:
    (A) Invoice issuance date;
    (B) Invoice payment due date;
    (C) Amount owed, by share of Allocated Licensee Assessment Pool and 
Threshold Licensee Assessment Pool;
    (D) Allocation of Startup Assessment;
    (E) Offset of minimum fee payment against quarterly assessment; and
    (F) Amount of credit for un-recouped minimum fee.
    (ii) Invoices issued as a result of an allocation adjustment shall 
include all of the information set forth in paragraphs (c)(2)(i)(A) 
through (F) of this section that may be relevant, as well as an 
explanation of the change from the prior invoices that are affected, and 
the reason(s) for the adjustment.
    (d) Late reporting. The MLC shall promptly notify the DLC of any 
known Licensees who have not timely submitted reports of usage as 
required each month pursuant to 17 U.S.C. 115(d) and 37 CFR part 210.
    (e) Recalculation of Allocated Assessment invoices. The MLC may, in 
its discretion, recalculate allocations and adjust prior invoices, with 
the written consent of the DLC, within twelve months after the initial 
issuance of such invoices, in circumstances including, but not limited 
to, where new usage reporting is received or where a correction would 
alter one or more of any Licensee's Quarterly Allocation shares by at 
least 10%.
    (f) Recoupment of minimum-fee. Each Allocated Licensee's minimum fee 
will be offset against its Quarterly Allocation shares, if any, and 
additional payment will not be due from a Licensee

[[Page 915]]

unless and until its total Quarterly Allocation shares exceed its annual 
minimum fee payment. To the extent that an Allocated Licensee's minimum 
fee exceeds that Licensee's Quarterly Allocation shares for a given 
Assessment period, the excess amounts will be pooled and credited pro 
rata to all Allocated Licensees based on the Quarterly Allocation shares 
for the first quarter of the following year.
    (g) Reports to DLC. The MLC shall report to the DLC no later than 75 
days after the end of every quarter the Aggregate Sound Recordings Count 
for that quarter.
    (h) Startup Assessment allocation and payment. The Startup 
Assessment shall be allocated and paid in the same manner and on the 
same dates as the 2021 Annual Assessment, including as to each of the 
applicable provisions above, and shall be separately itemized in 
invoices from the MLC to Licensees. Pursuant to Sec.390.3, a single 
annual minimum fee shall be assessed for the 2021 Annual Assessment, and 
no additional annual minimum fee shall be assessed for the Startup 
Assessment.

[86 FR 6570, Jan. 22, 2021]

                        PARTS 391	399 [RESERVED]

[[Page 917]]



 CHAPTER IV--NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY, DEPARTMENT 
                               OF COMMERCE




  --------------------------------------------------------------------
Part                                                                Page
400            [Reserved]

401             Rights to inventions made by nonprofit 
                    organizations and small business firms 
                    under government grants, contracts, and 
                    cooperative agreements..................         919
404             Licensing of government-owned inventions....         937
501             Uniform patent policy for rights in 
                    inventions made by government employees.         942
502-599        [Reserved]

[[Page 919]]

                           PART 400 [RESERVED]



PART 401_RIGHTS TO INVENTIONS MADE BY NONPROFIT ORGANIZATIONS AND
SMALL BUSINESS FIRMS UNDER GOVERNMENT GRANTS, CONTRACTS, AND
COOPERATIVE AGREEMENTS--Table of Contents



Sec.
401.1 Scope.
401.2 Definitions.
401.3 Use of the standard clauses at Sec.401.14.
401.4 Contractor appeals of exceptions.
401.5 Modification and tailoring of clauses.
401.6 Exercise of march-in rights.
401.7 Small business preference.
401.8 Reporting on utilization of subject inventions.
401.9 Retention of rights by contractor employee inventor.
401.10 Government assignment to contractor of rights in invention of 
          government employee.
401.11 Appeals.
401.12 Licensing of background patent rights to third parties.
401.13 Administration of patent rights clauses.
401.14 Standard patent rights clauses.
401.15 Deferred determinations.
401.16 Electronic filing.
401.17 Submissions and inquiries.

    Authority: 35 U.S.C. 206; DOO 30-2A.

    Source: 52 FR 8554, Mar. 18, 1987, unless otherwise noted.



Sec.401.1  Scope.

    (a) Traditionally there have been no conditions imposed by the 
government on research performers while using private facilities which 
would preclude them from accepting research funding from other sources 
to expand, to aid in completing or to conduct separate investigations 
closely related to research activities sponsored by the government. 
Notwithstanding the right of research organizations to accept 
supplemental funding from other sources for the purpose of expediting or 
more comprehensively accomplishing the research objectives of the 
government sponsored project, it is clear that the ownership provisions 
of these regulations would remain applicable in any invention 
``conceived or first actually reduced to practice in performance'' of 
the project. Separate accounting for the two funds used to support the 
project in this case is not a determining factor.
    (1) To the extent that a non-government sponsor established a 
project which, although closely related, falls outside the planned and 
committed activities of a government-funded project and does not 
diminish or distract from the performance of such activities, inventions 
made in performance of the non-government sponsored project would not be 
subject to the conditions of these regulations. An example of such 
related but separate projects would be a government sponsored project 
having research objectives to expand scientific understanding in a field 
and a closely related industry sponsored project having as its 
objectives the application of such new knowledge to develop usable new 
technology. The time relationship in conducting the two projects and the 
use of new fundamental knowledge from one in the performance of the 
other are not important determinants since most inventions rest on a 
knowledge base built up by numerous independent research efforts 
extending over many years. Should such an invention be claimed by the 
performing organization to be the product of non-government sponsored 
research and be challenged by the sponsoring agency as being reportable 
to the government as a ``subject invention'', the challenge is 
appealable as described in Sec.401.11(d).
    (2) An invention which is made outside of the research activities of 
a government-funded project is not viewed as a ``subject invention'' 
since it cannot be shown to have been ``conceived or first actually 
reduced to practice'' in performance of the project. An obvious example 
of this is a situation where an instrument purchased with government 
funds is later used, without interference with or cost to the 
government-funded project, in making an invention all expenses of which 
involve only non-government funds.
    (b) This part implements 35 U.S.C. 202 through 204 and is applicable 
to all Federal agencies. It applies to all funding agreements with 
business firms regardless of size (consistent with section 1, paragraph 
(b)(4) of Executive Order 12591, as amended by Executive Order 12618) 
and to nonprofit organizations,

[[Page 920]]

except for a funding agreement made primarily for educational purposes. 
Certain sections also provide guidance for the administration of funding 
agreements which predate the effective date of this part. In accordance 
with 35 U.S.C. 212, no scholarship, fellowship, training grant, or other 
funding agreement made by a Federal agency primarily to an awardee for 
educational purposes will contain any provision giving the Federal 
agency any rights to inventions made by the awardee.
    (c) The march-in and appeals procedures in Sec. Sec.401.6 and 
401.11 shall apply to any march-in or appeal proceeding under a funding 
agreement subject to Chapter 18 of Title 35, U.S.C., initiated after the 
effective date of this part even if the funding agreement was executed 
prior to that date.
    (d) At the request of the contractor, a funding agreement for the 
operation of a government-owned facility which is in effect on the 
effective date of this part shall be promptly amended to include the 
provisions required by Sec. Sec.401.3(a) unless the agency determines 
that one of the exceptions at 35 U.S.C. 202(a)(i) through (iv) Sec.
401.3(a)(8) through (iv) of this part) is applicable and will be 
applied. If the exception at Sec.401.3(a)(iv) is determined to be 
applicable, the funding agreement will be promptly amended to include 
the provisions required by Sec.401.3(c).
    (e) This regulation supersedes OMB Circular A-124 and shall take 
precedence over any regulations dealing with ownership of inventions 
made by small businesses and nonprofit organizations which are 
inconsistent with it. This regulation will be followed by all agencies 
pending amendment of agency regulations to conform to this part and 
amended Chapter 18 of Title 35. Only deviations requested by a 
contractor and not inconsistent with Chapter 18 of Title 35, United 
States Code, may be made without approval of the Secretary. 
Modifications or tailoring of clauses as authorized by Sec.401.5 or 
Sec.401.3, when alternate provisions are used under Sec.401.3(a)(1) 
through (6), are not considered deviations requiring the Secretary's 
approval. Three copies of proposed and final agency regulations 
supplementing this part shall be submitted to the Secretary at the 
office set out in Sec.401.17 for approval for consistency with this 
part before they are submitted to the Office of Management and Budget 
(OMB) for review under Executive Order 12866 or, if no submission is 
required to be made to OMB, before their submission to the Federal 
Register for publication.
    (f) In the event an agency has outstanding prime funding agreements 
that do not contain patent flow-down provisions consistent with this 
part or earlier Office of Federal Procurement Policy regulations (OMB 
Circular A-124 or OMB Bulletin 81-22), the agency shall take appropriate 
action to ensure that small business firms or nonprofit organizations 
that are subcontractors under any such agreements and that received 
their subcontracts after July 1, 1981, receive rights in their subject 
inventions that are consistent with Chapter 18 and this part.
    (g) This part is not intended to apply to arrangements under which 
nonprofit organizations, small business firms, or others are allowed to 
use government-owned research facilities and normal technical assistance 
provided to users of those facilities, whether on a reimbursable or 
nonreimbursable basis. This part is also not intended to apply to 
arrangements under which sponsors reimburse the government or facility 
contractor for the contractor employee's time in performing work for the 
sponsor. Such arrangements are not considered ``funding agreements'' as 
defined at 35 U.S.C. 201(b) and Sec.401.2(a) of this part.

[52 FR 8554, Mar. 18, 1987, as amended at 83 FR 15958, Apr. 13, 2018]



Sec.401.2  Definitions.

    As used in this part--
    (a) The term funding agreement means any contract, grant, or 
cooperative agreement entered into between any Federal agency, other 
than the Tennessee Valley Authority, and any contractor for the 
performance of experimental, developmental, or research work funded in 
whole or in part by the Federal government. This term also includes any 
assignment, substitution of parties, or subcontract of any type entered 
into for the performance of experimental, developmental, or research

[[Page 921]]

work under a funding agreement as defined in the first sentence of this 
paragraph.
    (b) The term contractor means any person, small business firm or 
nonprofit organization, or, as set forth in section 1, paragraph (b)(4) 
of Executive Order 12591, as amended, any business firm regardless of 
size, which is a party to a funding agreement.
    (c) The term invention means any invention or discovery which is or 
may be patentable or otherwise protectable under Title 35 of the United 
States Code, or any novel variety of plant which is or may be 
protectable under the Plant Variety Protection Act (7 U.S.C. 2321 et 
seq.).
    (d) The term subject invention means any invention of a contractor 
conceived or first actually reduced to practice in the performance of 
work under a funding agreement; provided that in the case of a variety 
of plant, the date of determination (as defined in section 41(d) of the 
Plant Variety Protection Act, 7 U.S.C. 2401(d)) must also occur during 
the period of contract performance.
    (e) The term practical application means to manufacture in the case 
of a composition of product, to practice in the case of a process or 
method, or to operate in the case of a machine or system; and, in each 
case, under such conditions as to establish that the invention is being 
utilized and that its benefits are, to the extent permitted by law or 
government regulations, available to the public on reasonable terms.
    (f) The term made when used in relation to any invention means the 
conception or first actual reduction to practice of such invention.
    (g) The term small business firm means a small business concern as 
defined at section 2 of Pub. L. 85-536 (15 U.S.C. 632) and implementing 
regulations of the Administrator of the Small Business Administration. 
For the purpose of this part, the size standards for small business 
concerns involved in government procurement and subcontracting at 13 CFR 
121.5 will be used.
    (h) The term nonprofit organization means universities and other 
institutions of higher education or an organization of the type 
described in section 501(c)(3) of the Internal Revenue Code of 1954 (26 
U.S.C. 501(c) and exempt from taxation under section 501(a) of the 
Internal Revenue Code (26 U.S.C. 501(a)) or any nonprofit scientific or 
educational organization qualified under a state nonprofit organization 
statute.
    (i) The term Chapter 18 means Chapter 18 of Title 35 of the United 
States Code.
    (j) The term Secretary means the Director of the National Institute 
of Standards and Technology.
    (k) The term electronically filed means any submission of 
information transmitted by an electronic or optical-electronic system.
    (l) The term electronic or optical-electronic system means a 
software-based system approved by the agency for the transmission of 
information.
    (m) The term patent application or ``application for patent'' 
includes a provisional or nonprovisional U.S. national application for 
patent as defined in 37 CFR 1.9 (a)(2) and (a)(3), respectively, or an 
application for patent in a foreign country or in an international 
patent office.
    (n) The term initial patent application means, as to a given subject 
invention, the first provisional or non-provisional U.S. national 
application for patent as defined in 37 CFR 1.9(a)(2) and (3), 
respectively, the first international application filed under the Patent 
Cooperation Treaty as defined in 37 CFR 1.9(b) which designates the 
United States, or the first application for a Plant Variety Protection 
certificate, as applicable.
    (o) The term statutory period means the one-year period before the 
effective filing date of a claimed invention during which exceptions to 
prior art exist per 35 U.S.C. 102(b) as amended by the Leahy-Smith 
America Invents Act, Public Law 112-29.

[52 FR 8554, Mar. 18, 1987, as amended at 60 FR 41812, Aug. 14, 1995; 78 
FR 4766, Jan. 23, 2013; 83 FR 15958, Apr. 13, 2018]



Sec.401.3  Use of the standard clauses at Sec.401.14.

    (a) Each funding agreement awarded to a contractor (except those 
subject to 35 U.S.C. 212) shall contain the clause

[[Page 922]]

found in Sec.401.14 with such modifications and tailoring as 
authorized or required elsewhere in this part. However, a funding 
agreement may contain alternative provisions--
    (1) When the contractor is not located in the United States or does 
not have a place of business located in the United States or is subject 
to the control of a foreign government; or
    (2) In exceptional circumstances when it is determined by the agency 
that restriction or elimination of the right to retain title to any 
subject invention will better promote the policy and objectives of 
Chapter 18 of Title 35 of the United States Code; or
    (3) When it is determined by a government authority which is 
authorized by statute or executive order to conduct foreign intelligence 
or counterintelligence activities that the restriction or elimination of 
the right to retain title to any subject invention is necessary to 
protect the security to such activities; or
    (4) When the funding agreement includes the operation of the 
government-owned, contractor-operated facility of the Department of 
Energy primarily dedicated to that Department's naval nuclear propulsion 
or weapons related programs and all funding agreement limitations under 
this subparagraph on the contractor's right to elect title to a subject 
invention are limited to inventions occurring under the above two 
programs; or
    (5) If any part of the contract may require the contractor to 
perform work on behalf of the Government at a Government laboratory 
under a Cooperative Research and Development Agreement (CRADA) pursuant 
to the statutory authority of 15 U.S.C. 3710a; or
    (6) If the contract provides for services and the contractor is not 
a nonprofit organization and does not promote the commercialization and 
public availability of subject inventions pursuant to 35 U.S.C. 200.
    (b) When an agency exercises the exceptions at paragraph (a)(2), 
(3), (5), or (6) of this section, it shall use the standard clause at 
Sec.401.14 with only such modifications as are necessary to address 
the exceptional circumstances or concerns which led to the use of the 
exception. For example, if the justification relates to a particular 
field of use or market, the clause might be modified along lines similar 
to those described in paragraph (c) of this section. In any event, the 
clause should provide the contractor with an opportunity to receive 
greater rights in accordance with the procedures at Sec.401.15. When 
an agency justifies and exercises the exception at paragraph (a)(2) of 
this section and uses an alternative provision in the funding agreement 
on the basis of national security, the provision shall provide the 
contractor with the right to elect ownership to any invention made under 
such funding agreement as provided by the Standard Patent Rights Clause 
found at Sec.401.14 if the invention is not classified by the agency 
within six months of the date it is reported to the agency, or within 
the same time period the Department of Energy does not, as authorized by 
regulation, law or Executive order or implementing regulations thereto, 
prohibit unauthorized dissemination of the invention. Contracts in 
support of DOE's naval nuclear propulsion program are exempted from this 
paragraph (b).
    (c) When the Department of Energy (DOE) determines to use 
alternative provisions under paragraph (a)(4) of this section, the 
standard clause at Sec.401.14 shall be used with the following 
modifications, or substitute thereto with such modification and 
tailoring as authorized or required elsewhere in this part:
    (1) The title of the clause shall be changed to read as follows: 
Patent Rights to Nonprofit DOE Facility Operators.
    (2) Add an ``(A)'' after ``(1)'' in paragraph (c)(1) of the clause 
in Sec.401.14 and add paragraphs (B) and (C) to paragraph (c)(1) of 
the clause in Sec.401.14 as follows:

    (B) If the subject invention occurred under activities funded by the 
naval nuclear propulsion or weapons related programs of DOE, then the 
provisions of this paragraph (c)(1)(B) will apply in lieu of paragraphs 
(c)(2) and (3) of this clause. In such cases the contractor agrees to 
assign the government the entire right, title, and interest thereto 
throughout the world in and to the subject invention except to the 
extent that rights are retained by the contractor through a

[[Page 923]]

greater rights determination or under paragraph (e) of this clause. The 
contractor, or an employee-inventor, with authorization of the 
contractor, may submit a request for greater rights at the time the 
invention is disclosed or within a reasonable time thereafter. DOE will 
process such a request in accordance with procedures at 37 CFR 401.15. 
Each determination of greater rights will be subject to paragraphs (h) 
through (k) of this clause and such additional conditions, if any, 
deemed to be appropriate by the Department of Energy.
    (C) At the time an invention is disclosed in accordance with 
paragraph (c)(1)(A) of this clause, or within 90 days thereafter, the 
contractor will submit a written statement as to whether or not the 
invention occurred under a naval nuclear propulsion or weapons-related 
program of the Department of Energy. If this statement is not filed 
within this time, paragraph (c)(1)(B) of this clause will apply in lieu 
of paragraphs (c)(2) and (3) of this clause. The contractor statement 
will be deemed conclusive unless, within 60 days thereafter, the 
Contracting Officer disagrees in writing, in which case the 
determination of the Contracting Officer will be deemed conclusive 
unless the contractor files a claim under the Contract Disputes Act 
within 60 days after the Contracting Officer's determination. Pending 
resolution of the matter, the invention will be subject to paragraph 
(c)(1)(B) of this clause.

    (3) Paragraph (k)(3) of the clause in Sec.401.14 will be modified 
as prescribed at Sec.401.5(g).
    (d) When a funding agreement involves a series of separate task 
orders, an agency may apply the exceptions at paragraph (a)(2) or (3) of 
this section to individual task orders, and it may structure the 
contract so that modified patent rights provisions will apply to the 
task order even though either the standard clause at Sec.401.14 or the 
modified clause as described in paragraph (c) of this section is 
applicable to the remainder of the work. Agencies are authorized to 
negotiate such modified provisions with respect to task orders added to 
a funding agreement after its initial award.
    (e) Before utilizing any of the exceptions in Sec.401.3(a) of this 
section, the agency shall prepare a written determination, including a 
statement of facts supporting the determination, that the conditions 
identified in the exception exist. A separate statement of facts shall 
be prepared for each exceptional circumstances determination, except 
that in appropriate cases a single determination may apply to both a 
funding agreement and any subcontracts issued under it or to any funding 
agreement to which such an exception is applicable. In cases when Sec.
401.3(a)(2) is used, the determination shall also include an analysis 
justifying the determination. This analysis should address with 
specificity how the alternate provisions will better achieve the 
objectives set forth in 35 U.S.C. 200. A copy of each determination, 
statement of facts, and, if applicable, analysis shall be promptly 
provided to the contractor or prospective contractor along with a 
notification to the contractor or prospective contractor of its rights 
to appeal the determination of the exception under 35 U.S.C. 202(b)(4) 
and Sec.401.4 of this part.
    (f) Except for determinations under Sec.401.3(a)(3), the agency 
shall also provide copies of each determination, statement of fact, and 
analysis to the Secretary. These shall be sent within 30 days after the 
award of the funding agreement to which they pertain. Copies shall also 
be sent to the Chief Counsel for Advocacy of the Small Business 
Administration if the funding agreement is with a small business firm. 
If the Secretary of Commerce believes that any individual determination 
or pattern of determinations is contrary to the policies and objectives 
of this chapter or otherwise not in conformance with this chapter, the 
Secretary shall so advise the head of the agency concerned and the 
Administrator of the Office of Federal Procurement Policy and recommend 
corrective actions.
    (g) To assist the Comptroller General of the United States to 
accomplish his or her responsibilities under 35 U.S.C. 202, each Federal 
agency that enters into any funding agreements with nonprofit 
organizations or small business firms shall accumulate and, at the 
request of the Comptroller General, provide the Comptroller General or 
his or her duly authorized representative the total number of prime 
agreements entered into with small business firms or nonprofit 
organizations that contain the patent rights clause in this part or 
under OMB Circular A-124 for each fiscal year beginning with October 1, 
1982.
    (h) A prospective contractor may be required by an agency to certify 
that it

[[Page 924]]

is either a small business firm or a nonprofit organization. If the 
agency has reason to question the status of the prospective contractor, 
it may require the prospective contractor to furnish evidence to 
establish its status.
    (i) When an agency exercises the exception at paragraph (a)(5) of 
this section, replace paragraph (b) of the basic clause in Sec.401.14 
with the following paragraphs (b)(1) and (2):

    (b) Allocation of principal rights. (1) The Contractor may retain 
the entire right, title, and interest throughout the world to each 
subject invention subject to the provisions of this clause, including 
paragraph (b)(2) of this clause, and 35 U.S.C. 203. With respect to any 
subject invention in which the Contractor retains title, the Federal 
Government shall have a nonexclusive, nontransferable, irrevocable, 
paid-up license to practice or have practiced for or on behalf of the 
United States the subject invention throughout the world.
    (2) If the Contractor performs services at a Government owned and 
operated laboratory or at a Government owned and contractor operated 
laboratory directed by the Government to fulfill the Government's 
obligations under a Cooperative Research and Development Agreement 
(CRADA) authorized by 15 U.S.C. 3710a, the Government may require the 
Contractor to negotiate an agreement with the CRADA collaborating party 
or parties regarding the allocation of rights to any subject invention 
the Contractor makes, solely or jointly, under the CRADA. The agreement 
shall be negotiated prior to the Contractor undertaking the CRADA work 
or, with the permission of the Government, upon the identification of a 
subject invention. In the absence of such an agreement, the Contractor 
agrees to grant the collaborating party or parties an option for a 
license in its inventions of the same scope and terms set forth in the 
CRADA for inventions made by the Government.

[52 FR 8554, Mar. 18, 1987, as amended at 69 FR 17301, Apr. 2, 2004; 83 
FR 15959, Apr. 13, 2018]



Sec.401.4  Contractor appeals of exceptions.

    (a) In accordance with 35 U.S.C. 202(b)(4) a contractor has the 
right to an administrative review of a determination to use one of the 
exceptions at Sec.401.3(a)(1) through (6) if the contractor believes 
that a determination is either contrary to the policies and objectives 
of this chapter or constitutes an abuse of discretion by the agency. 
Paragraph (b) of this section specifies the procedures to be followed by 
contractors and agencies in such cases. The assertion of such a claim by 
the contractor shall not be used as a basis for withholding or delaying 
the award of a funding agreement or for suspending performance under an 
award. Pending final resolution of the claim the contract may be issued 
with the patent rights provision proposed by the agency; however, should 
the final decision be in favor of the contractor, the funding agreement 
will be amended accordingly and the amendment made retroactive to the 
effective date of the funding agreement.
    (b)(1) A contractor may appeal a determination by providing written 
notice to the agency within 30 working days from the time it receives a 
copy of the agency's determination, or within such longer time as an 
agency may specify in its regulations. The contractor's notice should 
specifically identify the basis for the appeal.
    (2) The appeal shall be decided by the head of the agency or by his/
her designee who is at a level above the person who made the 
determination. If the notice raises a genuine dispute over the material 
facts, the head of the agency or the designee shall undertake, or refer 
the matter for, fact-finding.
    (3) Fact-finding shall be conducted in accordance with procedures 
established by the agency. Such procedures shall be as informal as 
practicable and be consistent with principles of fundamental fairness. 
The procedures should afford the contractor the opportunity to appear 
with counsel, submit documentary evidence, present witnesses and 
confront such persons as the agency may rely upon. A transcribed record 
shall be made and shall be available at cost to the contractor upon 
request. The requirement for a transcribed record may be waived by 
mutual agreement of the contractor and the agency.
    (4) The official conducting the fact-finding shall prepare or adopt 
written findings of fact and transmit them to the head of the agency or 
designee promptly after the conclusion of the fact-finding proceeding 
along with a recommended decision. A copy of the findings of fact and 
recommended decision shall be sent to the contractor by registered or 
certified mail.

[[Page 925]]

    (5) Fact-finding should be completed within 45 working days from the 
date the agency receives the contractor's written notice.
    (6) When fact-finding has been conducted, the head of the agency or 
designee shall base his or her decision on the facts found, together 
with any argument submitted by the contractor, agency officials or any 
other information in the administrative record. In cases referred for 
fact-finding, the agency head or the designee may reject only those 
facts that have been found to be clearly erroneous, but must explicitly 
state the rejection and indicate the basis for the contrary finding. The 
agency head or the designee may hear oral arguments after fact-finding 
provided that the contractor or contractor's attorney or representative 
is present and given an opportunity to make arguments and rebuttal. The 
decision of the agency head or the designee shall be in writing and, if 
it is unfavorable to the contractor shall include an explanation of the 
basis of the decision. The decision of the agency or designee shall be 
made within 30 working days after fact-finding or, if there was no fact-
finding, within 45 working days from the date the agency received the 
contractor's written notice. A contractor adversely affected by a 
determination under this section may, at any time within sixty days 
after the determination is issued, file a petition in the United States 
Claims Court, which shall have jurisdiction to determine the appeal on 
the record and to affirm, reverse, remand, or modify as appropriate, the 
determination of the Federal agency.

[52 FR 8554, Mar. 18, 1987, as amended at 83 FR 15960, Apr. 13, 2018]



Sec.401.5  Modification and tailoring of clauses.

    (a) Agencies should complete the blank in paragraph (g)(2) of the 
clauses at Sec.401.14 in accordance with their own or applicable 
government-wide regulations such as the Federal Acquisition Regulation. 
In funding agreements, agencies wishing to apply the same clause to all 
subcontractors as is applied to the contractor may delete paragraph 
(g)(2) of the clause in Sec.401.14 and delete the words ``to be 
performed by a small business firm or domestic nonprofit organization'' 
from paragraph (g)(1). Also, if the funding agreement is a grant or 
cooperative agreement, paragraph (g)(3) of the clause may be deleted. 
When either paragraph (g)(2) of the clause in Sec.401.14 or paragraphs 
(g)(2) and (3) of the clause in Sec.401.14 are deleted, the remaining 
paragraph or paragraphs should be renumbered appropriately.
    (b) Agencies should complete paragraph (l), ``Communications'', at 
the end of the clauses at Sec.401.14 by designating a central point of 
contact for communications on matters relating to the clause. Additional 
instructions on communications may also be included in paragraph (l) of 
the clause in Sec.401.14.
    (c) Agencies may replace the italicized words and phrases in the 
clause at Sec.401.14 with those appropriate to the particular funding 
agreement. For example, ``contractor'' could be replaced by ``grantee.'' 
Depending on its use, ``agency'' or ``Federal agency'' can be replaced 
either by the identification of the agency or by the specification of 
the particular office or official within the agency.
    (d)(1) When the agency head or duly authorized designee determines 
at the time of contracting that it would be in the national interest to 
acquire the right to sublicense foreign governments, their nationals, or 
international organizations in accordance with any existing treaty or 
international agreement, a sentence may be added at the end of paragraph 
(b) of the clause at Sec.401.14 as follows:

This license will include the right of the government to sublicense 
foreign governments, their nationals, and international organizations, 
in accordance with the following treaties or international agreements: 
________.

    (2) The blank in the added text in paragraph (d)(1) of this section 
should be completed with the names of applicable existing treaties or 
international agreements, including agreements of cooperation, and 
military agreements relating to weapons development and production. The 
added language is not intended to encompass treaties or other agreements 
that are in effect on the date of the award but which are not listed. 
Alternatively, agencies may use substantially similar language relating

[[Page 926]]

the government's rights to specific treaties or other agreements 
identified elsewhere in the funding agreement. The language may also be 
modified to make clear that the rights granted to the foreign 
government, and its nationals or an international organization may be 
for additional rights beyond a license or sublicense if so required by 
the applicable treaty or other international agreement. For example, in 
some cases exclusive licenses or even the assignment of title to the 
foreign country involved might be required. Agencies may also modify the 
added language to provide for the direct licensing by the contractor of 
the foreign government or international organization.
    (e) If the funding agreement involves performance over an extended 
period of time, such as the typical funding agreement for the operation 
of a government-owned facility, the following language may also be 
added:

The agency reserves the right to unilaterally amend this funding 
agreement to identify specific treaties or international agreements 
entered into or to be entered into by the government after the effective 
date of this funding agreement and effectuate those license or other 
rights which are necessary for the government to meet its obligations to 
foreign governments, and international organizations under such treaties 
or international agreements with respect to subject inventions made 
after the date of the amendment.

    (f) Agencies may add additional paragraphs to paragraph (f) of the 
clauses at Sec.401.14 to require the contractor to do one or more of 
the following:
    (1) Provide a report prior to the close-out of a funding agreement 
listing all subject inventions or stating that there were none.
    (2) Provide, upon request, the filing date, patent application 
number and title; a copy of the patent application; and patent number 
and issue date for any subject invention in any country in which the 
contractor has applied for a patent.
    (3) Provide periodic (but no more frequently than annual) listings 
of all subject inventions which were disclosed to the agency during the 
period covered by the report.
    (g) If the contract is with a nonprofit organization and is for the 
operation of a government-owned, contractor-operated facility, the 
following will be substituted for the text of paragraph (k)(3) of the 
clause at Sec.401.14:

After payment of patenting costs, licensing costs, payments to 
inventors, and other expenses incidental to the administration of 
subject inventions, the balance of any royalties or income earned and 
retained by the contractor during any fiscal year on subject inventions 
under this or any successor contract containing the same requirement, up 
to any amount equal to five percent of the budget of the facility for 
that fiscal year, shall be used by the contractor for scientific 
research, development, and education consistent with the research and 
development mission and objectives of the facility, including activities 
that increase the licensing potential of other inventions of the 
facility. If the balance exceeds five percent, 15 percent of the excess 
above five percent shall be paid by the contractor to the Treasury of 
the United States and the remaining 85 percent shall be used by the 
contractor only for the same purposes as described in the preceding 
sentence. To the extent it provides the most effective technology 
transfer, the licensing of subject inventions shall be administered by 
contractor employees on location at the facility.

    (h) If the contract is for the operation of a government-owned 
facility, agencies may add paragraph (f)(5) to the clause at Sec.
401.14 with the following text:

The contractor shall establish and maintain active and effective 
procedures to ensure that subject inventions are promptly identified and 
timely disclosed and shall submit a description of the procedures to the 
contracting officer so that the contracting officer may evaluate and 
determine their effectiveness.

[83 FR 15960, Apr. 13, 2018]



Sec.401.6  Exercise of march-in rights.

    (a) The following procedures shall govern the exercise of the march-
in rights of the agencies set forth in 35 U.S.C. 203 and paragraph (j) 
of the clause at Sec.401.14.
    (b) Whenever an agency receives information that it believes might 
warrant the exercise of march-in rights, before initiating any march-in 
proceeding, it shall notify the contractor in writing of the information 
and request informal written or oral comments from the contractor as 
well as information relevant to the matter. In the absence of any 
comments from the

[[Page 927]]

contractor within 30 days, the agency may, at its discretion, proceed 
with the procedures below. If a comment is received within 30 days, or 
later if the agency has not initiated the procedures below, then the 
agency shall, within 60 days after it receives the comment, either 
initiate the procedures below or notify the contractor, in writing, that 
it will not pursue march-in rights on the basis of the available 
information.
    (c) A march-in proceeding shall be initiated by the issuance of a 
written notice by the agency to the contractor and its assignee or 
exclusive licensee, as applicable and if known to the agency, stating 
that the agency is considering the exercise of march-in rights. The 
notice shall state the reasons for the proposed march-in in terms 
sufficient to put the contractor on notice of the facts upon which the 
action would be based and shall specify the field or fields of use in 
which the agency is considering requiring licensing. The notice shall 
advise the contractor (assignee or exclusive licensee) of its rights, as 
set forth in this section and in any supplemental agency regulations. 
The determination to exercise march-in rights shall be made by the head 
of the agency or his or her designee.
    (d) Within 30 days after the receipt of the written notice of march-
in, the contractor (assignee or exclusive licensee) may submit in 
person, in writing, or through a representative, information or argument 
in opposition to the proposed march-in, including any additional 
specific information which raises a genuine dispute over the material 
facts upon which the march-in is based. If the information presented 
raises a genuine dispute over the material facts, the head of the agency 
or designee shall undertake or refer the matter to another official for 
fact-finding.
    (e) Fact-finding shall be conducted in accordance with the 
procedures established by the agency. Such procedures shall be as 
informal as practicable and be consistent with principles of fundamental 
fairness. The procedures should afford the contractor the opportunity to 
appear with counsel, submit documentary evidence, present witnesses and 
confront such persons as the agency may present. A transcribed record 
shall be made and shall be available at cost to the contractor upon 
request. The requirement for a transcribed record may be waived by 
mutual agreement of the contractor and the agency. Any portion of the 
march-in proceeding, including a fact-finding hearing that involves 
testimony or evidence relating to the utilization or efforts at 
obtaining utilization that are being made by the contractor, its 
assignee, or licensees shall be closed to the public, including 
potential licensees. In accordance with 35 U.S.C. 202(c)(5), agencies 
shall not disclose any such information obtained during a march-in 
proceeding to persons outside the government except when such release is 
authorized by the contractor (assignee or licensee).
    (f) The official conducting the fact-finding shall prepare or adopt 
written findings of fact and transmit them to the head of the agency or 
designee promptly after the conclusion of the fact-finding proceeding 
along with a recommended determination. A copy of the findings of fact 
shall be sent to the contractor (assignee or exclusive licensee) by 
registered or certified mail. The contractor (assignee or exclusive 
licensee) and agency representatives will be given 30 days to submit 
written arguments to the head of the agency or designee; and, upon 
request by the contractor oral arguments will be held before the agency 
head or designee that will make the final determination.
    (g) In cases in which fact-finding has been conducted, the head of 
the agency or designee shall base his or her determination on the facts 
found, together with any other information and written or oral arguments 
submitted by the contractor (assignee or exclusive licensee) and agency 
representatives, and any other information in the administrative record. 
The consistency of the exercise of march-in rights with the policy and 
objectives of 35 U.S.C. 200 shall also be considered. In cases referred 
for fact-finding, the head of the agency or designee may reject only 
those facts that have been found to be clearly erroneous, but must 
explicitly state the rejection and indicate the basis for the contrary 
finding. Written notice of the determination whether march-in rights 
will be exercised shall

[[Page 928]]

be made by the head of the agency or designee and sent to the contractor 
(assignee of exclusive licensee) by certified or registered mail within 
90 days after the completion of fact-finding or 90 days after oral 
arguments, whichever is later, or the proceedings will be deemed to have 
been terminated and thereafter no march-in based on the facts and 
reasons upon which the proceeding was initiated may be exercised.
    (h) An agency may, at any time, terminate a march-in proceeding if 
it is satisfied that it does not wish to exercise march-in rights.
    (i) The procedures of this part shall also apply to the exercise of 
march-in rights against inventors receiving title to subject inventions 
under 35 U.S.C. 202(d) and, for that purpose, the term ``contractor'' as 
used in this section shall be deemed to include the inventor.
    (j) An agency determination unfavorable to the contractor (assignee 
or exclusive licensee) shall be held in abeyance pending the exhaustion 
of appeals or petitions filed under 35 U.S.C. 203(2).
    (k) For purposes of this section the term exclusive licensee 
includes a partially exclusive licensee.
    (l) Agencies are authorized to issue supplemental procedures not 
inconsistent with this part for the conduct of march-in proceedings.



Sec.401.7  Small business preference.

    (a) Paragraph (k)(4) of the clauses at Sec.401.14 Implements the 
small business preference requirement of 35 U.S.C. 202(c)(7)(D). 
Contractors are expected to use efforts that are reasonable under the 
circumstances to attract small business licensees. They are also 
expected to give small business firms that meet the standard outlined in 
the clause a preference over other applicants for licenses. What 
constitutes reasonable efforts to attract small business licensees will 
vary with the circumstances and the nature, duration, and expense of 
efforts needed to bring the invention to the market. Paragraph (k)(4) is 
not intended, for example, to prevent nonprofit organizations from 
providing larger firms with a right of first refusal or other options in 
inventions that relate to research being supported under long-term or 
other arrangements with larger companies. Under such circumstances it 
would not be resonable to seek and to give a preference to small 
business licensees.
    (b) Small business firms that believe a nonprofit organization is 
not meeting its obligations under the clause may report their concerns 
to the funding agency identified at Sec.401.14(l), and following 
receipt of the funding agency's initial response to their concerns or, 
if no initial funding agency response is received within 90 days from 
the date their concerns were reported to the funding agency, may 
thereafter report their concerns, together with any response from the 
funding agency, to the Secretary. To the extent deemed appropriate, the 
Secretary, in consultation with the funding agency, will undertake 
informal investigation of the concern, and, if appropriate, enter into 
discussions or negotiations with the nonprofit organization to the end 
of improving its efforts in meeting its obligations under the clause. 
However, in no event will the Secretary intervene in ongoing 
negotiations or contractor decisions concerning the licensing of a 
specific subject invention. All investigations, discussions, and 
negotiations of the Secretary described in this paragraph (b) will be in 
coordination with other interested agencies, including the funding 
agency and the Small Business Administration. In the case of a contract 
for the operation of a government-owned, contractor operated research or 
production facility, the Secretary will coordinate with the agency 
responsible for the facility prior to any discussions or negotiations 
with the contractor.

[52 FR 8554, Mar. 18, 1987, as amended at 83 FR 15960, Apr. 13, 2018]



Sec.401.8  Reporting on utilization of subject inventions.

    (a) Paragraph (h) of the clauses at Sec.401.14 and its counterpart 
in the clause at Attachment A to OMB Circular A-124 provides that 
agencies have the right to receive periodic reports from the contractor 
on utilization of inventions. Agencies exercising this right should 
accept such information, to the extent feasible, in the format that the 
contractor normally prepares

[[Page 929]]

it for its own internal purposes. The prescription of forms should be 
avoided. However, any forms or standard questionnaires that are adopted 
by an agency for this purpose must comply with the requirements of the 
Paperwork Reduction Act. Copies shall be sent to the Secretary.
    (b) In accordance with 35 U.S.C. 202(c)(5) and the terms of the 
clauses at Sec.401.14, agencies shall not disclose such information to 
persons outside the government. Contractors will continue to provide 
confidential markings to help prevent inadvertent release outside the 
agency.



Sec.401.9  Retention of rights by contractor employee inventor.

    Agencies which allow an employee/inventor of the contractor to 
retain rights to a subject invention made under a funding agreement with 
a small business firm or nonprofit organization contractor, as 
authorized by 35 U.S.C. 202(d), will impose upon the inventor at least 
those conditions that would apply to a small business firm contractor 
under paragraphs (d)(1) and (3); (f)(4); (h); (i); and (j) of the clause 
at Sec.401.14.

[52 FR 8554, Mar. 18, 1987, as amended at 83 FR 15960, Apr. 13, 2018]



Sec.401.10  Government assignment to contractor of rights in invention
of government employee.

    (a) In any case when a Federal employee is a co-inventor of any 
invention made under a funding agreement with a contractor:
    (1) If the Federal agency employing such co-inventor transfers or 
reassigns to the contractor the right it has acquired in the subject 
invention from its employee as authorized by 35 U.S.C. 202(e), the 
assignment will be made subject to the patent rights clause of the 
contractor's funding agreement.
    (2) The Federal agency employing such co-inventor, in consultation 
with the contractor, may submit an initial patent application, provided 
that the contractor retains the right to elect to retain title pursuant 
to 35 U.S.C. 202(a).
    (3) When a Federal employee is a co-inventor of a subject invention 
developed with contractor-employed co-inventors under a funding 
agreement from another agency:
    (i) The funding agency will notify the agency employing a Federal 
co-inventor of any report of invention and whether the contractor elects 
to retain title.
    (ii) If the contractor does not elect to retain title to the subject 
invention, the funding agency must promptly provide notice to the agency 
employing a Federal co-inventor, and to the extent practicable, at least 
60 days before any statutory bar date.
    (iii) Upon notification by the funding agency of a subject invention 
in which the contractor has not elected to retain title, the agency 
employing a Federal co-inventor must determine if there is a government 
interest in patenting the invention and will notify the funding agency 
of its determination.
    (iv) If the agency employing a Federal co-inventor determines there 
is a government interest in patenting the subject invention in which the 
contractor has not elected to retain title, the funding agency must 
provide administrative assistance (but is not required to provide 
financial assistance) to the agency employing a Federal co-inventor in 
acquiring rights from the contractor in order to file an initial patent 
application.
    (v) The agency employing a Federal co-inventor has priority for 
patenting over funding agencies that do not have a Federal co-inventor 
when the contractor has not elected to retain title.
    (vi) When the contractor has not elected to retain title, the 
funding agency and the agency employing a Federal co-inventor shall 
consult in order to ensure that the intent of the programmatic 
objectives conducted under the funding agreement is represented in any 
patenting decisions. The agency employing a Federal co-inventor may 
transfer patent management responsibilities to the funding agency.
    (4) Federal agencies employing such co-inventors may enter into an 
agreement with a contractor when an agency determines it is a suitable 
and necessary step to protect and administer rights on behalf of the 
Federal Government, pursuant to 35 U.S.C. 202(e).

[[Page 930]]

    (5) Federal agencies employing such co-inventors will retain all 
ownership rights to which they are otherwise entitled if the contractor 
elects to retain title to the subject invention.
    (b) Agencies may add additional conditions as long as they are 
consistent with 35 U.S.C. 201-206.
    (c) Nothing in this section shall supersede any existing inter-
institutional agreements between a contractor and a Federal agency for 
the management of jointly-owned subject inventions.

[83 FR 15961, Apr. 13, 2018]



Sec.401.11  Appeals.

    (a) As used in this section, the term standard clause means the 
clause at Sec.401.14 of this part and the clauses previously 
prescribed by either OMB Circular A-124 or OMB Bulletin 81-22.
    (b) The agency official initially authorized to take any of the 
following actions shall provide the contractor with a written statement 
of the basis for his or her action at the time the action is taken, 
including any relevant facts that were relied upon in taking the action.
    (1) A refusal to grant an extension under paragraph (c)(4) of the 
standard clauses.
    (2) A request for a conveyance of title under paragraph (d) of the 
standard clauses.
    (3) A refusal to grant a waiver under paragraph (i) of the standard 
clauses.
    (4) A refusal to approve an assignment under paragraph (k)(1) of the 
standard clauses.
    (5) A refusal to grant an extension of the exclusive license period 
under paragraph (k)(2) of the clauses prescribed by either OMB Circular 
A-124 or OMB Bulletin 81-22.
    (c) Each agency shall establish and publish procedures under which 
any of the agency actions listed in paragraph (b) of this section may be 
appealed to the head of the agency or designee. Review at this level 
shall consider both the factual and legal basis for the actions and its 
consistency with the policy and objectives of 35 U.S.C. 200-206.
    (d) Appeals procedures established under paragraph (c) of this 
section shall include administrative due process procedures and 
standards for fact-finding at least comparable to those set forth in 
Sec.401.6 (e) through (g) whenever there is a dispute as to the 
factual basis for an agency request for a conveyance of title under 
paragraph (d) of the standard clause, including any dispute as to 
whether or not an invention is a subject invention.
    (e) To the extent that any of the actions described in paragraph (b) 
of this section are subject to appeal under the Contract Dispute Act, 
the procedures under the Act will satisfy the requirements of paragraphs 
(c) and (d) of this section.



Sec.401.12  Licensing of background patent rights to third parties.

    (a) A funding agreement with a small business firm or a domestic 
nonprofit organization will not contain a provision allowing a Federal 
agency to require the licensing to third parties of inventions owned by 
the contractor that are not subject inventions unless such provision has 
been approved by the agency head and a written justification has been 
signed by the agency head. Any such provision will clearly state whether 
the licensing may be required in connection with the practice of a 
subject invention, a specifically identified work object, or both. The 
agency head may not delegate the authority to approve such provisions or 
to sign the justification required for such provisions.
    (b) A Federal agency will not require the licensing of third parties 
under any such provision unless the agency head determines that the use 
of the invention by others is necessary for the practice of a subject 
invention or for the use of a work object of the funding agreement and 
that such action is necessary to achieve practical application of the 
subject invention or work object. Any such determination will be on the 
record after an opportunity for an agency hearing. The contractor shall 
be given prompt notification of the determination by certified or 
registered mail. Any action commenced for judicial review of such 
determination shall be brought within sixty days after notification of 
such determination.

[[Page 931]]



Sec.401.13  Administration of patent rights clauses.

    (a) In the event a subject invention is made under funding 
agreements of more than one agency, at the request of the contractor or 
on their own initiative the agencies shall designate one agency as 
responsible for administration of the rights of the government in the 
invention.
    (b) Agencies shall promptly grant, unless there is a significant 
reason not to, a request by a nonprofit organization under paragraph 
(k)(2) of the clauses prescribed by either OMB Circular A-124 or OMB 
Bulletin 81-22 inasmuch as 35 U.S.C. 202(c)(7) has since been amended to 
eliminate the limitation on the duration of exclusive licenses. 
Similarly, unless there is a significant reason not to, agencies shall 
promptly approve an assignment by a nonprofit organization to an 
organization which has as one of its primary functions the management of 
inventions when a request for approval has been necessitated under 
paragraph (k)(1) of the clauses prescribed by either OMB Circular A-124 
or OMB Bulletin 81-22 because the patent management organization is 
engaged in or holds a substantial interest in other organizations 
engaged in the manfacture or sale of products or the use of processes 
that might utilize the invention or be in competition with embodiments 
of the invention. As amended, 35 U.S.C. 202(c)(7) no longer contains 
this limitation. The policy of this subsection should also be followed 
in connection with similar approvals that may be required under 
Institutional Patent Agreements, other patent rights clauses, or waivers 
that predate Chapter 18 of Title 35, United States Code.
    (c) The President's Patent Policy Memorandum of February 18, 1983, 
states that agencies should protect the confidentiality of invention 
disclosure, patent applications, and utilization reports required in 
performance or in consequence of awards to the extent permitted by 35 
U.S.C. 205 or other applicable laws. The following requirements should 
be followed for funding agreements covered by and predating this part 
401.
    (1) To the extent authorized by 35 U.S.C. 205, agencies shall not 
disclose to third parties pursuant to requests under the Freedom of 
Information Act (FOIA) any information disclosing a subject invention 
for a reasonable time in order for a patent application to be filed. 
With respect to subject inventions of contractors that are small 
business firms or nonprofit organizations, a reasonable time shall be 
the time during which an initial patent application may be filed under 
paragraph (c) of the standard clause found at Sec.401.14 or such other 
clause may be used in the funding agreement. However, an agency may 
disclose such subject inventions under the FOIA, at its discretion, 
after a contractor has elected not to retain title or after the time in 
which the contractor is required to make an election if the contractor 
has not made an election within that time. Similarly, an agency may 
honor a FOIA request at its discretion if it finds that the same 
information has previously been published by the inventor, contractor, 
or otherwise. If the agency plans to file itself when the contractor has 
not elected title, it may, of course, continue to avail itself of the 
authority of 35 U.S.C. 205.
    (2) In accordance with 35 U.S.C. 205, agencies shall not disclose or 
release, pursuant to requests under the Freedom of Information Act or 
otherwise, copies of any document which the agency obtained under the 
clause in Sec.401.14 which is part of an application for patent with 
the U.S. Patent and Trademark Office or any foreign patent office filed 
by the contractor (or its assignees, licensees, or employees) on a 
subject invention to which the contractor has elected to retain title. 
This prohibition does not extend to disclosure to other government 
agencies or contractors of government agencies under an obligation to 
maintain such information in confidence. This prohibition does not apply 
to documents published by the U.S. Patent and Trademark Office or any 
foreign patent office.
    (3) A number of agencies have policies to encourage public 
dissemination of the results of work supported by the agency through 
publication in government or other publications of technical

[[Page 932]]

reports of contractors or others. In recognition of the fact that such 
publication, if it included descriptions of a subject invention could 
create bars to obtaining patent protection, it is the policy of the 
executive branch that agencies will not include in such publication 
programs copies of disclosures of inventions submitted by small business 
firms or nonprofit organizations, pursuant to paragraph (c) of the 
standard clause found at Sec.401.14, except under the same 
circumstances under which agencies are authorized to release such 
information pursuant to FOIA requests under paragraph (c)(1) of this 
section agencies may publish such disclosures.
    (4) Nothing in this paragraph is intended to preclude agencies from 
including in the publication activities described in the first sentence 
of paragraph (c)(3), the publication of materials describing a subject 
invention to the extent such materials were provided as part of a 
technical report or other submission of the contractor which were 
submitted independently of the requirements of the patent rights 
provisions of the contract. However, if a small business firm or 
nonprofit organization notifies the agency that a particular report or 
other submission contains a disclosure of a subject invention to which 
it has elected title or may elect title, the agency shall use reasonable 
efforts to restrict its publication of the material for six months from 
date of its receipt of the report or submission or, if earlier, until 
the contractor has filed an initial patent application. Agencies, of 
course, retain the discretion to delay publication for additional 
periods of time.
    (5) Nothing in this paragraph is intended to limit the authority of 
agencies provided in 35 U.S.C. 205 in circumstances not specifically 
described in this paragraph.

[52 FR 8554, Mar. 18, 1987, as amended at 60 FR 41812, Aug. 14, 1995; 83 
FR 15961, Apr. 13, 2018]



Sec.401.14  Standard patent rights clauses.

    The following is the standard patent rights clause to be used as 
specified in Sec.401.3(a):

                         Standard Patent Rights

                             (a) Definitions

    (1) Invention means any invention or discovery which is or may be 
patentable or otherwise protectable under Title 35 of the United States 
Code, or any novel variety of plant which is or may be protected under 
the Plant Variety Protection Act (7 U.S.C. 2321 et seq.).
    (2) Subject invention means any invention of the contractor 
conceived or first actually reduced to practice in the performance of 
work under this contract, provided that in the case of a variety of 
plant, the date of determination (as defined in section 41(d) of the 
Plant Variety Protection Act, 7 U.S.C. 2401(d)) must also occur during 
the period of contract performance.
    (3) Practical Application means to manufacture in the case of a 
composition or product, to practice in the case of a process or method, 
or to operate in the case of a machine or system; and, in each case, 
under such conditions as to establish that the invention is being 
utilized and that its benefits are, to the extent permitted by law or 
government regulations, available to the public on reasonable terms.
    (4) Made when used in relation to any invention means the conception 
or first actual reduction to practice of such invention.
    (5) Small Business Firm means a small business concern as defined at 
section 2 of Pub. L. 85-536 (15 U.S.C. 632) and implementing regulations 
of the Administrator of the Small Business Administration. For the 
purpose of this clause, the size standards for small business concerns 
involved in government procurement and subcontracting at 13 CFR 121.3-8 
and 13 CFR 121.3-12, respectively, will be used.
    (6) Nonprofit Organization means a university or other institution 
of higher education or an organization of the type described in section 
501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C. 501(c) and 
exempt from taxation under section 501(a) of the Internal Revenue Code 
(25 U.S.C. 501(a)) or any nonprofit scientific or educational 
organization qualified under a state nonprofit organization statute.
    (7) The term statutory period means the one-year period before the 
effective filing date of a claimed invention during which exceptions to 
prior art exist per 35 U.S.C. 102(b) as amended by the Leahy-Smith 
America Invents Act, Public Law 112-29.
    (8) The term contractor means any person, small business firm or 
nonprofit organization, or, as set forth in section 1, paragraph (b)(4) 
of Executive Order 12591, as amended, any business firm regardless of 
size, which is a party to a funding agreement.

[[Page 933]]

                   (b) Allocation of Principal Rights

    The Contractor may retain the entire right, title, and interest 
throughout the world to each subject invention subject to the provisions 
of this clause and 35 U.S.C. 203. With respect to any subject invention 
in which the Contractor retains title, the Federal government shall have 
a nonexclusive, nontransferable, irrevocable, paid-up license to 
practice or have practiced for or on behalf of the United States the 
subject invention throughout the world.

    (c) Invention Disclosure, Election of Title and Filing of Patent 
                        Application by Contractor

    (1) The contractor will disclose each subject invention to the 
Federal Agency within two months after the inventor discloses it in 
writing to contractor personnel responsible for patent matters. The 
disclosure to the agency shall be in the form of a written report and 
shall identify the contract under which the invention was made and the 
inventor(s). It shall be sufficiently complete in technical detail to 
convey a clear understanding to the extent known at the time of the 
disclosure, of the nature, purpose, operation, and the physical, 
chemical, biological or electrical characteristics of the invention. The 
disclosure shall also identify any publication, on sale or public use of 
the invention and whether a manuscript describing the invention has been 
submitted for publication and, if so, whether it has been accepted for 
publication at the time of disclosure. In addition, after disclosure to 
the agency, the Contractor will promptly notify the agency of the 
acceptance of any manuscript describing the invention for publication or 
of any on sale or public use planned by the contractor.
    (2) The contractor will elect in writing whether or not to retain 
title to any such invention by notifying the Federal agency within two 
years of disclosure to the Federal agency. However, in any case where a 
patent, a printed publication, public use, sale, or other availability 
to the public has initiated the one year statutory period wherein valid 
patent protection can still be obtained in the United States, the period 
for election of title may be shortened by the agency to a date that is 
no more than 60 days prior to the end of the statutory period.
    (3) The contractor will file its initial patent application on a 
subject invention to which it elects to retain title within one year 
after election of title or, if earlier, prior to the end of any 
statutory period wherein valid patent protection can be obtained in the 
United States after a publication, on sale, or public use. If the 
contractor files a provisional application as its initial patent 
application, it shall file a non-provisional application within 10 
months of the filing of the provisional application. The contractor will 
file patent applications in additional countries or international patent 
offices within either ten months of the first filed patent application 
or six months from the date permission is granted by the Commissioner of 
Patents to file foreign patent applications where such filing has been 
prohibited by a Secrecy Order.
    (4) For any subject invention with Federal agency and contractor co-
inventors, where the Federal agency employing such co-inventor 
determines that it would be in the interest of the government, pursuant 
to 35 U.S.C. 207(a)(3), to file an initial patent application on the 
subject invention, the Federal agency employing such co-inventor, at its 
discretion and in consultation with the contractor, may file such 
application at its own expense, provided that the contractor retains the 
ability to elect title pursuant to 35 U.S.C. 202(a).
    (5) Requests for extension of the time for disclosure, election, and 
filing under paragraphs (1), (2), and (3) of this clause may, at the 
discretion of the Federal agency, be granted. When a contractor has 
requested an extension for filing a non-provisional application after 
filing a provisional application, a one-year extension will be granted 
unless the Federal agency notifies the contractor within 60 days of 
receiving the request.

           (d) Conditions When the Government May Obtain Title

    The contractor will convey to the Federal agency, upon written 
request, title to any subject invention--
    (1) If the contractor fails to disclose or elect title to the 
subject invention within the times specified in paragraph (c) of this 
clause, or elects not to retain title.
    (2) In those countries in which the contractor fails to file patent 
applications within the times specified in paragraph (c) of this clause; 
provided, however, that if the contractor has filed a patent application 
in a country after the times specified in paragraph (c) of this clause, 
but prior to its receipt of the written request of the Federal agency, 
the contractor shall continue to retain title in that country.
    (3) In any country in which the contractor decides not to continue 
the prosecution of any non-provisional patent application for, to pay a 
maintenance, annuity or renewal fee on, or to defend in a reexamination 
or opposition proceeding on, a patent on a subject invention.

(e) Minimum Rights to Contractor and Protection of the Contractor Right 
                                 to File

    (1) The contractor will retain a nonexclusive royalty-free license 
throughout the world in each subject invention to which the Government 
obtains title, except if the contractor fails to disclose the invention 
within

[[Page 934]]

the times specified in (c), above. The contractor's license extends to 
its domestic subsidiary and affiliates, if any, within the corporate 
structure of which the contractor is a party and includes the right to 
grant sublicenses of the same scope to the extent the contractor was 
legally obligated to do so at the time the contract was awarded. The 
license is transferable only with the approval of the Federal agency 
except when transferred to the sucessor of that party of the 
contractor's business to which the invention pertains.
    (2) The contractor's domestic license may be revoked or modified by 
the funding Federal agency to the extent necessary to achieve 
expeditious practical application of the subject invention pursuant to 
an application for an exclusive license submitted in accordance with 
applicable provisions at 37 CFR part 404 and agency licensing 
regulations (if any). This license will not be revoked in that field of 
use or the geographical areas in which the contractor has achieved 
practical application and continues to make the benefits of the 
invention reasonably accessible to the public. The license in any 
foreign country may be revoked or modified at the discretion of the 
funding Federal agency to the extent the contractor, its licensees, or 
the domestic subsidiaries or affiliates have failed to achieve practical 
application in that foreign country.
    (3) Before revocation or modification of the license, the funding 
Federal agency will furnish the contractor a written notice of its 
intention to revoke or modify the license, and the contractor will be 
allowed thirty days (or such other time as may be authorized by the 
funding Federal agency for good cause shown by the contractor) after the 
notice to show cause why the license should not be revoked or modified. 
The contractor has the right to appeal, in accordance with applicable 
regulations in 37 CFR part 404 and agency regulations (if any) 
concerning the licensing of Government-owned inventions, any decision 
concerning the revocation or modification of the license.

       (f) Contractor Action to Protect the Government's Interest

    (1) The contractor agrees to execute or to have executed and 
promptly deliver to the Federal agency all instruments necessary to (i) 
establish or confirm the rights the Government has throughout the world 
in those subject inventions to which the contractor elects to retain 
title, and (ii) convey title to the Federal agency when requested under 
paragraph (d) above and to enable the government to obtain patent 
protection throughout the world in that subject invention.
    (2) The contractor agrees to require, by written agreement, its 
employees, other than clerical and nontechnical employees, to disclose 
promptly in writing to personnel identified as responsible for the 
administration of patent matters and in a format suggested by the 
contractor each subject invention made under contract in order that the 
contractor can comply with the disclosure provisions of paragraph (c) of 
this clause, to assign to the contractor the entire right, title and 
interest in and to each subject invention made under contract, and to 
execute all papers necessary to file patent applications on subject 
inventions and to establish the government's rights in the subject 
inventions. This disclosure format should require, as a minimum, the 
information required by paragraph (c)(1) of this clause. The contractor 
shall instruct such employees through employee agreements or other 
suitable educational programs on the importance of reporting inventions 
in sufficient time to permit the filing of patent applications prior to 
U.S. or foreign statutory bars.
    (3) For each subject invention, the contractor will, no less than 60 
days prior to the expiration of the statutory deadline, notify the 
Federal agency of any decision: Not to continue the prosecution of a 
non-provisional patent application; not to pay a maintenance, annuity or 
renewal fee; not to defend in a reexamination or opposition proceeding 
on a patent, in any country; to request, be a party to, or take action 
in a trial proceeding before the Patent Trial and Appeals Board of the 
U.S. Patent and Trademark Office, including but not limited to post-
grant review, review of a business method patent, inter partes review, 
and derivation proceeding; or to request, be a party to, or take action 
in a non-trial submission of art or information at the U.S. Patent and 
Trademark Office, including but not limited to a pre-issuance 
submission, a post-issuance submission, and supplemental examination.
    (4) The contractor agrees to include, within the specification of 
any United States patent applications and any patent issuing thereon 
covering a subject invention, the following statement, ``This invention 
was made with government support under (identify the contract) awarded 
by (identify the Federal agency). The government has certain rights in 
the invention.''

                            (g) Subcontracts

    (1) The contractor will include this clause, suitably modified to 
identify the parties, in all subcontracts, regardless of tier, for 
experimental, developmental or research work to be performed by a 
subcontractor.. The subcontractor will retain all rights provided for 
the contractor in this clause, and the contractor will not, as part of 
the consideration for awarding the subcontract, obtain rights in the 
subcontractor's subject inventions.
    (2) The contractor will include in all other subcontracts, 
regardless of tier, for experimental developmental or research work the

[[Page 935]]

patent rights clause required by (cite section of agency implementing 
regulations or FAR).
    (3) In the case of subcontracts, at any tier, when the prime award 
with the Federal agency was a contract (but not a grant or cooperative 
agreement), the agency, subcontractor, and the contractor agree that the 
mutual obligations of the parties created by this clause constitute a 
contract between the subcontractor and the Federal agency with respect 
to the matters covered by the clause; provided, however, that nothing in 
this paragraph is intended to confer any jurisdiction under the Contract 
Disputes Act in connection with proceedings under paragraph (j) of this 
clause.

           (h) Reporting on Utilization of Subject Inventions

    The Contractor agrees to submit on request periodic reports no more 
frequently than annually on the utilization of a subject invention or on 
efforts at obtaining such utilization that are being made by the 
contractor or its licensees or assignees. Such reports shall include 
information regarding the status of development, date of first 
commercial sale or use, gross royalties received by the contractor, and 
such other data and information as the agency may reasonably specify. 
The contractor also agrees to provide additional reports as may be 
requested by the agency in connection with any march-in proceeding 
undertaken by the agency in accordance with paragraph (j) of this 
clause. As required by 35 U.S.C. 202(c)(5), the agency agrees it will 
not disclose such information to persons outside the government without 
permission of the contractor.

                (i) Preference for United States Industry

    Notwithstanding any other provision of this clause, the contractor 
agrees that neither it nor any assignee will grant to any person the 
exclusive right to use or sell any subject inventions in the United 
States unless such person agrees that any products embodying the subject 
invention or produced through the use of the subject invention will be 
manufactured substantially in the United States. However, in individual 
cases, the requirement for such an agreement may be waived by the 
Federal agency upon a showing by the contractor or its assignee that 
reasonable but unsuccessful efforts have been made to grant licenses on 
similar terms to potential licensees that would be likely to manufacture 
substantially in the United States or that under the circumstances 
domestic manufacture is not commercially feasible.

                           (j) March-in Rights

    The contractor agrees that with respect to any subject invention in 
which it has acquired title, the Federal agency has the right in 
accordance with the procedures in 37 CFR 401.6 and any supplemental 
regulations of the agency to require the contractor, an assignee or 
exclusive licensee of a subject invention to grant a nonexclusive, 
partially exclusive, or exclusive license in any field of use to a 
responsible applicant or applicants, upon terms that are reasonable 
under the circumstances, and if the contractor, assignee, or exclusive 
licensee refuses such a request the Federal agency has the right to 
grant such a license itself if the Federal agency determines that:
    (1) Such action is necessary because the contractor or assignee has 
not taken, or is not expected to take within a reasonable time, 
effective steps to achieve practical application of the subject 
invention in such field of use.
    (2) Such action is necessary to alleviate health or safety needs 
which are not reasonably satisfied by the contractor, assignee or their 
licensees;
    (3) Such action is necessary to meet requirements for public use 
specified by Federal regulations and such requirements are not 
reasonably satisfied by the contractor, assignee or licensees; or
    (4) Such action is necessary because the agreement required by 
paragraph (i) of this clause has not been obtained or waived or because 
a licensee of the exclusive right to use or sell any subject invention 
in the United States is in breach of such agreement.

    (k) Special Provisions for Contracts with Nonprofit Organizations

    If the contractor is a nonprofit organization, it agrees that:
    (1) Rights to a subject invention in the United States may not be 
assigned without the approval of the Federal agency, except where such 
assignment is made to an organization which has as one of its primary 
functions the management of inventions, provided that such assignee will 
be subject to the same provisions as the contractor;
    (2) The contractor will share royalties collected on a subject 
invention with the inventor, including Federal employee co-inventors 
(when the agency deems it appropriate) when the subject invention is 
assigned in accordance with 35 U.S.C. 202(e) and 37 CFR 401.10;
    (3) The balance of any royalties or income earned by the contractor 
with respect to subject inventions, after payment of expenses (including 
payments to inventors) incidential to the administration of subject 
inventions, will be utilized for the support of scientific research or 
education; and
    (4) It will make efforts that are reasonable under the circumstances 
to attract licensees of subject inventions that are small business firms 
and that it will give a preference to a small business firm when 
licensing a subject invention if the contractor determines that the 
small business firm has a plan or proposal for marketing the invention 
which, if

[[Page 936]]

executed, is equally as likely to bring the invention to practical 
application as any plans or proposals from applicants that are not small 
business firms; provided, that the contractor is also satisfied that the 
small business firm has the capability and resources to carry out its 
plan or proposal. The decision whether to give a preference in any 
specific case will be at the discretion of the contractor. However, the 
contractor agrees that the Federal agency may review the contractor's 
licensing program and decisions regarding small business applicants, and 
the contractor will negotiate changes to its licensing policies, 
procedures, or practices with the Federal agency when the Federal 
agency's review discloses that the contractor could take reasonable 
steps to implement more effectively the requirements of this paragraph 
(k)(4). In accordance with 37 CFR 401.7, the Federal agency or the 
contractor may request that the Secretary review the contractor's 
licensing program and decisions regarding small business applicants.

                            (l) Communication

    [Complete according to instructions at Sec.401.5(b)]


[52 FR 8554, Mar. 18, 1987, as amended at 69 FR 17301, Apr. 2, 2004; 83 
FR 15961, Apr. 13, 2018]



Sec.401.15  Deferred determinations.

    (a) This section applies to requests for greater rights in subject 
inventions made by contractors when deferred determination provisions 
were included in the funding agreement because one of the exceptions at 
Sec.401.3(a) was applied, except that the Department of Energy is 
authorized to process deferred determinations either in accordance with 
its waiver regulations or this section. A contractor requesting greater 
rights should include with its request information on its plans and 
intentions to bring the invention to practical application. Within 90 
days after receiving a request and supporting information, or sooner if 
a statutory bar to patenting is imminent, the agency should seek to make 
a determination. In any event, if a bar to patenting is imminent, unless 
the agency plans to file on its own, it shall authorize the contractor 
to file a patent application pending a determination by the agency. Such 
a filing shall normally be at the contractor's own risk and expense. 
However, if the agency subsequently refuses to allow the contractor to 
retain title and elects to proceed with the patent application under 
government ownership, it shall reimburse the contractor for the cost of 
preparing and filing the patent application.
    (b) If the circumstances of concerns which originally led the agency 
to invoke an exception under Sec.401.3(a) are not applicable to the 
actual subject invention or are no longer valid because of subsequent 
events, the agency should allow the contractor to retain title to the 
invention on the same conditions as would have applied if the standard 
clause at Sec.401.14 had been used originally, unless it has been 
licensed.
    (c) If paragraph (b) is not applicable the agency shall make its 
determination based on an assessment whether its own plans regarding the 
invention will better promote the policies and objectives of 35 U.S.C. 
200 than will contractor ownership of the invention. Moreover, if the 
agency is concerned only about specific uses or applications of the 
invention, it shall consider leaving title in the contractor with 
additional conditions imposed upon the contractor's use of the invention 
for such applications or with expanded government license rights in such 
applications.
    (d) A determination not to allow the contractor to retain title to a 
subject invention or to restrict or condition its title with conditions 
differing from those in the clause at Sec.401.14, unless made by the 
head of the agency, shall be appealable by the contractor to an agency 
official at a level above the person who made the determination. This 
appeal shall be subject to the procedures applicable to appeals under 
Sec.401.11.

[52 FR 8554, Mar. 18, 1987, as amended at 83 FR 15963, Apr. 13, 2018]



Sec.401.16  Electronic filing.

    Unless otherwise requested or directed by the agency,
    (a) The written report required in (c)(1) of the standard clause in 
Sec.401.14 shall be electronically filed;
    (b) The written election required in (c)(2) of the standard clause 
in Sec.401.14 shall be electronically filed; and
    (c) The close-out report in paragraph (f)(1) and the information 
identified in

[[Page 937]]

paragraphs (f)(2) and (3) of Sec.401.5 shall be electronically filed.
    (d) Other written notices required in the clause in Sec.401.14 may 
be electronically delivered to the agency or the contractor through an 
electronic database used for reporting subject inventions, patents, and 
utilization reports to the funding agency.

[60 FR 41812, Aug. 14, 1995, as amended at 83 FR 15963, Apr. 13, 2018]



Sec.401.17  Submissions and inquiries.

    All submissions or inquiries should be directed to the Chief Counsel 
for NIST, National Institute of Standards and Technology, 100 Bureau 
Drive, Mail Stop 1052, Gaithersburg, Maryland 20899-1052; telephone: 
(301) 975-2803; email: [email protected]. Information about and 
procedures for electronic filing under this part are available at the 
Interagency Edison website and service center, http://www.iedison.gov, 
telephone (301) 435-1986.

[83 FR 15963, Apr. 13, 2018]



PART 404_LICENSING OF GOVERNMENT-OWNED INVENTIONS--Table of Contents



Sec.
404.1 Scope of part.
404.2 Policy and objective.
404.3 Definitions.
404.4 Authority to grant licenses.
404.5 Restrictions and conditions on all licenses granted under this 
          part.
404.6 Nonexclusive licenses.
404.7 Exclusive, co-exclusive and partially exclusive licenses.
404.8 Application for a license.
404.9 [Reserved]
404.10 Modification and termination of licenses.
404.11 Appeals.
404.12 Protection and administration of inventions.
404.13 Transfer of custody.
404.14 Confidentiality of information.

    Authority: 35 U.S.C. 207-209, DOO 30-2A.

    Source: 50 FR 9802, Mar. 12, 1985, unless otherwise noted.



Sec.404.1  Scope of part.

    This part prescribes the terms, conditions, and procedures upon 
which a federally owned invention, other than an invention in the 
custody of the Tennessee Valley Authority, may be licensed. This part 
does not affect licenses which:
    (a) Were in effect prior to April 7, 2006;
    (b) May exist at the time of the Government's acquisition of title 
to the invention, including those resulting from the allocation of 
rights to inventions made under Government research and development 
contracts;
    (c) Are the result of an authorized exchange of rights in the 
settlement of patent disputes, including interferences; or
    (d) Are otherwise authorized by law or treaty, including 35 U.S.C. 
202(e), 35 U.S.C. 207(a)(3) and 15 U.S.C. 3710a, which also may 
authorize the assignment of inventions. Although licenses on inventions 
made under a cooperative research and development agreement (CRADA) are 
not subject to this regulation, agencies are encouraged to apply the 
same policies and use similar terms when appropriate. Similarly, this 
should be done for licenses granted under inventions where the agency 
has acquired rights pursuant to 35 U.S.C. 207(a)(3).

[71 FR 11512, Mar. 8, 2006]



Sec.404.2  Policy and objective.

    It is the policy and objective of this subpart to use the patent 
system to promote the utilization of inventions arising from federally 
supported research or development.



Sec.404.3  Definitions.

    (a) Government owned invention means an invention, whether or not 
covered by a patent or patent application, or discovery which is or may 
be patentable or otherwise protectable under Title 35, the Plant Variety 
Protection Act (7 U.S.C. 2321 et seq.) or foreign patent law, owned in 
whole or in part by the United States Government.
    (b) Federal agency means an executive department, military 
department, Government corporation, or independent establishment, except 
the Tennessee Valley Authority, which has custody of a federally owned 
invention.
    (c) Small business firm means a small business concern as defined in 
section 2

[[Page 938]]

of Pub. L. 85-536 (15 U.S.C. 632) and implementing regulations of the 
Administrator of the Small Business Administration.
    (d) Practical application means to manufacture in the case of a 
composition or product, to practice in the case of a process or method, 
or to operate in the case of a machine or system; and, in each case, 
under such conditions as to establish that the invention is being 
utilized and that its benefits are to the extent permitted by law or 
Government regulations available to the public on reasonable terms.
    (e) United States means the United States of America, its 
territories and possessions, the District of Columbia, and the 
Commonwealth of Puerto Rico.

[50 FR 9802, Mar. 12, 1985, as amended at 71 FR 11512, Mar. 8, 2006]



Sec.404.4  Authority to grant licenses.

    Federally owned inventions shall be made available for licensing as 
deemed appropriate in the public interest and each agency shall notify 
the public of these available inventions. The agencies having custody of 
these inventions may grant nonexclusive, co-exclusive, partially 
exclusive, or exclusive licenses thereto under this part. Licenses may 
be royalty-free or for royalties or other consideration. They may be for 
all or less than all fields of use or in specified geographic areas and 
may include a release for past infringement. Any license shall not 
confer on any person immunity from the antitrust laws or from a charge 
of patent misuse, and the exercise of such rights pursuant to this part 
shall not be immunized from the operation of state or federal law by 
reason of the source of the grant.

[71 FR 11512, Mar. 8, 2006]



Sec.404.5  Restrictions and conditions on all licenses granted under this part.

    (a)(1) A license may be granted only if the applicant has supplied 
the Federal agency with a satisfactory plan for development or marketing 
of the invention, or both, and with information about the applicant's 
capability to fulfill the plan. The plan for a non-exclusive research 
license may be limited to describing the research phase of development.
    (2) A license granting rights to use or sell under a Government 
owned invention in the United States shall normally be granted only to a 
licensee who agrees that any products embodying the invention or 
produced through the use of the invention will be manufactured 
substantially in the United States. However, this condition may be 
waived or modified if reasonable but unsuccessful efforts have been made 
to grant licenses to potential licensees that would be likely to 
manufacture substantially in the United States or if domestic 
manufacture is not commercially feasible.
    (b) Licenses shall contain such terms and conditions as the Federal 
agency determines are appropriate for the protection of the interests of 
the Federal Government and the public and are not in conflict with law 
or this part. The following terms and conditions apply to any license:
    (1) The duration of the license shall be for a period specified in 
the license agreement, unless sooner terminated in accordance with this 
part.
    (2) Any patent license may grant the licensee the right of 
enforcement of the licensed patent without joining the Federal agency as 
a party as determined appropriate in the public interest.
    (3) The license may extend to subsidiaries of the licensee or other 
parties if provided for in the license but shall be nonassignable 
without approval of the Federal agency, except to the successor of that 
part of the licensee's business to which the invention pertains.
    (4) The license may provide the licensee the right to grant 
sublicenses under the license, subject to the approval of the Federal 
agency. Each sublicense shall make reference to the license, including 
the rights retained by the Government, and a copy of such sublicense 
with any modifications thereto, shall be promptly furnished to the 
Federal agency.
    (5) The license shall require the licensee to carry out the plan for 
development or marketing of the invention, or both, to bring the 
invention to practical application within a reasonable time as specified 
in the license, and

[[Page 939]]

continue to make the benefits of the invention reasonably accessible to 
the public.
    (6) The license shall require the licensee to report periodically on 
the utilization or efforts at obtaining utilization that are being made 
by the licensee, with particular reference to the plan submitted but 
only to the extent necessary to enable the agency to determine 
compliance with the terms of the license.
    (7) Where an agreement is obtained pursuant to Sec.404.5(a)(2) 
that any products embodying the invention or produced through the use of 
the invention will be manufactured substantially in the United States, 
the license shall recite such an agreement.
    (8) The license shall provide for the right of the Federal agency to 
terminate the license, in whole or in part, if the agency determines 
that:
    (i) The licensee is not executing its commitment to achieve 
practical application of the invention, including commitments contained 
in any plan submitted in support of its request for a license and the 
licensee cannot otherwise demonstrate to the satisfaction of the Federal 
agency that it has taken, or can be expected to take within a reasonable 
time, effective steps to achieve practical application of the invention;
    (ii) Termination is necessary to meet requirements for public use 
specified by Federal regulations issued after the date of the license 
and such requirements are not reasonably satisfied by the licensee;
    (iii) The licensee has willfully made a false statement of or 
willfully omitted a material fact in the license application or in any 
report required by the license agreement;
    (iv) The licensee commits a substantial breach of a covenant or 
provision contained in the license agreement, including the requirement 
in Sec.404.5(a)(2); or
    (v) The licensee has been found by a court of competent jurisdiction 
to have violated the Federal antitrust laws in connection with its 
performance under the license agreement.
    (9) The license may be modified or terminated, consistent with this 
part, upon mutual agreement of the Federal agency and the licensee.
    (10) The license may be modified or terminated, consistent with this 
part, upon mutual agreement of the Federal agency and the licensee.
    (11) Nothing relating to the grant of a license, nor the grant 
itself, shall be construed to confer upon any person any immunity from 
or defenses under the antitrust laws or from a charge of patent misuse, 
and the acquisition and use of rights pursuant to this part shall not be 
immunized from the operation of state or Federal law by reason of the 
source of the grant.

[50 FR 9802, Mar. 12, 1985, as amended at 71 FR 11512, Mar. 8, 2006]



Sec.404.6  Nonexclusive licenses.

    Nonexclusive licenses may be granted under Government owned 
inventions without a public notice of a prospective license.

[71 FR 11513, Mar. 8, 2006]



Sec.404.7  Exclusive, co-exclusive and partially exclusive licenses.

    (a)(1) Exclusive, co-exclusive or partially exclusive domestic 
licenses may be granted on Government owned inventions, only if;
    (i) Notice of a prospective license, identifying the invention and 
the prospective licensee, has been published in the Federal Register or 
other appropriate manner, providing opportunity for filing written 
objections within at least a 15-day period;
    (ii) After expiration of the period in Sec.404.7(a)(1)(i) and 
consideration of any written objections received during the period, the 
Federal agency has determined that;
    (A) The public will be served by the granting of the license, in 
view of the applicant's intentions, plans and ability to bring the 
invention to the point of practical application or otherwise promote the 
invention's utilization by the public.
    (B) Exclusive, co-exclusive or partially exclusive licensing is a 
reasonable and necessary incentive to call

[[Page 940]]

forth the investment capital and expenditures needed to bring the 
invention to practical application or otherwise promote the invention's 
utilization by the public; and
    (C) The proposed scope of exclusivity is not greater than reasonably 
necessary to provide the incentive for bringing the invention to 
practical application, as proposed by the applicant, or otherwise to 
promote the invention's utilization by the public;
    (iii) The Federal agency has not determined that the grant of such a 
license will tend substantially to lessen competition or create or 
maintain a violation of the Federal antitrust laws; and
    (iv) The Federal agency has given first preference to any small 
business firms submitting plans that are determined by the agency to be 
within the capability of the firms and as having equal or greater 
likelihood as those from other applicants to bring the invention to 
practical application within a reasonable time.
    (2) In addition to the provisions of Sec.404.5, the following 
terms and conditions apply to domestic exclusive, co-exclusive and 
partially exclusive licenses:
    (i) The license shall be subject to the irrevocable, royalty-free 
right of the Government of the United States to practice or have 
practiced the invention on behalf of the United States and on behalf of 
any foreign government or international organization pursuant to any 
existing or future treaty or agreement with the United States.
    (ii) The license shall reserve to the Federal agency the right to 
require the licensee to grant sublicenses to responsible applicants, on 
reasonable terms, when necessary to fulfill health or safety needs.
    (iii) The license shall be subject to any licenses in force at the 
time of the grant of the exclusive, co-exclusive or partially exclusive 
license.
    (b)(1) Exclusive, co-exclusive or partially exclusive foreign 
licenses may be granted on a Government owned invention provided that;
    (i) Notice of a prospective license, identifying the invention and 
the prospective licensee, has been published in the Federal Register or 
other appropriate manner, providing opportunity for filing written 
objections within at least a 15-day period and following consideration 
of such objections received during the period;
    (ii) The agency has considered whether the interests of the Federal 
Government or United States industry in foreign commerce will be 
enhanced; and
    (iii) The Federal agency has not determined that the grant of such a 
license will tend substantially to lessen competition or create or 
maintain a violation of the Federal antitrust laws.
    (2) In addition to the provisions of Sec.404.5, the following 
terms and conditions apply to foreign exclusive, co-exclusive and 
partially exclusive licenses:
    (i) The license shall be subject to the irrevocable, royalty-free 
right of the Government of the United States to practice and have 
practiced the invention on behalf of the United States and on behalf of 
any foreign government or international organization pursuant to any 
existing or future treaty or agreement with the United States.
    (ii) The license shall be subject to any licenses in force at the 
time of the grant of the exclusive, co-exclusive or partially exclusive 
license.
    (iii) The license may grant the licensee the right to take any 
suitable and necessary actions to protect the licensed property, on 
behalf of the Federal Government.
    (c) Federal agencies shall maintain a record of determinations to 
grant exclusive, co-exclusive or partially exclusive licenses.

[71 FR 11513, Mar. 8, 2006, as amended at 83 FR 15963, Apr. 13, 2018]



Sec.404.8  Application for a license.

    (a) An application for a license should be addressed to the Federal 
agency having custody of the invention and shall normally include:
    (1) Identification of the invention for which the license is desired 
including the patent application serial number or patent number, title, 
and date, if known;
    (2) Identification of the type of license for which the application 
is submitted;
    (3) Name and address of the person, company, or organization 
applying for

[[Page 941]]

the license and the citizenship or place of incorporation of the 
applicant;
    (4) Name, address, and telephone number of the representative of the 
applicant to whom correspondence should be sent;
    (5) Nature and type of applicant's business, identifying products or 
services which the applicant has successfully commercialized, and 
approximate number of applicant's employees;
    (6) Source of information concerning the availability of a license 
on the invention;
    (7) A statement indicating whether the applicant is a small business 
firm as defined in Sec.404.3(c);
    (8) A detailed description of applicant's plan for development or 
marketing of the invention, or both, which should include:
    (i) A statement of the time, nature and amount of anticipated 
investment of capital and other resources which applicant believes will 
be required to bring the invention to practical application;
    (ii) A statement as to applicant's capability and intention to 
fulfill the plan, including information regarding manufacturing, 
marketing, financial, and technical resources;
    (iii) A statement of the fields of use for which applicant intends 
to practice the invention; and
    (iv) A statement of the geographic areas in which applicant intends 
to manufacture any products embodying the invention and geographic areas 
where applicant intends to use or sell the invention, or both;
    (9) Identification of licenses previously granted to applicant under 
federally owned inventions;
    (10) A statement containing applicant's best knowledge of the extent 
to which the invention is being practiced by private industry or 
Government, or both, or is otherwise available commercially; and
    (11) Any other information which applicant believes will support a 
determination to grant the license to applicant.
    (b) An executed CRADA which provides for the use for research and 
development purposes by the CRADA collaborator under that CRADA of a 
Federally-owned invention in the Federal laboratory's custody (pursuant 
to 35 U.S.C. 209 and 15 U.S.C. 3710a(b)(1)), and which addresses the 
information in paragraph (a) of this section, may be treated by the 
Federal laboratory as an application for a license.

[83 FR 15963, Apr. 13, 2018]



Sec.404.9  [Reserved]



Sec.404.10  Modification and termination of licenses.

    Before modifying or terminating a license, other than by mutual 
agreement, the Federal agency shall furnish the licensee and any 
sublicensee of record a written notice of intention to modify or 
terminate the license, and the licensee shall be allowed 30 days after 
such notice to remedy any breach of the license or show cause why the 
license shall not be modified or terminated.

[71 FR 11514, Mar. 8, 2006]



Sec.404.11  Appeals.

    (a) In accordance with procedures prescribed by the Federal agency, 
the following parties may appeal to the agency head or designee any 
decision or determination concerning the grant, denial, modification, or 
termination of a license:
    (1) A person whose application for a license has been denied;
    (2) A licensee whose license has been modified or terminated, in 
whole or in part; or
    (3) A person who timely filed a written objection in response to the 
notice required by Sec.404.7(a)(1)(i) or Sec.404.7(b)(1)(i) and who 
can demonstrate to the satisfaction of the Federal agency that such 
person may be damaged by the agency action.
    (b) An appeal by a licensee under paragraph (a)(2) of this section 
may include a hearing, upon the request of the licensee, to address a 
dispute over any relevant fact. The parties may agree to Alternate 
Dispute Resolution in lieu of an appeal.

[71 FR 11514, Mar. 8, 2006]



Sec.404.12  Protection and administration of inventions.

    A Federal agency may take any suitable and necessary steps to 
protect and

[[Page 942]]

administer rights to Government owned inventions, either directly or 
through contract.

[71 FR 11514, Mar. 8, 2006]



Sec.404.13  Transfer of custody.

    A Federal agency having custody of a federally owned invention may 
transfer custody and administration, in whole or in part, to another 
Federal agency, of the right, title, or interest in such invention.



Sec.404.14  Confidentiality of information.

    Title 35, United States Code, section 209, requires that any plan 
submitted pursuant to Sec.404.8(h) and any report required by Sec.
404.5(b)(6) shall be treated as commercial or financial information 
obtained from a person and privileged and confidential and not subject 
to disclosure under section 552 of Title 5 of the United States Code.

[71 FR 11514, Mar. 8, 2006]



PART 501_UNIFORM PATENT POLICY FOR RIGHTS IN INVENTIONS MADE BY 
GOVERNMENT EMPLOYEES--Table of Contents



Sec.
501.1 Purpose.
501.2 Scope.
501.3 Definitions.
501.4 Determination of inventions and rights.
501.5 Agency liaison officer.
501.6 Criteria for the determination of rights in and to inventions.
501.7 Agency determination.
501.8 Appeals by employees.
501.9 Patent protection.
501.10 Dissemination of this part and of implementing regulations.
501.11 Submissions and inquiries.

    Authority: Sec. 4, E.O. 10096, 3 CFR, 1949-1953 Comp., p. 292, as 
amended by E.O. 10930, 3 CFR, 1959-1963 Comp., p. 456 and by E.O. 10695, 
3 CFR, 1954-1958 Comp., p. 355, DOO 30-2A.

    Source: 53 FR 39735, Oct. 11, 1988, unless otherwise noted.

    Editorial Note: At 78 FR 4766, Jan. 23, 2013, parts 500-599 were 
transferred from Title 37, Chapter V, to Title 37, Chapter IV. Chapter V 
was removed and reserved.



Sec.501.1  Purpose.

    The purpose of this part is to provide for the administration of a 
uniform patent policy for the Government with respect to the rights in 
inventions made by Government employees and to prescribe rules and 
regulations for implementing and effectuating such policy.

[61 FR 40999, Aug. 7, 1996]



Sec.501.2  Scope.

    This part applies to any invention made by a Government employee and 
to any action taken with respect thereto.



Sec.501.3  Definitions.

    (a) The term Secretary, as used in this part, means the Director of 
the National Institute of Standards and Technology.
    (b) The term Government agency, as used in this part, means any 
Executive department or independent establishment of the Executive 
branch of the Government (including any independent regulatory 
commission or board, any corporation wholly owned by the United States, 
and the Smithsonian Institution), but does not include the Department of 
Energy for inventions made under the provisions of 42 U.S.C. 2182, the 
Tennessee Valley Authority, or the Postal Service.
    (c) The term Government employee, as used in this part, means any 
officer or employee, civilian or military, of any Government agency, 
including any special Government employee as defined in 18 U.S.C. 202 or 
an individual working for a Federal agency pursuant to the 
Intergovernmental Personnel Act (IPA), 5 U.S.C. 1304 and 3371-3376, or a 
part-time consultant or part-time employee as defined in 29 U.S.C. 
2101(a)(8) except as may otherwise be provided by agency regulation 
approved by the Secretary.
    (d) The term invention, as used in this part, means any art or 
process, machine, manufacture, design, or composition of matter, or any 
new and useful improvement thereof, or any variety of plant, which is or 
may be patentable under the patent laws of the United States.

[[Page 943]]

    (e) The term made as used in this part in relation to any invention, 
means the conception or first actual reduction to practice of such 
invention as stated in In re King, 3 USPQ2d (BNA) 1747 (Comm'r Pat. 
1987).

[61 FR 40999, Aug. 7, 1996, as amended at 78 FR 4766, Jan. 23, 2013]



Sec.501.4  Determination of inventions and rights.

    Each Government agency has the approval of the Secretary to 
determine whether the results of research, development, or other 
activity in the agency constitute an invention within the purview of 
Executive Order 10096, as amended by Executive Order 10930 and Executive 
Order 10695, and to determine the rights in and to the invention in 
accordance with the provisions of Sec. Sec.501.6 and 501.7.

[61 FR 40999, Aug. 7, 1996]



Sec.501.5  Agency liaison officer.

    Each Government agency shall designate a liaison officer to 
represent the agency before the Secretary; Provided, however, that the 
Departments of the Army, the Navy, and the Air Force may each designate 
a liaison officer.



Sec.501.6  Criteria for the determination of rights in and to inventions.

    (a) The following rules shall be applied in determining the 
respective rights of the Government and of the inventor in and to any 
invention that is subject to the provisions of this part:
    (1) The Government shall obtain, except as herein otherwise 
provided, the entire right, title and interest in and to any invention 
made by any Government employee:
    (i) During working hours, or
    (ii) With a contribution by the Government of facilities, equipment, 
materials, funds or information, or of time or services of other 
Government employees on official duty, or
    (iii) Which bears a direct relation to or is made in consequence of 
the official duties of the inventor.
    (2) In any case where the contribution of the Government, as 
measured by any one or more of the criteria set forth in paragraph 
(a)(1) of this section, to the invention is insufficient equitably to 
justify a requirement of assignment to the Government of the entire 
right, title and interest in and to such invention, or in any case where 
the Government has insufficient interest in an invention to obtain the 
entire right, title and interest therein (although the Government could 
obtain same under paragraph (a)(1) of this section), the Government 
agency concerned shall leave title to such invention in the employee, 
subject however, to the reservation to the Government of a nonexclusive, 
irrevocable, royalty-free license in the invention with power to grant 
licenses for all governmental purposes. The terms of such reservation 
will appear, where practicable, in any patent, domestic or foreign, 
which may issue on such invention. Reference is made to section 15 of 
the Federal Technology Transfer Act of 1986 (15 U.S.C. 3710d) which 
requires a Government agency to allow the inventor to retain title to 
any covered invention when the agency does not intend to file a patent 
application or otherwise promote commercialization.
    (3) In applying the provisions of paragraphs (a)(1) and (2) of this 
section to the facts and circumstances relating to the making of a 
particular invention, it shall be presumed that an invention made by an 
employee who is employed or assigned:
    (i) To invent or improve or perfect any art or process, machine, 
design, manufacture, or composition of matter;
    (ii) To conduct or perform research, development work, or both,
    (iii) To supervise, direct, coordinate, or review Government 
financed or conducted research, development work, or both, or
    (iv) To act in a liaison capacity among governmental or non-
governmental agencies or individuals engaged in such research or 
development work,

falls within the provisions of paragraph (a)(1) of this section, and it 
shall be presumed that any invention made by any other employee falls 
within the provisions of paragraph (a)(2) of this section. Either 
presumption may be rebutted by a showing of the facts and circumstances 
in the case and shall not preclude a determination that these facts and 
circumstances justify leaving

[[Page 944]]

the entire right, title and interest in and to the invention in the 
Government employee, subject to law.
    (4) In any case wherein the Government neither:
    (i) Obtains the entire right, title and interest in and to an 
invention pursuant to the provisions of paragraph (a)(1) of this section 
nor
    (ii) Reserves a nonexclusive, irrevocable, royalty-free license in 
the invention, with power to grant licenses for all governmental 
purposes, pursuant to the provisions of paragraph (a)(2) of this 
section,

the Government shall leave the entire right, title and interest in and 
to the invention in the Government employee, subject to law.

[53 FR 39735, Oct. 11, 1988, as amended at 61 FR 40999, Aug. 7, 1996]



Sec.501.7  Agency determination.

    (a) If the agency determines that the Government is entitled to 
obtain title pursuant to Sec.501.6(a)(1) and the employee does not 
appeal, no further review is required.
    (b) In the event that a Government agency determines, pursuant to 
paragraph (a)(2) or (a)(4) of Sec.501.6, that title to an invention 
will be left with the employee, the agency shall notify the employee of 
this determination. In cases pursuant to Sec.501.6(a)(2) where the 
Government's insufficient interest in the invention is evidenced by its 
decision not to file a patent application, the agency may impose on the 
employee any one or all of the following conditions or any other 
conditions that may be necessary in a particular case:
    (1) That a patent application be filed in the United States and/or 
abroad, if the Government has determined that it has or may need to 
practice the invention;
    (2) That the invention not be assigned to any foreign-owned or 
controlled corporation without the written permission of the agency; and
    (3) That any assignment or license of rights to use or sell the 
invention in the United States shall contain a requirement that any 
products embodying the invention or produced through the use of the 
invention be substantially manufactured in the United States. The agency 
shall notify the employee of any conditions imposed.
    (c) In the case of a determination under either paragraph (a) or (b) 
of this section, the agency shall promptly provide the employee with:
    (1) A signed and dated statement of its determination and reasons 
therefor; and
    (2) A copy of 37 CFR part 501.

[53 FR 39735, Oct. 11, 1988, as amended at 61 FR 40999, Aug. 7, 1996]



Sec.501.8  Appeals by employees.

    (a) Any Government employee who is aggrieved by a Government agency 
determination pursuant to Sec. Sec.501.6(a)(1) or (a)(2), may obtain a 
review of any agency determination by filing, within 30 days (or such 
longer period as the Secretary may, for good cause shown in writing, fix 
in any case) after receiving notice of such determination, two copies of 
an appeal with the Secretary. The Secretary then shall forward one copy 
of the appeal to the liaison officer of the Government agency.
    (b) On receipt of a copy of an appeal filed pursuant to paragraph 
(a) of this section, the agency liaison officer shall, subject to 
considerations of national security, or public health, safety or 
welfare, promptly furnish both the Secretary and the inventor with a 
copy of a report containing the following information about the 
invention involved in the appeal:
    (1) A copy of the agency's statement specified in Sec.501.7(c);
    (2) A description of the invention in sufficient detail to identify 
the invention and show its relationship to the employee's duties and 
work assignments;
    (3) The name of the employee and employment status, including a 
detailed statement of official duties and responsibilities at the time 
the invention was made; and
    (4) A detailed statement of the points of dispute or controversy, 
together with copies of any statements or written arguments filed with 
the agency, and of any other relevant evidence that the agency 
considered in making its determination of Government interest.
    (c) Within 25 days (or such longer period as the Secretary may, for 
good cause shown, fix in any case) after the

[[Page 945]]

transmission of a copy of the agency report to the employee, the 
employee may file a reply with the Secretary and file one copy with the 
agency liaison officer.
    (d) After the time for the inventor's reply to the Government 
agency's report has expired and if the inventor has so requested in his 
or her appeal, a date will be set for hearing of oral arguments before 
the Secretary, by the employee (or by an attorney whom he or she 
designates by written power of attorney filed before, or at the hearing) 
and a representative of the Government agency involved. Unless it shall 
be otherwise ordered before the hearing begins, oral arguments will be 
limited to thirty minutes for each side. The employee need not retain an 
attorney or request an oral hearing to secure full consideration of the 
facts and his or her arguments. The employee may expedite such 
consideration by notifying the Secretary when he or she does not intend 
to file a reply to the agency report.
    (e) After a hearing on the appeal, if a hearing was requested, or 
after expiration of the period for the inventor's reply to the agency 
report if no hearing is set, the Secretary shall issue a decision on the 
matter within 120 days, which decision shall be final after a thirty day 
period for requesting reconsideration expires or on the date that a 
decision on a petition for reconsideration is finally disposed of. Any 
request for reconsideration or modification of the decision must be 
filed within 30 days from the date of the original decision (or within 
such an extension thereof as may be set by the Secretary before the 
original period expires). The decision of the Secretary shall be made 
after consideration of the statements of fact in the employee's appeal, 
the agency's report, and the employee's reply, but the Secretary at his 
or her discretion and with due respect to the rights and convenience of 
the inventor and the Government agency, may call for further statements 
on specific questions of fact or may request additional evidence in the 
form of affidavits or depositions on specific facts in dispute.

[53 FR 39735, Oct. 11, 1988, as amended at 61 FR 41000, Aug. 7, 1996]



Sec.501.9  Patent protection.

    (a) A Government agency, upon determining that an invention coming 
within the scope of Sec. Sec.501.6(a)(1) or (a)(2) has been made, 
shall promptly determine whether patent protection will be sought in the 
United States by or on behalf of the agency for such invention. A 
controversy over the respective rights of the Government and of the 
employee shall not unnecessarily delay the filing of a patent 
application by the agency to avoid the loss of patent rights. In cases 
coming within the scope of Sec.501.6(a)(2), the filing of a patent 
application shall be contingent upon the consent of the employee.
    (b) Where there is an appealed dispute as to whether Sec. Sec.
501.6 (a)(1) or (a)(2) applies in determining the respective rights of 
the Government and of an employee in and to any invention, the agency 
may determine whether patent protection will be sought in the United 
States pending the Secretary's decision on the dispute. If the agency 
decides that an application for patent should be filed, the agency will 
take such rights as are specified in Sec.501.6(a)(2), but this shall 
be without prejudice to acquiring the rights specified in paragraph 
(a)(1) of that section should the Secretary so decide.
    (c) Where an agency has determined to leave title to an invention 
with an employee under Sec.501.6(a)(2), the agency will, upon the 
filing of an application for patent, take the rights specified in that 
paragraph without prejudice to the subsequent acquisition by the 
Government of the rights specified in paragraph (a)(1) of that section 
should the Secretary so decide.
    (d) Where an agency has filed a patent application in the United 
States, the agency will, within 8 months from the filing date of the 
U.S. application, determine if any foreign patent applications should 
also be filed. If the agency chooses not to file an application in any 
foreign country, the employee may request rights in that country subject 
to the conditions stated in Sec.501.7(b) that may be imposed by the 
agency. Alternatively, the agency

[[Page 946]]

may permit the employee to retain foreign rights by including in any 
assignment to the Government of an unclassified U.S. patent application 
on the invention an option for the Government to acquire title in any 
foreign country within 8 months from the filing date of the U.S. 
application.

[61 FR 41000, Aug. 7, 1996]



Sec.501.10  Dissemination of this part and of implementing regulations.

    Each Government agency shall disseminate to its employees the 
provisions of this part, and any appropriate implementing agency 
regulations and delegations. Copies of any such regulations shall be 
sent to the Secretary. If the Secretary identifies an inconsistency 
between this part and the agency regulations or delegations, the agency, 
upon being informed by the Secretary of the inconsistency, shall take 
prompt action to correct it.



Sec.501.11  Submissions and inquiries.

    All submissions or inquiries should be directed to the Chief Counsel 
for NIST, National Institute of Standards and Technology, 100 Bureau 
Drive, Mail Stop 1052, Gaithersburg, MD 20899-1052; telephone: (301) 
975-2803; email: [email protected].

[78 FR 4766, Jan. 23, 2013]

                        PARTS 502	599 [RESERVED]



                          CHAPTER V [RESERVED]



[[Page 947]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of current CFR titles, subtitles, chapters, subchapters and 
parts and an alphabetical list of agencies publishing in the CFR are 
included in the CFR Index and Finding Aids volume to the Code of Federal 
Regulations, which is published separately and revised annually.


  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 949]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2021)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Department of Housing and Urban Development (Parts 
                2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 950]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600--3699)

[[Page 951]]

    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  U.S. International Development Finance Corporation 
                (Parts 4300--4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)

[[Page 952]]

     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)
        CI  National Mediation Board (Parts 10100--10199)
       CII  U.S. Office of Special Counsel (Parts 10200--10299)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Agricultural Marketing Service (Federal Grain 
                Inspection Service, Fair Trade Practices Program), 
                Department of Agriculture (Parts 800--899)

[[Page 953]]

        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  (Parts 1600--1699) [Reserved]
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  (Parts 2200--2299) [Reserved]
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

[[Page 954]]

         L  Rural Business-Cooperative Service, and Rural 
                Utilities Service, Department of Agriculture 
                (Parts 5000--5099)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Agricultural Marketing Service (Fair Trade Practices 
                Program), Department of Agriculture (Parts 200--
                299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  (Parts 500--599) [Reserved]
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  (Parts 900--999) [Reserved]
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)

[[Page 955]]

        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research, Department of the 
                Treasury (Parts 1600--1699)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)

[[Page 956]]

      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  National Technical Information Service, Department of 
                Commerce (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
        XV  Office of the Under-Secretary for Economic Affairs, 
                Department of Commerce (Parts 1500--1599)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399) [Reserved]

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599) [Reserved]

[[Page 957]]

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Agency for Global Media (Parts 500--599)
       VII  U.S. International Development Finance Corporation 
                (Parts 700--799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millennium Challenge Corporation (Parts 1300--1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

[[Page 958]]

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799) 
                [Reserved]
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]

[[Page 959]]

        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900--999)
        VI  Office of the Assistant Secretary, Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--799)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)

[[Page 960]]

        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance

[[Page 961]]

         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Department of Defense, Defense Logistics Agency (Parts 
                1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army, Department 
                of Defense (Parts 200--399)
        IV  Great Lakes St. Lawrence Seaway Development 
                Corporation, Department of Transportation (Parts 
                400--499)

[[Page 962]]

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Career, Technical, and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  (Parts 1100--1199) [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)

[[Page 963]]

       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)
        IX  Federal Permitting Improvement Steering Council (Part 
                1900)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
   62--100  [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
  103--104  [Reserved]
       105  General Services Administration (Parts 105-1--105-999)

[[Page 964]]

       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
   II--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

[[Page 965]]

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
        IX  Denali Commission (Parts 900--999)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Administration for Children and Families, Department 
                of Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission of Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Parts 2300--2399)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

[[Page 966]]

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)

[[Page 967]]

        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199) [Reserved]
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399) 
                [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (Parts 
                400--499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)

[[Page 968]]

        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 969]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2021)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, VIII, IX, X, XI; 9, 
                                                  II
Agricultural Research Service                     7, V
Agriculture, Department of                        2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, VIII, IX, X, XI; 9, 
                                                  II
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  National Institute of Food and Agriculture      7, XXXIV
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force, Department of                          32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 970]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI; 38, II
Army, Department of                               32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
  Federal Acquisition Regulation                  48, 19
Career, Technical, and Adult Education, Office    34, IV
     of
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazard Investigation Board    40, VI
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce, Department of                           2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Affairs, Office of the Under-          15, XV
       Secretary for
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense, Department of                            2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I

[[Page 971]]

  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy, Department of                             32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Denali Commission                                 45, IX
Disability, National Council on                   5, C; 34, XII
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Office of the Under-Secretary   15, XV
     for
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical, and Adult Education, Office  34, IV
       of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Policy, National Commission for        1, IV
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 5, XXIII; 10, II, 
                                                  III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, II
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
     States
[[Page 972]]

Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    5, LXXX; 12, XII
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Permitting Improvement Steering Council   40, IX
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102

[[Page 973]]

  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes St. Lawrence Seaway Development       33, IV
     Corporation
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Housing and Urban Development, Department of      2, XXIV; 5, LXV; 24, 
                                                  Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
   Secretary
[[Page 974]]

Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior, Department of                           2, XIV
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Environmental Enforcement, Bureau    30, II
       of
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Development Finance Corporation,    5, XXXIII; 22, VII
     U.S.
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
Investment Security, Office of                    31, VIII
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice, Department of                            2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor, Department of                              2, XXIX; 5, XLII
  Benefits Review Board                           20, VII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Federal Acquisition Regulation                  48, 29

[[Page 975]]

  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, VI
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Libraries and Information Science, National       45, XVII
     Commission on
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV, VI
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          5, CI; 29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       2, XXV; 5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI; 47, II

[[Page 976]]

National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resource Revenue, Office of               30, XII
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy, Department of                               32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, IV, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory Commission                      5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Contracts, Department of Labor             41, 50
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Utilities Service                           7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of   30, II
Science and Technology Policy, Office of, and     32, XXIV; 47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
   Office of
[[Page 977]]

State, Department of                              2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Great Lakes St. Lawrence Seaway Development     33, IV
       Corporation
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury, Department of the                       2, X; 5, XXI; 12, XV; 17, 
                                                  IV; 31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
Truman, Harry S. Scholarship Foundation           45, XVIII
United States Agency for Global Media             22, V
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
U.S. Copyright Office                             37, II
U.S. Office of Special Counsel                    5, CII
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs, Department of                   2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 979]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2016 are enumerated in the following list. Entries indicate the 
nature of the changes effected. Page numbers refer to Federal Register 
pages. The user should consult the entries for chapters, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.govinfo.gov. For changes to this volume of the 
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. 
The ``List of CFR Sections Affected 1986-2000'' is available at 
www.govinfo.gov.

                                  2016

37 CFR
                                                                   81 FR
                                                                    Page
Chapter I
2 Technical correction.............................................78042
2.6 Revised........................................................72706
2.92 Revised.......................................................69971
2.98 Amended.......................................................69971
2.99 (c), (d) and (f)(3) revised...................................69971
2.101 Revised......................................................69971
2.102 (a), (b), (c)(1) and (2) revised; (c)(3) amended; (d) added 
                                                                   69972
2.104 (a) revised; (c) added.......................................69972
2.105 Revised......................................................69972
2.106 (a) and (b) revised..........................................69973
2.107 Revised......................................................69973
2.111 Revised......................................................69973
2.112 Revised......................................................69974
2.113 Revised......................................................69974
2.114 Revised......................................................69974
2.116 (c), (e), (f) and (g) revised................................69975
2.117 (c) revised..................................................69975
2.118 Revised......................................................69975
2.119 Revised......................................................69975
2.120 Revised......................................................69976
2.121 Heading, (a), (c), (d) and (e) revised.......................69979
2.122 (a) through (e) revised; (g) added...........................69980
2.123 (a), (b), (c) and (e) through (k) revised; (l) removed.......69981
    (a)(2) corrected...............................................89383
2.124 (b)(2), (d)(1) and (f) revised; (b)(3) and (d)(3) added......69982
    (d)(1) and (f) corrected.......................................89383
2.125 Revised......................................................69983
2.126 Revised......................................................69983
    (c) corrected..................................................89383
2.127 (a) through (e) revised......................................69983
2.128 (a)(3) and (b) revised.......................................69984
2.129 (a), (b) and (c) revised.....................................69984
2.130 Revised......................................................69985
2.131 Revised......................................................69985
2.132 (a) and (b) revised..........................................69985
2.134 (b) revised..................................................69985
2.136 Revised......................................................69985
2.142 (b) through (e), (f)(1) through (4) and (6) revised..........69985
2.145 Revised......................................................69986
    (d)(1) and (3) corrected.......................................89383
2.190 (a), (b) and (c) revised.....................................69987
2.191 Revised......................................................69987
2.195 (d)(3) revised...............................................69988
2.200 (b) revised..................................................72707
2.208 (a) revised..................................................72707
6.1 Revised........................................................76869
7 Technical correction.............................................78042
7.6 Revised........................................................72707
11 Authority citation revised......................................33596
11.1 Amended.......................................................33596
11.16 Added........................................................33596
11.17 Added........................................................33597
42 Authority citation revised......................................18765
42.11 Revised......................................................18765
42.23 (b) revised..................................................18765
42.24 Revised......................................................18765
    (a)(1) corrected...............................................24703

[[Page 980]]

42.70 (b) revised..................................................18765
42.100 (b) revised.................................................18766
42.107 (a) revised; (c) removed....................................18766
42.108 (c) revised.................................................18766
42.200 (b) revised.................................................18766
42.207 (a) revised; (c) removed....................................18766
42.208 (c) revised.................................................18766
42.300 (b) revised.................................................18766
Chapter II
201.3 (c)(17) revised..............................................75707
201.38 Revised.....................................................75707
202.5 (b)(3) and (c)(3) amended....................................62373
Chapter III
351.1 (b)(4) revised................................................8650
370.4 (a) and (b) revised..........................................31510
    (b) amended; (d)(2)(vi), (vii), (3)(i) and (ii) revised........40190
    (b) amended....................................................89868
380 Heading revised................................................26406
380.1--380.7 (Subpart A) Revised...................................26406
380.10 (Subpart B) Revised.........................................26409
    (a) revised; (c) amended.......................................87456
380.22 (b)(1), (2), (3) and (c) revised............................26409
380.23 (b)(1) revised..............................................26409
380.30--380.37 (Subpart D) Heading revised.........................26409
380.33 (b)(1) revised..............................................26409
381.5 (c)(3)(v) revised............................................84478
386.2 (b)(1)(viii) and (2)(viii) added.............................84479
387 Added..........................................................62813
388 Added..........................................................83141

                                  2017

37 CFR
                                                                   82 FR
                                                                    Page
Chapter I
1.16 (a) through (f) and (h) through (r) revised...................52813
1.17 (e), (h), (m), (p), and (t) revised...........................52814
1.18 (a), (b), and (c) revised.....................................52814
1.19 (b) introductory text, (1), (4), (c), and (f) revised; 
        (b)(2), (d), (e), and (g) removed; (h) through (l) added 
                                                                   52814
1.20 (a), (b), (c), (e), (f), and (g) revised......................52815
1.21 Revised.......................................................52815
1.362 (b) revised..................................................52816
1.445 (a)(5) added.................................................52816
1.453 Added........................................................24252
1.482 Heading revised; (c) added...................................52816
1.492 (a), (b)(2), (3), (4), (c) introductory text, (2), (d), (e), 
        and (f) revised............................................52816
1.1031 (a) revised; (f) added......................................52816
2.64 Added; eff. 7-8-17............................................29407
2.66 Revised; eff. 7-8-17..........................................29408
2.120 (f)(1) and (i)(1) revised....................................33805
2.127 (e)(1) revised...............................................33806
2.146 Revised; eff. 7-8-17.........................................29409
2.161 (h) revised...................................................6265
    Regulation at 82 FR 6265 eff. date delayed to 3-21-17..........10273
6.1 Revised........................................................56889
7.37 (h) revised....................................................6265
    Regulation at 82 FR 6265 eff. date delayed to 3-21-17..........10273
41.20 (b)(4) revised...............................................52817
42.15 (a) and (b) revised..........................................52817
42.57 Added........................................................51575
Chapter II
201.1 Heading revised; (c)(8) added.................................9007
    (a), (b)(2), (c)(1), (2) and (4) through (7) amended............9355
    (c)(3) removed; (c)(4) through (8) redesignated as (c)(3) 
through (7)........................................................21697
201.2 (e) and (f) added.............................................9007
    (b)(4) introductory text, (i), (ii) and undesignated text 
preceding (5) redesignated as (b)(4)(i), (A), (B) and (ii); 
(b)(1), (3) introductory text, (i)(C), new (4)(i) introductory 
text, new (ii) and (d)(1)(iv) amended; (b)(7) revised...............9355
    (b)(5) amended.................................................21697
201.3 (c)(19) added.................................................9008
    (c)(3), (9), (11), (d) heading, (6) and (e) table amended; 
(e)(3) removed; (e)(4) through (8) redesignated as new (e)(3) 
through (7).........................................................9356
    (c)(2) revised; eff. 7-31-17...................................29413
    (c)(9) revised; eff. 7-17-17...................................27427
    (c)(16) revised................................................52223
    (d)(5) revised; interim; eff. 7-12-17..........................26853
    Regulation at 82 FR 26853 comment period extended..............56890

[[Page 981]]

201.4 (a)(1) introductory text, (2), (3)(ii), (b), 
        (c)(4)(ii)(D)(4), (iii) and (e) amended; (a)(1)(iv) 
        removed; (a)(1)(v) and (vi) redesignated as new (a)(1)(iv) 
        and (v).....................................................9356
    Revised; interim...............................................52219
201.5 (a)(1) introductory text, (i)(A), (ii), (b)(2)(i), (iii)(B) 
        and (c)(2) amended..........................................9356
    Removed; eff. 7-17-17..........................................27427
201.6 (a), (b)(3), (c)(1), (2), (3) and (d) amended.................9356
201.7 (c)(1), (2) and (d) amended...................................9356
    (c)(4)(ix) removed; (c)(4)(x) and (xi) redesignated as 
(c)(4)(ix) and (x); new (c)(4)(xi) added; (c)(4) introductory 
text, (i), (ii), (iii) through (viii) and new (ix) amended; eff. 
7-31-17............................................................29413
201.8 (c)(1) introductory text, (i), (d), (f)(2), (3) and (g) 
        amended.....................................................9356
    (a) through (f) introductory text and (f)(4) revised; (f)(5) 
added; (g) removed.................................................22887
201.9 Removed.......................................................9356
201.10 Introductory text, (b)(1) introductory text, (vii)(B), (2) 
        introductory text, (vii)(B), (c)(2), (3), (d)(1) through 
        (4), (e)(1), (f)(1) introductory text, (ii), (3), (4) and 
        (7) amended.................................................9356
    (f) revised; interim...........................................52220
201.11 (a), (b)(1), (c)(1), (d)(1), (2), (e)(6), (7), (h)(3)(i), 
        (ii) and (iii)(A) amended...................................9357
201.12 (a) introductory text, (b) and (c) amended...................9357
201.13 (a)(1), (d)(3) and (e)(2)(iii) amended.......................9357
201.14 (a)(1), (2) and (c)(2) amended...............................9357
201.16 (c)(7) removed...............................................9357
201.17 (a), (b)(1), (2), (5), (7), (9), (d)(1), (e)(5)(iii), 
        (m)(2)(i), (ii), (m)(4)(i), (ii), (iii)(B), (iv)(A) and 
        (B) amended; (c)(1), (e)(7), (f)(3) and (i)(3) revised; 
        undesignated text following (e)(7), (i)(1)(vi), (i)(4), 
        (5), (m)(2)(iii) and(4)(iii)(C) removed; (i)(6) through 
        (10) redesignated as new (i)(4) through (8).................9357
    (l) removed; (m) and (n) redesignated as (l) and (m); (c)(2) 
amended; (d), (e)(14) introductory text, (iii)(A) and new 
(l)(4)(iii)(B) revised.............................................22886
201.18 (a)(2), (4) introductory text, (i), (ii), (5), (b), (f)(3) 
        and (4) amended.............................................9358
201.20 Removed.....................................................42736
201.22 (a)(1), (c)(1)(i), (d)(3), (e)(1) and (2)(iii) amended.......9358
201.23 (a), (b) introductory text, (1), (2) and (3) amended.........9358
201.25 (c)(1) and (e) amended.......................................9358
201.26 (b), (d) and (f) amended; (d)(4) removed.....................9358
201.27 (b) heading, (1) and (3) amended.............................9358
201.28 (c)(3), (d)(1), (e)(5) and (j)(3)(i) amended.................9358
201.29 (e), (h)(1), (2) and (6) amended.............................9358
201.31 Removed......................................................9358
201.33 (a), (b) heading, (2)(iii), (3)(iii)(A), (d)(3)(ii)(G), 
        (e)(2) heading, (i), (ii), (iii) and Appendix A amended; 
        (f) revised.................................................9358
201.34 (d)(3)(viii)(D) and (e) amended; (f) revised.................9359
201.38 (a)(1), (2), (b) introductory text, (1)(ii), (2), (c) 
        introductory text and (1) amended...........................9359
    (b)(1)(ii) amended; (c)(1)(i) revised..........................21697
201.39 (g)(1), (3)(i) and (ii) amended..............................9359
202.2 (b)(6) introductory text, (i), (ii) and (iii) redesignated 
        as (b)(6)(i), (A), (B) and (C); undesignated text 
        preceding (b)(7) designated as new (b)(6)(ii); (b)(2), 
        (5), new (6)(i)(B), (C), (ii) and (10) amended..............9359
    (c) added......................................................42736
202.3 (a)(1), (b)(1)(v), (2) introductory text, (i)(A), (B), (D), 
        (ii)(C), (D), (6)(v) and (8)(i) introductory text amended 
                                                                    9359
    (b)(11)(iii) amended; (b)(11)(iv) removed; eff. 7-17-17........27427

[[Page 982]]

    (b)(4)(ii) revised; (b)(8) and (c)(2)(iv) footnote 5 removed; 
(c)(2) introductory text amended; (b)(11)(ii) footnote 4 
redesignated as footnote 2; undesignated text following (c)(2)(iv) 
designated (c)(3); eff. 7-31-17....................................29413
202.4 Removed.......................................................9359
    Added; eff. 7-31-17............................................29413
    (k) through (m) redesignated as (l) through (n); new (k) 
added; (b) revised; new (n) amended................................52228
202.5 (a), (b)(2), (3), (c)(2), (d)(1) and (e) amended..............9359
    (d) amended....................................................21697
202.6 Added; eff. 7-17-17..........................................27427
    (e)(1) amended.................................................42738
202.12 (c)(2) removed; (c)(3) and (4) redesignated as new (c)(2) 
        and (3); (b)(1), new (c)(2)(ii)(A), (B), (C), (3)(i) 
        introductory text, (iv), (v), (vi) and (d) amended; (c)(1) 
        revised.....................................................9359
202.13 Added; interim; eff. 7-12-17................................26854
    (c)(3) removed; (c)(4) and (5) redesignated as (c)(3) and (4); 
(a), (c) introductory text, (2), new (c)(3)(iii), (iv), (v) 
revised; new (c)(4) amended; (b)(5) and (d) added..................52228
    Regulation at 82 FR 26854 comment period extended..............56890
202.16 (a), (c)(5)(ii)(A), (B), (C), (6)(vi) and (11) amended; 
        (c)(3), (6)(i), (iii), (iv), (v), (10) and (12) revised.....9360
202.17 (b)(1), (c)(2), (e) heading, (2), (3), (f)(2), (g)(1) and 
        (h)(3)(vii) amended.........................................9360
202.19 (a), (b)(4), (c)(5), (d)(2)(iii)(B), (vi), (e)(1)(iv), (3) 
        and (f)(1) amended; (b)(2) and (d)(2)(iv) revised; 
        undesignated text following (b)(2) removed..................9360
202.20 (a), (b)(1), (2)(ii), (v), (vi)(B), (6), (c)(2)(i)(G), 
        (ii), (iii)(B), (iv), (v), (vii)(A)(2), (viii)(A), (x), 
        (xi)(A), (xii), (xiii), (xvi), (xviii)(A), (B), 
        (d)(1)(iv), (3) and (e) amended; (b)(2)(iii) revised; 
        undesignated text following (c)(2)(xviii)(A)(4) designated 
        as footnote 6...............................................9361
    (b)(3) and (c)(2)(vi) revised; (b)(4) removed; (b)(5) and (6) 
redesignated as new (b)(4) and (5); new (b)(4) amended; interim; 
eff. 7-12-17.......................................................26854
    (d)(1)(i), (iii) and (iv) amended; eff. 7-31-17................29414
    Regulation at 82 FR 26854 comment period extended..............56890
202.21 (a), (g)(1)(i) introductory text and (h) amended.............9362
202.22 (c)(8) and (f)(1)(i) amended.................................9362
202.23 (a)(1), (b)(2), (c)(2), (e)(1) and (2) amended...............9362
202.24 (a)(1), (c)(1), (2) and (d)(1)(i) amended....................9362
202 Appendix B amended..............................................9362
203 Authority citation revised......................................9506
203.1 Revised; interim..............................................9506
203.2 Revised.......................................................9362
203.3 (a) through (d) removed; (e), (f) and (g) redesignated as 
        (j), (k) and (l); new (a) through (i) and (m) added; (h) 
        revised; new (k) amended....................................9362
    (m) removed; interim............................................9507
203.4 (c), (d) and (i)(2) amended; (f) and (g) revised..............9363
    Revised; interim................................................9507
203.5 Undesignated center heading removed; section revised; 
        interim.....................................................9507
203.6 (a) and (e) amended...........................................9364
    Undesignated center heading removed; section revised; interim 
                                                                    9507
203.7 Added; interim................................................9508
203.8 Added; interim................................................9508
203.9 Added; interim................................................9508
203.10 Added; interim...............................................9508
203.11 Undesignated center heading and section added; interim.......9508
204.4 (a), (b) and (d) amended......................................9364
204.5 (a) and (b) amended...........................................9364
204.7 Revised.......................................................9009
    (a) and (b) amended.............................................9364
    Regulation at 82 FR 9364 withdrawn.............................12180
204.8 Revised.......................................................9364
205.1 Revised.......................................................9364
205.2 (a) and (b) amended...........................................9365
205.11 (a) amended..................................................9365
205.13 Amended......................................................9365

[[Page 983]]

205.22 (a) introductory text, (2), (b), (c) and (f) heading 
        amended.....................................................9365
205.23 (b)(4) redesignated as (c); new (c) amended..................9365
210.15 Introductory text amended....................................9365
210.17 (d)(3)(ix) and (h) amended...................................9365
211 Authority citation revised......................................9365
211.1 (a) amended...................................................9365
211.4 (b)(1), (d) introductory text and (2) revised.................9365
211.5 (b)(2) redesignated as (b)(3); undesignated text preceding 
        new (b)(3) designated as new (b)(2); (b) introductory 
        text, new (3)(i) and (d) amended; (c)(1) and (2) revised 
                                                                    9365
212 Heading revised; nomenclature change............................9366
212.1 Amended.......................................................9366
212.2 Amended.......................................................9366
212.3 (h) introductory text amended.................................9366
212.4 (a)(2) amended................................................9366
212.5 (a) through (d) amended.......................................9366
212.6 Amended.......................................................9366
212.8 (c)(1)(iv) and (2) amended....................................9366
253 Removed.........................................................9366
254 Removed.........................................................9366
255 Removed.........................................................9366
256 Removed.........................................................9366
258 Removed.........................................................9366
260 Removed.........................................................9366
261 Removed.........................................................9366
262 Removed.........................................................9366
263 Removed.........................................................9366
270 Removed.........................................................9366
Chapter III
301.2 Revised......................................................18570
350.3 Revised......................................................18570
350.4 Redesignated as 350.6; new 350.4 added.......................18571
350.5 Redesignated as 350.7; new 350.5 added.......................18571
    (c)(3) added...................................................27018
350.6 Redesignated as 350.8........................................18571
    New section revised............................................18572
350.7 Designated from 350.5........................................18571
    New section revised............................................18572
350.8 Designated from 350.6........................................18571
351.1 (b)(4) revised...............................................18574
360 Revised........................................................27018
360.22 (e) revised.................................................55323
380.10 (a) revised.................................................55946
382 Policy statement...............................................56725
385.4 Amended......................................................15299
386.2 (b)(1)(ix) and (2)(ix) added.................................55947

                                  2018

37 CFR
                                                                   83 FR
                                                                    Page
Chapter I
1 Policy statement.................................................55102
2 Authority citation revised.......................................33132
2.91--2.99 Undesignated center heading revised; authority citation 
        removed....................................................33132
2.91 Removed.......................................................33132
2.92 Removed.......................................................33132
2.93 Removed.......................................................33132
2.96 Removed.......................................................33132
2.98 Removed.......................................................33132
2.193 (e)(1) revised................................................1559
6.1 Revised........................................................62713
42.100 (b) revised.................................................51358
42.200 (b) revised.................................................51358
42.300 (b) revised.................................................51359
Chapter II
201.1 (c)(6) amended................................................4145
    (c)(6) revised.................................................61549
201.3 Regulation at 82 FR 26853 comment period extended; interim 
                                                                    2070
    (c)(3) through (19) redesignated as (c)(4) through (20); new 
(c)(3) added; new (c)(4) revised....................................2547
    201.3 (c)(7) revised............................................4146
    (c)(1) introductory text revised...............................66628
    (c)(6) revised.................................................61549
    (c)(19) and (20) redesignated as (c)(21) and (22); new (c)(19) 
and new (20) added; interim........................................52153
201.4 (b)(12) and (13) added; interim..............................52153
201.10 Regulation at 82 FR 52220 comment period extended; interim 
                                                                    2070
201.11 (f)(1) introductory text amended............................51841
201.17 (k)(1) introductory text amended............................51841
201.18 (a)(1), (2), and (c) revised; (a)(3), (4) introductory 
        text, (6), (d)(1)(iii), (v)(D), (f)(1) through (4), (g), 
        and (h) amended; interim...................................63064
201.28 (h)(1) introductory text amended............................51841

[[Page 984]]

201.31 Added.......................................................51841
201.35 Added; interim..............................................52153
201.36 Added; interim..............................................52154
201.40 (b) and (c) revised.........................................54028
202.3 (b)(3) amended; (b)(10) removed...............................2547
    (b)(1)(v) amended; (b)(7) removed...............................4146
    (b)(2)(i) heading, (A), (B), (ii)(A), (c)(1), (2), and (3) 
revised; (b)(2)(i) introductory text, (ii) heading, and (iii) 
added; (b)(2)(i)(C), (D), (5)(i) introductory text, (F), (ii) 
introductory text, and (A) amended; (b)(2)(ii)(B), (C), and new 
heading removed; (b)(2)(ii)(D) and (3) redesignated as 
(b)(2)(ii)(B) and (2)(ii)(C).......................................66628
    (b)(6) and (9) removed.........................................61549
202.4 Regulation at 82 FR 52228 comment period extended; interim 
                                                                    2070
    (h) and (i) added; (l) and (n) amended..........................2547
    (b) and (n) revised; (e) added; (g)(4) amended..................4146
    (d) and (f) added; (l) and (n) amended.........................61549
202.6 (e)(1) amended...............................................61550
202.13 Regulation at 82 FR 26854 comment period extended; interim 
                                                                    2070
    Regulation at 82 FR 52228 comment period extended; interim......2070
202.16 (c)(4) amended..............................................66629
202.17 (g)(2)(ii)(B) revised.......................................66629
202.18 Added........................................................4147
202.19 (b)(5) and (d)(2)(ix) added; (d)(2)(v) amended...............2372
    (d)(2)(ix) revised..............................................4147
    (d)(2)(ix) redesignated as (d)(2)(x); new (d)(2)(ix) added.....25375
    (d)(2)(xi) added...............................................61550
202.20 Regulation at 82 FR 26854 comment period extended; interim 
                                                                    2070
    (b)(3) and (c)(2)(i)(E) revised; (b)(4) removed; (b)(5) 
redesignated as new (b)(4); (c)(2)(i)(A) through (D), (F) through 
(J), and (viii)(A) through (D) amended; (c)(2)(i)(L) added..........2372
    (c)(2)(vii)(D)(8) revised; (c)(2)(xx) removed...................2548
    (c)(2)(xvii) removed...........................................61550
202 Appendix B amended.............................................61550
203.3 (b)(2) removed; (b)(3) redesignated as new (b)(2); (h) and 
        (i) revised; interim.......................................63064
210.11--210.21 (Subpart B) Heading revised; interim................63065
210.11 Amended; interim............................................63065
210.12 (a), (b), and (c) amended; (k) through (o) added; interim 
                                                                   63065
210.16 (d)(3) amended; interim.....................................63065
210.19 Amended; interim............................................63065
210.20 Added; interim..............................................63065
210.21 Added; interim..............................................63065
211.4 (b)(3)(ii) and (d) introductory text revised.................66630
212.3 (f)(2) revised; (f)(1) and (4) amended.......................66630
212.8 (c)(1)(x)(A) and (B) revised.................................66630
Chapter III
380.10 (a) revised.................................................61125
    (a)(2) amended.................................................63419
381.1 Amended.......................................................2740
381.4 Introductory text and (d) removed; (a) introductory text 
        added; (c) amended..........................................2740
381.5 (c) revised...................................................2740
    (c)(3)(i) and (ii) revised.....................................61126
381.6 (a) amended; (d) revised......................................2741
381.7 (b)(1)(i)(A) through (D), (ii)(A) through (D), (2)(i) 
        through (iv), (4)(i), (ii), and (iii) revised...............2742
381.10 (a) amended; (b) revised.....................................2743
382 Revised........................................................65265
384.1 (a) amended..................................................60363
384.3 (a) revised; (b) amended.....................................60363
384.5 (d)(4) amended...............................................60363
386.2 (b)(1)(x) and (2)(x) added...................................61127
387.2 (e) redesignated as (f); new (e) added.......................62715
Chapter IV
401.1 (b) and (e) amended..........................................15958
401.2 (b) and (n) revised; (o) added...............................15958
401.3 (a) introductory text , (4), (b), and (d) amended; (a)(5), 
        (c) and (h) revised; (a)(6) and (i) added..................15959
401.4 (a) amended..................................................15960
401.5 Revised......................................................15960
401.7 (b) revised..................................................15960
401.9 Amended......................................................15961

[[Page 985]]

401.10 Revised.....................................................15961
401.13 (c)(1) and (3) amended; (c)(2) revised......................15961
401.14 (a) introductory text and (c)(4) redesignated as 
        undesignated text and (c)(5); (a)(7), (8), and new (c)(4) 
        added; (c)(2), (3), new (5), (d)(1), (2), (3), (f)(2), 
        (3), (k)(4), and undesignated text after (l) heading 
        revised; (g)(1) and (l) amended; (b) and (c) removed.......15961
401.15 (b) and (d) amended.........................................15963
401.16 (a), (b), and (c) amended; (d) added........................15963
401.17 Revised.....................................................15963
404.7 (a)(1)(i) and (b)(1)(i) revised..............................15963
404.8 Revised......................................................15963

                                  2019

37 CFR
                                                                   84 FR
                                                                    Page
Chapter I
1.79 Removed.......................................................51981
1.102 (e) introductory text revised; interim.......................45910
1.127 Removed......................................................51981
1.351--1.352 Undesignated center heading removed...................51981
1.351 Removed......................................................51981
2.2 (o) and (p) added..............................................31510
    (e), (f), and (g) revised; (q) through (t) added...............37093
    Regulation at 84 FR 37093 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37093 eff. date further delayed to 2-15-20
                                                                   69330
2.6 (a)(1)(ii) through (v) revised.................................37093
    Regulation at 84 FR 37093 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37093 eff. date further delayed to 2-15-20
                                                                   69330
2.11 Revised.......................................................31510
2.17 Revised.......................................................31510
    (d) revised....................................................37093
    Regulation at 84 FR 37093 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37093 eff. date further delayed to 2-15-20
                                                                   69330
2.18 Revised.......................................................37093
    Regulation at 84 FR 37093 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37093 eff. date further delayed to 2-15-20
                                                                   69330
2.21 Revised.......................................................37093
    Regulation at 84 FR 37093 eff. date delayed to 12-21-19........52363
    (a)(1) correctly amended.......................................68046
    Regulation at 84 FR 37093 eff. date further delayed to 2-15-20
                                                                   69330
2.22 (a)(1), (19), and (20) revised; (a)(21) added.................31511
    Revised........................................................37093
    Regulation at 84 FR 37093 eff. date delayed to 12-21-19........52363
    (a)(1) through (19) correctly redesignated as (a)(2) through 
(20); new (a)(1) added.............................................68046
    Regulation at 84 FR 37093 eff. date further delayed to 2-15-20
                                                                   69330
2.23 Revised.......................................................37094
    Regulation at 84 FR 37094 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37094 eff. date further delayed to 2-15-20
                                                                   69330
2.24 Revised.......................................................37094
    Regulation at 84 FR 37094 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37094 eff. date further delayed to 2-15-20
                                                                   69330
2.32 (a)(2) and (4) revised........................................31511
    (a)(2), (3), and (d) revised...................................37094
    Regulation at 84 FR 37094 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37094 eff. date further delayed to 2-15-20
                                                                   69330
2.56 Revised.......................................................37095
    Regulation at 84 FR 37095 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37095 eff. date further delayed to 2-15-20
                                                                   69330
2.62 Revised.......................................................37095
    Regulation at 84 FR 37095 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37095 eff. date further delayed to 2-15-20
                                                                   69330
2.111 (c)(2) revised...............................................37095

[[Page 986]]

    Regulation at 84 FR 37095 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37095 eff. date further delayed to 2-15-20
                                                                   69330
2.146 (a) revised..................................................37095
    Regulation at 84 FR 37095 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37095 eff. date further delayed to 2-15-20
                                                                   69330
2.147 Added........................................................37095
    Regulation at 84 FR 37095 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37095 eff. date further delayed to 2-15-20
                                                                   69330
2.148 Revised......................................................37096
    Regulation at 84 FR 37096 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37096 eff. date further delayed to 2-15-20
                                                                   69330
2.151 Revised......................................................37096
    Regulation at 84 FR 37096 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37096 eff. date further delayed to 2-15-20
                                                                   69330
2.162 Revised......................................................37096
    Regulation at 84 FR 37096 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37096 eff. date further delayed to 2-15-20
                                                                   69330
2.189 Added........................................................31511
2.190 Revised......................................................37096
    Regulation at 84 FR 37096 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37096 eff. date further delayed to 2-15-20
                                                                   69330
2.191 Revised......................................................37096
    Regulation at 84 FR 37096 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37096 eff. date further delayed to 2-15-20
                                                                   69330
2.193 (a)(2), (b), (c)(1), (d), (e) introductory text, (5) 
        introductory text, (9), (f), and (g) revised; (e)(10) 
        removed....................................................37096
    Regulation at 84 FR 37096 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37096 eff. date further delayed to 2-15-20
                                                                   69330
2.195 Revised......................................................37097
    Regulation at 84 FR 37097 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37097 eff. date further delayed to 2-15-20
                                                                   69330
2.197 Revised......................................................37097
    Regulation at 84 FR 37097 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37097 eff. date further delayed to 2-15-20
                                                                   69330
2.198 Revised......................................................37098
    Regulation at 84 FR 37098 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37098 eff. date further delayed to 2-15-20
                                                                   69330
6.1 Amended........................................................16406
    Revised........................................................65682
7.1 (f) revised....................................................31511
    (c) and (d) revised............................................37098
    Regulation at 84 FR 37098 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37098 eff. date further delayed to 2-15-20
                                                                   69330
7.4 Revised........................................................37098
    Regulation at 84 FR 37098 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37098 eff. date further delayed to 2-15-20
                                                                   69330
7.11 (a) introductory text, (10), (11), and (b) revised; (a)(12) 
        removed....................................................37098
    Regulation at 84 FR 37098 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37098 eff. date further delayed to 2-15-20
                                                                   69330
7.21 (b) introductory text, (7), (8), and (c) revised; (b)(9) 
        removed....................................................37098
    Regulation at 84 FR 37098 eff. date delayed to 12-21-19........52363
    Regulation at 84 FR 37098 eff. date further delayed to 2-15-20
                                                                   69330
7.25 (a) revised...................................................37099
    Regulation at 84 FR 37099 eff. date delayed to 12-21-19........52363

[[Page 987]]

    Regulation at 84 FR 37099 eff. date further delayed to 2-15-20
                                                                   69330
11.14 (c) and (e) revised..........................................31511
42.102 (b) removed.................................................51982
42.202 (b) removed.................................................51982
Chapter II
201.1 (c)(6) amended...............................................60918
201.3 (c)(8) through (22) redesignated as (c)(9) through (23); new 
        (c)(8) added................................................3697
    (c)(20) revised; (c)(21) and (22) redesignated as (c)(22) and 
(23); new (c)(21) added............................................10684
    (c)(22) revised; (c)(23) redesignated as (c)(24); new (c)(23) 
and (25) added.....................................................14255
    Second (c)(23) removed; (c)(20) through (23) revised; (c)(24) 
and (25) added.....................................................20273
201.4 (b)(3) revised; (b)(10) through (13) amended; (b)(14) and 
        (15) added.................................................14255
201.35 (d) through (i) redesignated as (f) through (k); (a), (c), 
        new (f), and new (h) revised; (b)(3), new (d), new (e), 
        and (l) added..............................................10684
201.36 (e) redesignated as (f); new (e) added......................10685
201.37 Added.......................................................14255
202.3 (b)(4) revised; (c)(4) added..................................3697
    (b)(1)(iii) amended............................................16785
202.4 (c) added; (h)(8), (9), (i)(9), and (n) amended...............3698
    (e)(7) removed..................................................3699
    (e)(6)(ii)(B) removed; (e)(6)(ii)(A) redesignated as 
(e)(6)(ii).........................................................60918
    (d)(2) and (3) revised.........................................60919
202.6 (e)(2) through (7) redesignated as (e)(3) through (8); new 
        (e)(8) amended; new (e)(2) added............................3698
202.11 (a), (b)(1), (2), (c)(3), and (4) revised; (c)(2) removed; 
        (c)(5) redesignated as new (c)(2); new (c)(5) added........16785
202.20 (c)(2)(vii)(D)(8) amended....................................3698
    (c)(2)(i)(M) added; (c)(2)(xviii) removed......................16785
203.7 (c)(1)(i) introductory text revised...........................3700
203.10 Amended......................................................3701
203.11 (j) and (k) revised..........................................3701
210.1--210.10 (Subpart A) Added....................................32296
210.16 (b)(8), (c)(1), (2), (d)(2), (v), and (3), (ii) amended.....10686
210.17 (c)(6), (d)(1), and (2)(i) amended..........................10686
Chapter III
303 Added..........................................................32304
350 Revised........................................................32308
355 Added..........................................................32308
370 Authority citation revised.....................................32312
370.1 Amended......................................................32312
370.4 (b) amended..................................................32312
380.7 Amended; introductory text added.............................32312
380.10 (a) revised.................................................64205
380.21 Amended.....................................................32313
380.31 Amended.....................................................32313
381.5 (c)(3)(iii) revised..........................................64206
382.1 Amended......................................................32313
382.20 Amended.....................................................32313
382.23 (a)(3) and (b) removed; (c) redesignated as new (b).........32313
383.2 (b) revised..................................................32313
384.2 Amended......................................................32313
384.3 (a)(1), (2) introductory text, (i), and (ii) amended.........32313
385 Revised.........................................................2031
385.2 Introductory text added; section amended.....................32313
385.3 Amended......................................................32316
385.4 (a) and (b) amended..........................................32316
385.10--385.11 (Subpart B) Heading revised.........................32316
385.11 (a) revised.................................................32316
385.20--385.22 (Subpart C) Heading revised.........................32316
    Revised........................................................32316
385.21 (b), (4), and (d) amended...................................32316
385.22 (a)(1), (2), and (3) amended................................32316
385.30 Revised.....................................................32316
385.31 (a), (b), and (c) revised...................................32317
386.2 (b)(1)(xi) and (2)(xi) added.................................64206

                                  2020

37 CFR
                                                                   85 FR
                                                                    Page
Chapter I
1 Policy statement.................................................12222
    Waiver.........................................................17502
1.16 (a) through (e), (h), (j), (k), and (m) through (s) revised; 
        (f) table, (g) table, (i) table, (l) table, and (t) table 
        amended; (u) added; eff. in part 1-1-2022..................46985

[[Page 988]]

1.17 (a), (c) through (g), (h) introductory text, (i)(1) 
        introductory text, (2), (k), (m), and (p) through (s) 
        revised; (h) table, (i)(1) table, (o) table, and (t) table 
        amended....................................................46986
    (a)(2) Table 2, (f) introductory text, Table 10, (g), (i)(2) 
introductory text, Table 14, (q) introductory text, and (q) 
correctly amended..................................................58283
1.18 (a), (b)(1), (c), (d)(3), (e), and (f) revised................46988
    (d)(3), (e), and (f) correctly amended.........................58283
1.19 (b)(1)(i)(B) and (ii)(B) revised; (j) through (l) removed.....46988
1.20 Revised.......................................................46988
    (c)(1)(i)(A) through (F), (ii)(A), (B), and (C) amended; 
(c)(7) Table 6 revised.............................................58283
1.21 (a)(1), (2), (5), (9)(ii), (10), (n), (o), and (q) revised; 
        (a)(6)(i) removed; (a)(8) and (k) added....................46989
    (a)(8) correctly removed.......................................58283
1.27 (c)(3) introductory text revised..............................46990
    (a)(4) revised.................................................82923
1.29 (a)(1) and (d)(1) revised.....................................82923
1.431 (c) revised..................................................46990
1.445 (a) revised..................................................46990
    (a)(6) correctly amended.......................................58283
1.482 Revised......................................................46991
1.492 (a), (b)(3), (4), (c)(2), (d), (f), (h), and (j) revised; 
        (b)(1) table, (2) table, (c)(1) table, (e) table, and (i) 
        table amended..............................................46991
1.704 (c) revised; eff. 7-16-20....................................36341
Chapter II
2 Authority citation revised.......................................73215
2.6 (a)(1)(i) through (v), (12), (15) through (18), (22), and (23) 
        revised; (a)(11)(iii), (24), and (25) added................73215
    Regulation at 85 FR 73215 eff. date delayed to 2-18-21.........81123
2.114 (a) revised..................................................73215
2.149 Added........................................................73215
2.161 Revised......................................................73216
5 Authority citation revised.......................................61607
5.1 (b)(2) revised.................................................61607
5.11 (a), (b), and (e)(3) introductory text revised................61607
5.12 (a) revised; parenthetical authority citation removed.........61607
5.15 (a) introductory text, (1), (b), and (e) revised..............61607
6.1 Revised........................................................69503
7.6 (a)(6) revised.................................................73217
7.37 Revised.......................................................73217
11.11 Heading, (a)(1), and (2) revised; (a)(3) and (f)(3) added; 
        (b)(1), (e), and (f)(1) revised............................46992
41.20 (a), (b)(1), (2)(ii), (3), and (4) revised...................46993
42.15 Revised......................................................46993
42.23 Revised......................................................79128
42.24 Heading and (c) introductory text revised; (c)(4) added......79128
42.71 (d) introductory text amended................................79129
42.108 Revised.....................................................79129
42.120 (a) revised.................................................79129
42.121 (d) added...................................................82935
42.208 (a) through (c) revised.....................................79129
42.220 (a) revised.................................................79129
42.221 (d) added...................................................82935
201.1 (c)(1) amended...............................................10604
    (b)(1), (c)(2) through (5), and (7) amended....................19667
    (c)(6) revised.................................................31982
201.2 (e)(4), (5), and (7) amended.................................19667
201.3 (c), (d), and (e) revised.....................................9386
    (c) table 1 amended; (c)(10) through (27) redesignated as 
(c)(11) through (28); new (c)(10) added; eff. 8-17-20..............37346
201.4 (a) amended; (h) added; interim...............................3855
201.7 (c)(1) and (4) amended.......................................19667
201.10 (f) introductory text amended; (f)(6) added; interim.........3855
201.11 (e)(9) introductory text amended............................19667
201.12 (a)(1) amended..............................................19667
201.28 (e)(7) amended..............................................19667
201.33 (c) amended.................................................19667
201.38 (b)(1)(ii) revised..........................................11295
201.39 (g) amended.................................................19667
202.3 (b)(5)(ii)(A) revised........................................19668
202.4 (f)(1)(i) amended............................................31982
    (j) added; (n) amended; eff. 8-17-20...........................37346
202.5 (b)(3) and (c)(3) amended....................................19668
202.6 (e)(4) amended...............................................19668
    (e)(2) amended; eff. 8-17-20...................................37347
202.12 (c)(1) amended..............................................19668
202.13 (b)(1) revised; interim.....................................27298

[[Page 989]]

202.17 (g)(1) amended..............................................19668
202.18 (a) through (c) amended; (f) added..........................71837
202.19 (b)(4) revised; (c)(5) amended..............................71837
202.23 (b)(2) amended..............................................19668
202.24 (a)(2) and (b) amended; (a)(3) and (4) redesignated as 
        (a)(4) and (5); new (a)(3) added; (c)(3) revised...........71837
202 Appendix B amended.............................................71837
205.13 Amended.....................................................10604
205.14 Added.......................................................10605
205.15 Added.......................................................10605
210.1--210.10 (Subpart A) Removed; new subpart redesignated from 
        Subpart B; interim.........................................58143
210.1 Amended; interim.............................................58143
210.11--210.21 (Subpart B) Redesignated as Subpart A; amended; 
        interim....................................................58143
210.21--210.28 (Subpart B) Added; interim..........................58143
210.29 Added; interim..............................................58165
210.30 Added; interim..............................................84245
210.31 Added; interim..............................................86822
210.32 Added; interim..............................................86822
210.33 Added; interim..............................................86822
Chapter III
360.3 (b) amended; (d) removed; (e) redesignated as new (d)........37752
360.4 (b)(1)(v) and (2)(v) removed; (b)(1)(vi) and (2)(vi) 
        redesignated as new (b)(1)(v) and new (2)(v); (a) and 
        (b)(2)(i) revised; (b)(2)(iii) amended.....................37752
360.5 Removed......................................................37752
360.22 (c) removed; (d), (e), and (f) redesignated as (c), (d), 
        and (e); (a) and new (d) revised; (b)(2) amended...........37752
360.23 Removed; new section redesignated from 360.24; new (b) 
        amended....................................................37753
360.24 Redesignated as 360.23......................................37753
360.30 Amended.....................................................37753
360.31 Amended.....................................................37753
380.20--380.22 (Subpart C) Revised; eff. 1-1-21....................12745
380.30--380.32 (Subpart D) Revised; eff. 1-1-21....................11857
381.5 (c)(3)(iv) revised...........................................74884
383.1 (a) amended; eff. 1-1-21......................................9664
383.2 (c) amended; eff. 1-1-21......................................9664
383.3 (a) amended; (a)(1)(i) through (v), (2)(i) through (v), and 
        (c) revised; eff. 1-1-21....................................9664
383.4 (a) amended; eff. 1-1-21......................................9664
386.2 (b)(1)(xii) and (2)(xii) added...............................74884
390 Added............................................................832

                                  2021

   (Regulations published from January 1, 2021, through July 1, 2021)

37 CFR
                                                                   86 FR
                                                                    Page
Chapter I
1.21 (a)(1)(ii)(B) removed; (a)(1)(iv) and (9) introductory text 
        added......................................................28451
1.27 Regulation at 85 FR 82923 eff. date corrected to 1 21 21.......2542
    Regulation at 86 FR 2542 correctly withdrawn....................3815
1.29 Regulation at 85 FR 82923 eff. date corrected to 1 21 21.......2542
    Regulation at 86 FR 2542 correctly withdrawn....................3815
11.1 Amended.......................................................28452
    Correctly amended..............................................32640
11.2 (b)(2) and (4) revised........................................28452
11.4 Transferred to Subpart A and revised..........................28452
11.5 (a), (b)(1) introductory text, and (2) revised................28452
11.7 (b)(1)(i)(B), (2), (3), (d)(3), (e), (f), (g)(1), and (2)(ii) 
        revised; (b)(4) and (l) added..............................28453
11.9 (a) and (b) revised; (d), (e), and (f) added..................28453
11.10 Revised......................................................28454
11.11 Revised......................................................28455
11.18 (c)(2) revised...............................................28457
11.19 Heading, (a), (b)(1)(ii), and (c) revised; (e) added.........28457
11.20 (a)(4) and (c) revised.......................................28457
11.21 Revised......................................................28458
11.22 (g) and (h) revised; (c) added...............................28458
11.24 (a), (b) introductory text, (d)(1) introductory text, and 
        (e) revised................................................28458
11.25 (a), (b)(2) introductory text, (b)(3), and (e)(2) revised....28458
11.27 (b) revised; (c) removed.....................................28459
11.28 (a)(1) introductory text, (1)(i)(D), (E), and (2) revised....28459

[[Page 990]]

11.29 (a), (b), (d), (g), and (i) revised..........................28459
11.34 (c) revised..................................................28460
11.35 Revised......................................................28460
11.39 Heading, (a), (b), and (f) revised...........................28461
11.40 (b) revised; (c) added.......................................28461
11.41 (a) revised..................................................28461
11.43 Revised......................................................28461
11.44 (a) and (b) revised..........................................28461
11.50 (a) revised..................................................28462
11.51 Revised......................................................28462
11.52 Revised......................................................28462
11.53 Revised......................................................28463
11.54 Revised......................................................28463
11.55 Revised......................................................28463
11.56 (c) revised..................................................28464
11.57 Revised......................................................28464
11.58 Revised......................................................28464
11.60 Revised......................................................28465
11.106 Revised.....................................................28466
11.118 (a) and (b) revised.........................................28466
11.702 Revised.....................................................28466
11.703 Revised.....................................................28467
11.704 (e) revised.................................................28467
11.804 (b) and (h) revised.........................................28467
42.121 Regulation at 85 FR 82935 eff. date corrected to 1-21-21.....2542
    Regulation at 86 FR 2542 correctly withdrawn....................3815
42.221 Regulation at 85 FR 82935 eff. date corrected to 1-21-21.....2542
    Regulation at 86 FR 2542 correctly withdrawn....................3815
Chapter II
201.1 (b)(2) table, (c)(3), and (5) amended; eff. 7-22-21..........32641
201.3 (c)(9) through (28) redesignated as (c)(10) through (29); 
        new (c)(9) added...........................................10825
    Heading revised; (a), (b)(3), (c) table, (e) heading, 
introductory text, and table amended; eff. 7-22-21.................32641
201.6 (c)(3) amended; eff. 7-22-21.................................32642
201.10 (d)(1) and (e)(1) revised; (f)(1)(ii)(A) and (3) amended....11641
201.11 Amended; eff. 7-22-21.......................................32642
201.12 (a) amended; eff. 7-22-21...................................32642
201.17 Amended; eff. 7-22-21.......................................32642
201.18 Amended; eff. 7-22-21.......................................32642
201.28 Amended; eff. 7-22-21.......................................32642
201.29 (e) introductory text amended; eff. 7-22-21.................32642
202.4 (k) through (n) redesignated as (o) through (r); new (k) 
        added; new (r) amended.....................................10825
202.6 (e)(2) amended...............................................10826
202.13 (c)(1) and (3) introductory text amended; (c)(2), (3)(v), 
        and (4) revised; interim...................................10177
202.19 Amended; eff. 7-22-21.......................................32642
202.22 (d)(6)(iii) amended; eff. 7-22-21...........................32642
202.23 (b)(2) amended; eff. 7-22-21................................32642
202.24 (d)(3) amended; eff. 7-22-21................................32642
203.3 (b) revised; (c), (f), and (g) amended, (c)(1) added; (h) 
        and (i) removed; eff. 7-22-21..............................32642
210.2 (k) revised; (l) through (o) removed..........................2203
210.6 (g)(4)(i) amended; eff. 7-22-21..............................32643
210.7 (g)(5)(i) amended; eff. 7-22-21..............................32643
210.10 (b) introductory text, (1), (2) introductory text, and 
        (3)(i) revised; (c) through (m) added.......................2203
    (b) introductory text, (1), (2) introductory text, and (3)(i) 
revised; (c) through (o) correctly added............................7653
210.24 Nomenclature change; (b)(8) introductory text amended; 
        (b)(9) added...............................................12826
210.25 (b)(6) revised..............................................12826
210.27 (c)(5) revised; (g)(2)(ii) amended..........................12826
210.28 (c)(5) revised..............................................12827
210.30 (a) revised; (b) removed; (c) redesignated as new (b).......12827
210.34 Added; interim...............................................9019

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Chapter III
303.5 Revised.......................................................9462
351.9 (a) revised..................................................31172
370.2 Amended; eff. 7-22-21........................................32643
370.3 (b) amended; eff. 7-22-21....................................32643
370.4 (c) amended; eff. 7-22-21....................................32643
370.5 Amended; eff. 7-22-21........................................32643
390.1 Revised.......................................................6568
390.3 Revised.......................................................6569
390.4 Revised.......................................................6570


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