[Federal Register Volume 68, Number 187 (Friday, September 26, 2003)]
[Rules and Regulations]
[Pages 55748-55781]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-23562]



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Part II





Department of Commerce





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Patent and Trademark Office



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37 CFR Parts 2 and 7



Rules of Practice for Trademark-Related Filings Under the Madrid 
Protocol Implementation Act; Final Rule

  Federal Register / Vol. 68, No. 187 / Friday, September 26, 2003 / 
Rules and Regulations  

[[Page 55748]]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Parts 2 and 7

[Docket No. 2003-T-010]
RIN 0651-AB45


Rules of Practice for Trademark-Related Filings Under the Madrid 
Protocol Implementation Act

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Final rule.

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SUMMARY: The United States Patent and Trademark Office (Office) is 
adding new regulations to implement the Madrid Protocol Implementation 
Act of 2002 (MPIA), and is amending existing regulation both to 
implement the MPIA and to otherwise clarify and improve the procedures 
for processing trademark applications and conducting proceedings before 
the Trademark Trial and Appeal Board. The MPIA provides that: The owner 
of a U.S. application or registration may seek protection of its mark 
in any of the other 58 countries party to the Protocol Relating to the 
Madrid Agreement Concerning the International Registration of Marks 
(Madrid Protocol) by submitting a single international application 
through the Office to the International Bureau of the World 
Intellectual Property Organization (IB); and the owner of an 
application or registration in a country party to the Madrid Protocol 
may obtain an international registration from the IB and request an 
extension of protection of its mark to the United States.

DATES: Effective Date: November 2, 2003.
    Applicability Dates: New rules added as part 7 of 37 CFR and the 
amendments to rules in part 2 of 37 CFR shall apply to any application 
for international registration filed on or after November 2, 2003, and 
any application for registration in the United States under section 1, 
section 44 or section 66(a) of the Act filed on or after November 2, 
2003, except as noted below.
    Drawing requirements under Sec.  2.52: Applicants with pending 
applications filed prior to November 2, 2003, will not be required to 
file amended drawings. However, applicants may voluntarily amend their 
drawings to comply with the new standard character or color drawing 
requirements. See discussion below of changes to Sec.  2.52. The Office 
will consider voluntary amendments filed on or after November 2, 2003, 
in accordance with standard procedures for processing of amendments.
    Partial abandonment under Sec.  2.65(a): This rule as amended shall 
apply to all Office actions issued on or after November 2, 2003, even 
if the application was filed prior to that date. See discussion below 
of the changes to Sec.  2.65.
    Requests to extend the time to file an opposition under Sec.  
2.102(c): If a first request for an extension of time to oppose was 
filed before November 2, 2003, the rules in effect on the filing date 
of that first request will apply to the first request and any 
subsequent request filed by the same potential opposer or one in 
privity with it. If a first request for an extension of time to oppose 
is filed on or after November 2, 2003, the amended regulation will 
apply to the first request and any subsequent request filed by the same 
potential opposer or one in privity with it.
    Petitions to the Director under Sec.  2.146(i): For petitions filed 
on or after May 2, 2004, petitioners will be held to the new six-month 
standard of diligence in monitoring the status of applications and 
registrations. Petitions filed prior to May 2, 2004, will be reviewed 
under the one-year diligence standard, even if the application was 
filed on or after November 2, 2003. See the discussion below of changes 
to Sec.  2.146(i).

FOR FURTHER INFORMATION CONTACT: Cheryl L. Black, Office of the 
Commissioner for Trademarks, by telephone at (703) 308-8910, ext. 153, 
or by e-mail to [email protected].

SUPPLEMENTARY INFORMATION: A Notice of Proposed Rule Making was 
published in the Federal Register (68 FR 15119) on March 28, 2003. A 
public hearing was held on May 30, 2003.
    Four organizations, two law firms, seven attorneys, one business 
and three individuals submitted written comments. Two organizations and 
one attorney testified at the oral hearing.
    The Madrid Protocol Implementation Act of 2002, Public Law 107-273, 
116 Stat. 1758, 1913-1921 (MPIA) amends the Trademark Act of 1946 to 
implement the provisions of the Madrid Protocol in the United States. 
The MPIA was enacted on November 2, 2002, and becomes effective on 
November 2, 2003.
    The Madrid Protocol and the Common Regulations Under the Madrid 
Agreement Concerning the International Registration of Marks and the 
Protocol Relating to that Agreement (April 1, 2002) (Common 
Regulations) are available on the World Intellectual Property 
Organization's (WIPO) Web site, currently at http://www.wipo.int/madrid/en/. The Common Regulations are the procedures agreed to by the 
parties to the Madrid Protocol regarding the administration of the 
Madrid Protocol, pursuant to Article 10(2)(iii).
    References below to ``the Act,'' ``the Trademark Act,'' or ``the 
statute'' refer to the Trademark Act of 1946, 15 U.S.C. 1051, et seq., 
as amended by the MPIA. The ``TMEP'' referenced below is the Trademark 
Manual of Examining Procedure (3rd ed. Rev. 2, May 2003).

Filings Under Madrid Protocol

Background

    The Madrid Protocol provides a system for obtaining an 
international registration. The IB maintains the system in accordance 
with the guidelines set forth in the Common Regulations. To apply for 
an international registration under the Madrid Protocol, an applicant 
must be a national of, be domiciled in, or have a real and effective 
business or commercial establishment in one of the countries that are 
members of the Madrid Protocol (Contracting Parties). An international 
application must be based on a trademark application or registration in 
one of the Contracting Parties (basic application or basic 
registration). The international application must be for the same mark 
and include a list of goods and/or services identical to or narrower 
than the list of goods and/or services in the basic application or 
registration. The international application must designate one or more 
Contracting Parties in which an extension of protection of the 
international registration is sought.
    The international application must be submitted through the 
trademark office of the Contracting Party in which the basic 
application is pending or basic registration is held (office of 
origin). The office of origin must certify that the information in the 
international application corresponds with the information in the basic 
application or registration, and transmit the international application 
to the IB.
    The IB will review an international application to determine 
whether the Madrid Protocol filing requirements have been met and the 
required fees have been paid. If an international application is 
unacceptable, the IB will notify both the applicant and the office of 
origin of the ``irregularity.'' If the Madrid Protocol requirements 
have been met and the fees have been paid, the IB will immediately 
register the mark, publish the international registration in the WIPO 
Gazette of International Marks, send a certificate to the holder, and 
notify the offices of the designated Contracting Parties in which an 
extension of protection of the international registration is sought.

[[Page 55749]]

Registration by the IB does not mean that the mark is automatically 
granted protection in the designated Contracting Parties.
    The holder of an international registration may designate 
additional Contracting Parties in a subsequent designation. A 
subsequent designation is a request by the holder of an international 
registration for an extension of protection of its international 
registration to additional Contracting Parties. Each Contracting Party 
designated in an international application or subsequent designation 
will examine the request for extension of protection as a national 
application under its laws, and if it complies with the requirements 
for registration, grant protection of the mark in its country. A 
Contracting Party must notify the IB of the refusal of a request for 
extension of protection within the time limits set forth in Article 
5(2) of the Madrid Protocol. If a notification of refusal is not sent 
to the IB within the required time limits, the Contracting Party must 
grant protection of the mark in its country.

Discussion of Specific Rules Added or Changed

    The Office is adding new rules setting forth the requirements for 
submitting international applications and subsequent designations 
through the Office for forwarding to the IB. The Office is also adding 
new rules for processing requests for extension of protection of 
international registrations to the United States, and changing current 
regulations to bring the rules of practice in trademark cases into 
conformance with the MPIA.

New Rules Added as Part 7

    The Office is adding rules 7.1, 7.3, 7.4, 7.6, 7.7, 7.11, 7.12, 
7.13, 7.14, 7.21, 7.22, 7.23, 7.24, 7.25, 7.26, 7.27, 7.28, 7.29, 7.30, 
7.31, 7.36, 7.37, 7.38, 7.39, 7.40, and 7.41; and designating part 7 of 
37 CFR as the rules of practice in filings pursuant to the Protocol 
Relating to the Madrid Agreement Concerning the International 
Registration of Marks.
    Section 7.1 defines certain terms used in this part. Terms defined 
in the MPIA are not included in the list of definitions in Sec.  7.1.
    Section 7.3 requires that correspondence relating to international 
applications and registrations be in English.
    Section 7.4 states that correspondence submitted through the 
Trademark Electronic Application System (TEAS) will be accorded the 
date and time the complete transmission is received in the Office based 
on Eastern Time.

Fees

    Section 7.6 sets forth the fees required by the Office for 
processing correspondence relating to international applications and 
registrations under the Madrid Protocol. These fees must be paid in 
U.S. dollars at the time of submission.
    The Office is charging fees for: (1) Reviewing and certifying an 
international application; (2) transmitting a subsequent designation; 
(3) transmitting a request to record an assignment or restriction 
(usually a security interest), or the release of a restriction, of a 
holder's right of disposal of an international registration; (4) 
requesting a notice of replacement; and (5) filing an affidavit of use 
in commerce or excusable nonuse for a mark in a registered extension of 
protection to the United States.
    In addition to the fees required by the Office, there are 
international fees for processing international applications and 
registrations. Section 7.7 sets forth the international fees that may 
be paid to the IB through the Office in connection with international 
applications and registrations, and the requirements and procedures for 
submitting those fees through the Office. A schedule of the 
international fees is currently posted on the WIPO Web site, available 
at http://www.wipo.int/madrid/en/. An international applicant or holder 
may pay the fees directly to the IB, or to the IB through the Office. 
Fees paid directly to the IB must be paid in Swiss francs, and fees 
paid through the Office must be paid in U.S. dollars.
    Under Sec.  7.7(b), if an international applicant or holder pays 
the international fees through the Office, payment must be made at the 
time of submission by any of the acceptable payment methods set forth 
in Sec. Sec.  2.207 and 2.208. If the international fees are paid 
directly to the IB using an acceptable form of payment established by 
the IB, the international applicant or holder must include the IB 
account number for debiting fees or the IB receipt number as proof of 
payment of fees in its submission to the Office. The fee calculator and 
acceptable methods for paying fees to the IB may currently be viewed on 
the WIPO Web site at http://www.wipo.int/madrid/en/.

International Applications Originating From the United States

    The requirements for granting a date of receipt to an international 
application are set forth in Sec.  7.11(a). An international 
application must identify at least one basic application or 
registration. The international application may be based on more than 
one U.S. application and/or registration, provided that the owner and 
the mark are the same for each basic application or registration.
    An international application must be submitted through TEAS. The 
Office has developed a TEAS form for filing an application for 
international registration that conforms to the official IB form 
created by WIPO. TEAS will require the applicant to select between two 
different types of forms, namely, a pre-populated form containing 
information from the basic application or registration, or a free-text 
form. The applicant can use the pre-populated form if: (1) The 
international application is based on a single basic application or 
registration; and (2) applicant's changes to the international 
application are limited to narrowing the list of goods or services. For 
all other international applications, the applicant must fill in all 
the fields in the free text form.
    Section 7.11(a)(3) requires a reproduction of the mark in the 
international application that is the same as the mark in the basic 
application or registration, and that meets the drawing requirements of 
Sec.  2.52. If the mark in the basic application or registration is 
depicted in black and white and does not include a color claim, the 
reproduction of the mark in the international application must be black 
and white. If a mark is depicted in black and white in the basic 
application or registration but there is a claim of color, the 
international application must include both a black and white 
reproduction of the mark and a color reproduction of the mark. If the 
mark in the basic application or registration is in color, the 
reproduction of the mark in the international application must be in 
color.
    Under Sec. Sec.  7.11(a)(4) and 7.12, if color is claimed as a 
feature of the mark, the same color claim must be made in the 
international application. If color is not claimed as a feature of the 
mark in the basic application or registration, the international 
application may not include a claim of color.
    Under Sec.  7.11(a)(5), if the basic application or registration 
includes a description of the mark, the international application must 
include the same description of the mark.
    Under Sec.  7.11(a)(6), if the mark in the basic application or 
registration is a three-dimensional mark, sound mark, collective mark 
or certification mark, the international application must indicate the 
type of mark.
    Section 7.11(a)(7) requires a list of goods and/or services in the 
international application that is

[[Page 55750]]

identical to or narrower than the list of goods and/or services in the 
basic application or registration, and is classified according to the 
Nice Agreement Concerning the International Classification of Goods and 
Services for the Purposes of the Registration of Marks. An applicant 
may omit or revise goods and/or services from the international 
application as long as the omission or revision does not broaden the 
scope of the goods or services identified in the basic application or 
registration.
    The pre-populated form will include the list of goods/services in 
the basic application or registration. The applicant may edit the list 
of goods and/or services by either omitting particular goods or 
services or revising the description of goods or services populated 
from the basic application or registration. In the free text form, the 
applicant must enter the goods/services manually. The applicant may 
omit goods or services, or revise the list of goods/services. The list 
of goods and services for each designated Contracting Party must be 
identical to or narrower than the list of goods or services in the 
international application.
    Both the pre-populated form and the free-text form will also allow 
an applicant to change the classification of goods and services in an 
international application. If the goods or services in the basic 
application or registration are classified in U.S. Classes A, B or 200 
or entirely under the U.S. classification system, an applicant may want 
to reclassify goods or services into international classes. Classes A, 
B and 200 are not part of the international classification system under 
the Nice Agreement. Failure to properly classify goods or services in 
an international application according to the international 
classification system under the Nice Agreement may result in an IB 
notice of irregularity. The Office will issue an examination guide 
regarding classification on or before November 2, 2003.
    Under Sec.  7.11(a)(8), an international applicant must designate 
at least one Contracting Party in which it seeks an extension of 
protection.
    Under Sec.  7.11(a)(9), the international applicant must pay the 
U.S. certification fee and the international fees (see Sec.  7.7) for 
all classes and all designated Contracting Parties at the time of 
submission.
    Under section 61 of the Act, and Sec.  7.11(a)(10), an 
international applicant must specify that applicant is a national of, 
is domiciled in, or has a real and effective industrial or commercial 
establishment in the United States. If the applicant is not a national 
of the United States and the applicant's address on the application is 
outside of the United States, the applicant will be required to provide 
the address of the U.S. domicile or establishment.
    Section 7.13 sets forth the requirements for certifying and 
forwarding an international application to the IB. Under Sec.  7.13(a), 
if an international application meets the requirements of Sec.  
7.11(a), the Office will grant a date of receipt, certify that the 
information contained in the international application corresponds to 
the basic application or registration, and forward the international 
application electronically to the IB.
    The Office must certify and forward an international application to 
the IB within two months of the date of receipt in the Office in order 
to provide the applicant with an international registration date as of 
the date of receipt of the international application in the Office. The 
Office will automatically certify and forward to the IB all 
international applications based on a single basic application or 
registration, with no limitations on the goods/services and no color 
claim, that meet the requirements of Sec.  7.11(a). Limited review by 
the Madrid Processing Unit (MPU) is required for international 
applications where the goods or services have been narrowed or a color 
drawing is attached. International applications that are completed on 
free text forms are reviewed by the MPU. The use of a fully automated 
filing system expedites the processing of international applications 
because information is either pre-populated from Office records or 
entered by the applicant directly into the Office's automated systems, 
and electronically reviewed for certification.
    Section 7.13(b) states that if the Office cannot certify that the 
information contained in the international application corresponds with 
the information in the basic application or registration, the Office 
will notify the applicant that the international application cannot be 
certified. Any international fees (see Sec.  7.7) paid through the 
Office will be refunded; however, the Office will not refund the 
certification fee.
Correcting Irregularities in International Application--Sec.  7.14
    The IB will notify both the international applicant and the Office 
of any irregularities in an international application. Under Rule 11 of 
the Common Regulations, the international applicant must correct 
certain irregularities through the Office. Fees for correcting 
irregularities in an international application must be paid directly to 
the IB. All other irregularities requiring applicant's response may 
either be submitted through the Office or filed directly at the IB. 
Section 7.14(b) sets forth the types of irregularities that must be 
corrected through the Office, and Sec.  7.14(e) sets forth the 
procedures for responding to irregularities through the Office.
    To be considered timely, responses to IB notices of irregularities 
must be received by the IB before the end of the response period set 
forth in the IB's notice. Receipt in the Office does not fulfill this 
requirement.
    Information about filing directly with the IB is available on the 
WIPO Web site, currently at http://www.wipo.int/madrid/en/. The 
applicant may contact the IB by mail to the World Intellectual Property 
Organization, 34 chemin des Colombettes, PO Box 18, CH-1211 Geneva 20, 
Switzerland; by telephone at 41 22 338 9111; by fax to 41 22 740 1429; 
or by e-mail to [email protected].
Irregularities in Classification and Identification of Goods/Services
    Rules 12 and 13 of the Common Regulations provide that the IB will 
not consider a response to irregularities in classification or 
identification of goods and/or services unless the response is 
submitted through the office of origin. Section 7.14(b) therefore 
requires that an international applicant respond to irregularities in 
classification and identification of goods and/or services through the 
Office. Because the Office must certify that the goods or services in 
an applicant's response are within the scope of the basic application 
or registration at the time the response is filed, responses to 
irregularities in the identification will be reviewed by the MPU.
    If the goods or services in the basic application or registration 
have been amended since the date the international application was 
submitted to the Office, the goods and services in the response to the 
IB notice must be within the scope of the amended goods and services. 
If the response includes goods and services that exceed the scope of 
the goods and services in the basic application or registration as 
amended, the MPU will reject the response and notify the applicant. If 
there is time remaining in the IB response period, the applicant may 
submit a corrected response. If the goods and services in an 
applicant's response do not exceed the scope of the goods and services 
in the basic application or registration as amended, and the IB 
response period has not

[[Page 55751]]

expired, the MPU will certify the goods and services and forward the 
response to the IB.
Fees To Correct Irregularities Must Be Paid Directly to the IB
    Section 7.14(c) provides that fees for correcting irregularities in 
an international application must be paid directly to the IB. This is 
true even if the applicant is filing a response to correct other 
irregularities through the Office. At this time, the Office's automated 
system cannot process fees to correct irregularities in an 
international application.
Other Irregularities Requiring Response From Applicant
    Under Sec.  7.14(d), applicants may respond to all other 
irregularities either through the Office in accordance with Sec.  
7.14(e), or directly at the IB. The Office will not respond to any 
irregularities on behalf of an applicant. Except for an applicant's 
response to irregularities in the identification of goods and services, 
the Office will not review responses to IB notices of irregularities.
Procedures for Responding to IB Notices of Irregularities Through the 
Office
    To be considered timely, responses to IB notices of irregularities 
must be received by the IB before the end of the response period set 
forth in the IB's notice. Receipt in the Office does not fulfill the 
requirement for timely submission to the IB.
    Under Sec.  7.14(e), the Office requires that applicants use TEAS 
to submit responses through the Office. Responses submitted through the 
Office for forwarding to the IB should be submitted as soon as 
possible, but at least one month before the end of the response 
deadline set forth in the IB's notice. The Office will not process any 
response submitted to the Office after the IB response deadline.

Subsequent Designations--Sec.  7.21

    Section 64 of the Act and Sec.  7.21 permit the holder of an 
international registration to submit a subsequent designation through 
the Office, if: (1) The international registration is based on a U.S. 
application or registration; and (2) the holder of the international 
registration is a national of, is domiciled in, or has a real and 
effective industrial or commercial establishment in the United States. 
The holder also has the option of filing a subsequent designation 
directly with the IB.
    Under Sec.  7.21, if a subsequent designation is submitted through 
the Office, it must be submitted through TEAS and include the 
international registration number, the name and address of the holder 
of the international registration, one or more Contracting Parties in 
which an extension of protection is sought, and a list of goods and/or 
services that is identical to or narrower than the goods and/or 
services listed in the international registration. The holder can omit 
or revise goods and/or services from the subsequent designation as long 
as the omission or revision does not broaden the scope of the goods or 
services identified in the international registration. The holder must 
include the U.S. transmittal fee and all subsequent designation fees 
(see Sec.  7.7) at the time of submission. The Office is not required 
to certify a subsequent designation.
    The IB will review a subsequent designation for compliance with 
Rule 24 of the Common Regulations before forwarding the request for 
extension of protection to the designated Contracting Parties. If there 
are any irregularities in the subsequent designation, the IB will 
notify both the holder and the Office. The holder must file any 
responses to the notice or irregularities directly with the IB. The 
Office will not forward any responses to irregularities in a subsequent 
designation to the IB, even if the subsequent designation was submitted 
through the Office.

Recording Changes to International Registration

    The IB shall record changes to international registrations pursuant 
to Articles 9 and 9\bis\ of the Madrid Protocol. Section 7.22 requires 
that all requests to record changes to an international registration be 
filed at the IB, except in the limited circumstances in which an 
assignment, or restriction of a holder's right of disposal of an 
international registration or the release of such a restriction, must 
be submitted through the Office, as set forth in Sec. Sec.  7.23 and 
7.24. Section 10 of the Act and 37 CFR part 3 are not applicable to 
such assignments or restrictions.
    The Office will not take note of an assignment or restriction of a 
holder's right of disposal of an international registration in its 
records unless the IB notifies the Office that the assignment or 
restriction has been recorded in the International Register. When the 
IB sends notice of an assignment of an international registration with 
an extension of protection to the United States, the MPU will update 
the ownership information in the Trademark database and forward the IB 
notice to the Assignment Services Division to update its automated 
records. An assignment of an extension of protection that has not been 
recorded at the IB will not be reflected in the Trademark database, 
even if the assignment has been inadvertently recorded by the 
Assignment Services Division.
    Section 7.23 sets forth the limited circumstances in which a 
request to record an assignment of an international registration may be 
submitted through the Office. The Office will accept and forward to the 
IB a request to record an assignment of an international registration 
by an assignee who is a national of, is domiciled in or has a real and 
effective commercial or industrial establishment in the U.S. only if 
the assignee cannot obtain the assignor's signature for the request to 
record the assignment and the request meets the requirements of Sec.  
7.23.
    Section 7.24 sets forth the limited circumstances in which a 
request to record a restriction of a holder's right of disposal of an 
international registration, or the release of such a restriction, may 
be submitted through the Office. Under Sec.  7.24, the Office will 
accept for submission and forward to the IB a request to record a 
restriction of a holder's right of disposal of an international 
registration (usually a security interest), or the release of such a 
restriction, by a party holding the restriction who is a national of, 
is domiciled in or has a real and effective commercial or industrial 
establishment in the U.S. only if: (1) (i) The restriction is the 
result of a court order; or (ii) 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, and the signature of 
the holder of the international registration cannot be obtained; (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. The request must meet the requirements of Sec.  7.24(b). 
The Office will charge a fee for transmitting a request to record an 
assignment or restriction, or the release of a restriction, to the IB.

Requests for Extension of Protection to the United States

    Under section 65 of the Act, the holder of an international 
registration may request an extension of protection of the 
international registration to the United States, provided the 
international registration is not based on a U.S. application or 
registration.

[[Page 55752]]

    The holder may file with the IB a request for extension of 
protection to the United States in either an international application 
or a subsequent designation. Section 66(a) of the Act requires that a 
request for extension of protection to the United States include a 
declaration of bona fide intention to use the mark in commerce that the 
United States Congress can regulate. The allegations in a verified 
statement required by an international applicant or holder seeking an 
extension of protection of an international registration to the United 
States are set forth in Sec.  2.33(e). See discussion below of new 
Sec.  2.33(e). The IB will certify that the request for extension of 
protection contains a properly signed declaration of bona fide 
intention to use the mark in commerce when it forwards the request to 
the Office. The declaration will remain part of the international 
registration on file at the IB.
    The IB will forward the request for extension of protection to the 
Office electronically. A holder cannot file a request for extension of 
protection to the United States directly with the Office.
    Section 7.25 provides that for purposes of examination and 
opposition, a request for an extension of protection to the United 
States will be referred to as an application for registration under 
section 66(a) of the Act; that references to ``applications'' and 
``registrations'' in 37 CFR part 2 include extensions of protection to 
the United States; and that upon registration, an extension of 
protection will be referred to as a ``registration,'' a ``registered 
extension of protection,'' or a ``section 66(a) registration.'' With 
the exception of Sec. Sec.  2.130-2.131, 2.160-2.166, 2.168, 2.172, 
2.173, 2.175 and 2.181-2.186, all the sections in 37 CFR parts 2 and 10 
apply to a request for extension of protection to the United States.
    Under Sec.  7.26, the filing date of a request for extension of 
protection to the United States for purposes of examination in the 
Office is: (1) The international registration date, if the request for 
extension of protection to the United States was made in the 
international application, or (2) the date the IB recorded the 
subsequent designation, if the request for extension of protection to 
the United States was made in a subsequent designation. Under section 
66(b) of the Act, the filing date of the extension of protection will 
be considered the date of constructive notice pursuant to section 7(c) 
of the Act.
    Under section 67 of the Act and Sec.  7.27, the holder of an 
international registration may claim priority under Article 4 of the 
Paris Convention for the Protection of Industrial Property if: (1) The 
request for an extension of protection contains a claim of priority; 
and (2) the international registration date or the date of recordal of 
the subsequent designation at the IB requesting an extension of 
protection to the United States is no later than six months after the 
filing date of the application that formed the basis of the claim of 
priority.

Replacement

    Under Article 4bis of the Madrid Protocol, where a mark 
that is the subject of a national or regional registration in the 
Office of a Contracting Party is also the subject of an international 
registration and both registrations are in the name of the same person, 
the international registration is deemed to replace the national or 
regional registration, without prejudice to any rights acquired by 
virtue of the latter, provided that: (1) The protection resulting from 
the international registration extends to that Contracting Party; (2) 
all the goods and services listed in the national or regional 
registration are also listed in the international registration with 
respect to that Contracting Party; and (3) the extension of protection 
takes effect after the date of the national or regional registration.
    Under section 74 of the Act and Sec.  7.28(a), a registered 
extension of protection to the United States affords the same rights as 
a previously issued U.S. registration if: (1) Both registrations are 
owned by the same person and identify the same mark; and (2) the goods/
services in the previously issued U.S. registration are covered by the 
registered extension of protection. Under Sec.  7.28(b), the holder of 
a registered extension of protection may request that the Office note 
in its records replacement of the earlier U.S. registration by the 
extension of protection. The Office will require a fee to note 
replacement.
    Under Sec.  7.29, the replaced U.S. registration will remain in 
force, unless cancelled, expired or surrendered, as long as the owner 
files affidavits or declarations of use or excusable nonuse under 
section 8 of the Act and renews the registration under section 9 of the 
Act.

Effect of Cancellation or Expiration of International Registration on 
Extension of Protection

    Under section 70 of the Act and Sec.  7.30, the Office will cancel 
a pending or registered extension of protection to the United States, 
in whole or in part, if the IB notifies the Office of the cancellation 
or expiration of the corresponding international registration, in whole 
or in part.

Transformation

    Under section 70(c) of the Act and Sec.  7.31, if an international 
registration is cancelled, in whole or in part, by the IB at the 
request of the office of origin under Article 6(4) of the Madrid 
Protocol (due to the cancellation or expiration of the basic 
application or registration), the holder of the international 
registration may file a request to transform the corresponding 
extension of protection to the United States into an application under 
sections 1 and/or 44 of the Act. If only a portion of the cancelled 
goods and services in the international registration pertains to the 
extension of protection to the United States, the Office will not 
cancel the entire extension of protection, but will instead delete the 
cancelled goods or services from the extension of protection. The 
holder of the extension of protection may request transformation only 
as to the cancelled goods or services.
    The requirements for transformation are set forth in Sec.  7.31(a). 
The holder of an international registration must file the request for 
transformation through TEAS within three months of the date of 
cancellation of the international registration. The request must 
include an application filing fee for at least one class of goods and/
or services.
    Under Sec.  7.31(b), if a request for transformation contains all 
the elements in Sec.  7.31(a), the cancelled extension of protection to 
the United States will be transformed into an application under 
sections 1 and/or 44 of the Act. The application will be accorded the 
same filing date and same priority (if any) as the cancelled extension 
of protection to the United States. The application resulting from the 
transformation will be examined as a new application under part 2 and, 
if approved for publication, published for opposition. The application 
must meet all the requirements of the Act and rules for an application 
under section 1 and/or section 44 of the Act, as appropriate.
    If the holder does not meet the requirements of Sec.  7.31(a), the 
Office will not process the request for transformation.

Maintaining an Extension of Protection to the United States

    Section 71 of the Act and Sec.  7.36 require the holder of an 
international registration with a registered extension of protection to 
the United States to file an affidavit or declaration of use in

[[Page 55753]]

commerce or excusable nonuse during the following time periods: (1) 
Between the fifth and sixth year after the date of registration in the 
United States; and (2) within the six-month period before the end of 
every ten-year period after the date of registration in the United 
States, or upon payment of a grace period surcharge, within the three-
month grace period immediately following.
    There is no requirement in the MPIA that the holder of a registered 
extension of protection to the United States renew the extension of 
protection in the Office under section 9 of the Act. Renewal of 
international registrations is governed by Article 7 of the Madrid 
Protocol and Rules 29-31 of the Common Regulations. The term of an 
international registration is ten years, and it may be renewed for ten 
years upon payment of the renewal fee.
    Under Sec.  7.41, renewal of an international registration and its 
extension of protection to the United States must be made directly with 
the IB. A request for renewal of an international registration cannot 
be submitted through the Office. If an international registration is 
not renewed at the IB, the registration will lapse, and the IB will 
notify the Office. Pursuant to section 70(b) of the Act, the Office 
will cancel the corresponding extension of protection to the United 
States.

Comments to Part 7 Rules

    Comment: One comment voiced a concern that people who reside in the 
West will be disadvantaged by the Office's adherence to Eastern Time 
for according date and time of receipt of correspondence under Sec.  
7.4.
    Response: The Office currently uses Eastern Time to accord a date 
and time of receipt to trademark-related correspondence, even when 
documents are submitted by customers on the West Coast and overseas. 
Under the current practice, the Office is able to consistently accord a 
receipt date to the thousands of documents it receives daily, without 
regard to the time zone in which the correspondence originated. This 
ensures effective and expeditious processing of incoming 
correspondence. Applying the same practice to correspondence related to 
international applications and registrations will provide continuity to 
the incoming correspondence process.
    Comment: One comment requested an explanation of the Office's fees 
for transmitting IB filings submitted electronically by applicants and 
the associated burden on the Office in comparison with the fees and 
associated burden on other national trademark offices.
    Response: The fees for processing IB filings under the Madrid 
Protocol reflect not only the ``handling fee'' but also the cost of 
redesigning the Office's automated systems so that it can receive 
documents from and transmit documents to the IB, and maintain 
electronic copies of documents sent to and received from the IB; the 
cost of reprogramming and expanding TEAS to add new forms for filings 
related to the Madrid Protocol; and the expense associated with 
establishing, staffing and operating a new business unit, the Madrid 
Processing Unit (MPU). Each Contracting Party sets their own 
transmittal fees. The Office does not provide information about other 
national trademark offices.
    Comment: Two comments opposed mandatory electronic filing and 
requested that the Office provide an alternative to electronic filing.
    Response: It is imperative that the Office process international 
applications expeditiously because the Office must certify and forward 
an international application meeting the requirements of Sec.  7.11 to 
the IB within two months of the date of receipt in the Office in order 
to provide the applicant with an international registration date as of 
the date of receipt of the international application in the Office. 
Electronic filing saves the Office time in processing international 
applications and provides greater assurance to customers and the Office 
that the information contained in the electronic application is 
accurate. The pre-populated form takes information directly from the 
Office records, and the information entered by an applicant in the free 
text form is entered directly into the Office's automated system. The 
use of a completely automated system eliminates the additional time and 
work steps involved in scanning a paper application into electronic 
form and reduces the possibility of the paper application becoming lost 
within the Office.
    Comment: Four comments requested that the Office eliminate the 
requirement for an address that is identical to the address in the 
basic application or registration.
    Response: The Office has eliminated that requirement.
    Comment: Two comments suggested that the Office adopt a mechanism 
to link the trademark automated records with the assignment automated 
records to avoid ownership discrepancies in the Office records.
    Response: The Office has created an interface between the automated 
system in the Assignment Services Division of the Office and the 
Trademark database that will enable the Office to update ownership 
information in the Trademark database when an assignment of the entire 
interest and goodwill, a name change or a merger has been recorded in 
the Assignment Services Division. This change in practice will apply 
only to documents recorded on and after the date on which the new 
procedures are implemented. The Office will implement these new 
procedures on or before November 2, 2003. A notice with detailed 
guidelines will be published in the Official Gazette and posted on the 
Office's Web site prior to November 2, 2003.
    Comment: One comment asked if the TEAS form will permit an 
international applicant to authorize some charges to a U.S. deposit 
account and other charges to an IB account in a single filing.
    Response: The TEAS form is designed to permit an international 
applicant to authorize some charges to a U.S. deposit account and other 
charges to an IB account in a single filing.
    Comment: Two comments requested that the Office treat international 
applications that do not meet the requirements of Sec.  7.11(a) as 
informal and allow applicants an opportunity to correct any 
deficiencies.
    Response: Setting up a docketing system for informal international 
applications is unnecessary and inefficient. Since an international 
application is filed in ``real'' time through TEAS, if required 
information is omitted from an international application, the applicant 
will immediately receive a TEAS error message. If the Office cannot 
certify an international application, the MPU will send an e-mail 
message. In either case, the applicant may immediately re-file the 
international application with the correct information through TEAS.
    Comment: One comment suggested that Sec.  7.14 identify the 
irregularities that the Office must correct under the Common 
Regulations.
    Response: The suggestion has not been adopted. The irregularities 
that the Office must remedy are set forth in Rule 11(4) of the Common 
Regulations, and are not repeated in part 7 of these rules.
    Comment: One comment requested that the Office change the 
applicant's deadline for submitting responses to IB notices of 
irregularities through TEAS from one month to seven days prior to the 
IB deadline.
    Response: The one-month response period set forth in Sec.  7.14(e) 
is a suggestion, not a deadline. Only responses to correct 
irregularities in classification and identification of goods and 
services must be submitted through the Office. Early submission is

[[Page 55754]]

encouraged to allow the Office sufficient time to process responses to 
irregularities in classification and identification of goods and/or 
services through the Office. Fees for correcting irregularities must be 
paid directly to the IB. All other responses to correct irregularities 
can be filed directly at the IB or submitted through the Office for 
forwarding to the IB. See discussion above of Sec.  7.14.
    Comment: One comment stated that the Office should be willing to 
assist international applicants in resolving classification or 
identification issues raised by the IB.
    Response: The IB will propose changes to the identification and 
classification of goods and services in its notice of irregularities 
concerning goods and services. Because the final decision on 
classification and identification for an international application 
rests with the IB, the Office recommends that applicants adopt 
suggestions offered by the IB, if accurate.
    Comment: One comment requested that the Office treat deficient 
requests to record an assignment or restriction (see Sec. Sec.  7.23 
and 7.24) as informal and allow the filer an opportunity to correct 
deficiencies within a reasonable time.
    Response: Setting up a docketing system for deficient requests is 
unnecessary and inefficient. If the request is deficient, the Office 
will inform the filer of the deficiency in an e-mail message. The 
applicant/holder will have the opportunity to immediately re-file.
    Comment: One comment stated that noting replacement of an extension 
of protection before registration could cause confusion as to the 
effect of such notice.
    Response: The Office has revised Sec.  7.28. Under Article 
4bis of the Madrid Protocol and section 74 of the Act, 
replacement does not take effect until the extension of protection 
matures into a registration. Therefore, the Office will not note 
replacement of an extension of protection unless the mark has 
registered.
    Comment: Two comments stated that the grace period for affidavits 
of use under Sec.  7.36 should be changed from three months to six 
months.
    Response: The grace period for filing an affidavit of use of a 
registered extension of protection is set forth in section 71 of the 
Act and will require a statutory amendment.

Amendment to Part 2 Rules

    In addition to the new rules added as part 7 of 37 CFR, the Office 
is amending rules and adding new rules to part 2 of 37 CFR to bring the 
rules of practice in trademark cases into conformance with the MPIA, to 
set forth the requirements for examination and registration of 
extensions of protection to the United States, as well as proceedings 
before the Trademark Trial and Appeal Board relating to them, and to 
otherwise clarify and improve the procedures for processing trademark 
applications and conducting proceedings before the Trademark Trial and 
Appeal Board.
    The Office is amending rules 2.2, 2.11, 2.17, 2.18, 2.19, 2.21, 
2.33, 2.34, 2.35, 2.37, 2.47, 2.51, 2.52, 2.56, 2.65, 2.66, 2.73, 2.75, 
2.84, 2.88, 2.101, 2.102, 2.104, 2.105, 2.107, 2.111, 2.112, 2.113, 
2.118, 2.121, 2.123, 2.127, 2.128, 2.130, 2.131, 2.142, 2.145, 2.146, 
2.151, 2.161, and 2.171; and adding rules 2.53, 2.54, and 2.126.
    The Office is amending Sec.  2.2 to add definitions of ``ESTTA'' 
(Electronic System for Trademark Trials and Appeals) and 
``international application.''
    The Office is revising Sec.  2.11 and its heading to indicate that 
representation before the Office is governed by 37 CFR 10.14. It is 
redundant to have provisions governing representation before the Office 
in both parts 2 and 10.
    The Office is rewording Sec.  2.17(b) by adding a reference to 
Sec.  10.14(b), and rewording Sec.  2.17(a) and (c) by replacing 
``paper'' with ``document.''
    The Office is amending Sec.  2.18 to clarify procedures for 
establishing a correspondence address in trademark cases. The amendment 
does not change current practice.
    The Office is amending Sec.  2.19(a) to clarify procedures for 
sending correspondence after a power of attorney is revoked, and 
amending Sec.  2.19(b) to indicate that the procedures for permissive 
withdrawal of an attorney are governed by Sec.  10.40.
    The Office is amending Sec.  2.21(a) to indicate that Sec.  2.21 
sets forth the minimum filing requirements only for applications under 
sections 1 and 44 of the Act. The filing date of an application under 
section 66(a) of the Act is governed by section 66(b) of the Act and 
Sec.  7.26.
    Section 2.33(d)(1) is amended to delete the requirement that a 
party who signs a trademark document electronically print, sign, date 
and maintain a paper copy of the electronic submission. It is 
burdensome and inefficient to require parties who file electronically 
to maintain both paper and electronic records of the filings.
    The Office is also amending Sec.  2.33 by adding paragraph (e), 
setting forth the requirements for a verified statement for an 
application under section 66(a) of the Act, and stating that the 
verified statement is part of the international registration on file at 
the IB.
    The Office is removing Sec. Sec.  2.34(a)(1)(v), 2.34(a)(2)(ii), 
2.34(a)(3)(iv) and 2.34(a)(4)(iv), which state that an application may 
list more than one item of goods or more than one service, provided 
that the applicant has used or has a bona fide intention to use the 
mark in commerce on or in connection with all the specified goods or 
services. This is stated in Sec. Sec.  2.32(a)(6), 2.33(b)(1) and 
2.33(b)(2), and it is unnecessary to repeat it in Sec.  2.34.
    The Office is amending Sec.  2.34(a)(4)(i)(A) to require that an 
application based on section 44(d) of the Act specify the serial number 
of the foreign application. This incorporates a requirement of Article 
4(D)(5) of the Paris Convention, and codifies current practice, as 
stated in TMEP Sec.  1003.
    The Office is adding a new Sec.  2.34(a)(5), setting forth a 
request for extension of protection of an international registration 
under section 66(a) of the Act as a fifth basis for filing a trademark 
application.
    The Office is revising Sec.  2.34(b) to provide that more than one 
basis can be claimed only in an application under section 1 or 44 of 
the Act, and that a basis under section 66(a) of the Act cannot be 
combined with any other basis.
    The Office is revising Sec.  2.35(a) to state that in an 
application under section 66(a) of the Act, the 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.
    The Office is revising Sec.  2.35(b) to clarify that the 
requirements for adding, substituting or deleting a basis apply only to 
applications under sections 1 and 44 of the Act. This does not change 
current practice.
    The Office is redesignating Sec.  2.35(c) through 2.35(h) as Sec.  
2.35(b)(3) through 2.35(b)(8).
    The Office is amending Sec.  2.37(b) to delete the requirement for 
a description of a mark that has color. The requirement for a 
description of color for marks where color is claimed as a feature of 
the mark is already set forth in Sec.  2.52, and it is unnecessary to 
repeat the requirement in Sec.  2.37.
    The Office is amending Sec.  2.47 to indicate that an application 
under section 66(a) of the Act is not eligible for registration on the 
Supplemental Register. Section 68(a)(4) of the Act provides that 
registration of an extension of protection of an international 
registration shall be

[[Page 55755]]

refused to any mark not eligible for registration on the Principal 
Register.
    The Office is rewording Sec.  2.51 to simplify the rule and to add 
a provision that, in an application under section 66(a) of the Act, the 
drawing of the mark must be a substantially exact representation of the 
mark that appears in the international registration.
    The Office is revising Sec.  2.52 to clarify the types of drawings 
and format for drawings. There are two types of drawings: (1) Standard 
character drawings; and (2) special form drawings. Currently the rules 
refer to ``typed drawings.'' The Office is using the term ``standard 
character'' in the amended rules instead of the term ``typed'' because 
this is the term used for international applications under the Madrid 
Protocol. Section 2.52(a) sets forth the requirements for a standard 
character drawing, and Sec.  2.52(b) sets forth the requirements for a 
special form drawing.
    Section 2.52(a) permits an applicant to submit a standard character 
drawing, if the applicant seeks to register words, letters, and/or 
numbers without claim to any particular font style, size, or color, and 
the mark does not include a design element. Only Latin characters, 
Roman or Arabic numerals and common punctuation and diacritical marks 
may be used in a standard character drawing. The Office has created a 
chart of acceptable characters that may be included in a standard 
character drawing. The Office's standard characters set is attached as 
an appendix to this notice and will be published on the Office's Web 
site and linked to TEAS forms.
    A standard character drawing does not have to display the mark in 
all upper case letters, but may display the mark in any font style. To 
avoid any confusion as to whether an applicant is seeking registration 
of a mark in standard characters or in the particular font style 
depicted in the drawing, Sec.  2.52(a)(1) requires an applicant seeking 
registration of a mark in standard characters to submit a statement 
that the mark is in standard characters and that no claim is made to 
any particular font style, size, or color. If a drawing displays a mark 
in all capital letters or includes the wording ``typed drawing,'' the 
Office will treat the drawing as a standard character drawing and the 
examining attorney will amend the application to include a standard 
characters statement by Examiner's Amendment. No prior authorization 
from the applicant is required for this type of Examiner's Amendment. 
If it is unclear whether the drawing is a standard character drawing or 
a special form drawing, the examining attorney will require the 
applicant to clarify the type of drawing during examination.
    Section 2.52(b) requires a special form drawing if an applicant 
seeks to register a design, a mark that contains color, or a mark 
comprised of words, letters and/or numbers in a particular font style 
or size.
    Section 2.52(b)(1) requires that if a mark includes color, the 
drawing must show the mark in color and the applicant must claim color 
as a feature of the mark, name the color(s) and describe where the 
color(s) appear in the mark.
    Currently, the Office does not accept color drawings. Under the 
current rules, to show color in a mark, an applicant must submit a 
black and white drawing, with a statement identifying the color(s) and 
describing where they appear in the mark. Alternatively, an applicant 
may show color by using the lining chart set forth in TMEP Sec.  
807.09(b).
    Effective November 2, 2003, the Office will accept color drawings, 
and will require that applicants whose marks include color submit a 
drawing that shows color. The Office will no longer accept black and 
white drawings with a color claim, or drawings that are ``lined for 
color.'' Under Sec.  2.52(b)(1), if color is not claimed as a feature 
of the mark, the applicant must submit a black and white drawing. This 
is consistent with the requirements for international applications 
under the Madrid Protocol.
    The new requirements under Sec.  2.52(b)(1) do not prohibit the use 
of stippling in a black and white drawing. The Office will continue to 
process drawings with stippling as black and white drawings. However, 
if shading in a mark produces gray tones or gray is a feature of the 
mark, the Office will process the drawing as a color drawing and 
require a color claim.
    The Office is adding Sec.  2.53, setting forth additional 
requirements for drawings filed through TEAS, and Sec.  2.54, setting 
forth additional requirements for drawings submitted on paper.
    Section 2.53(a) requires an applicant submitting a standard 
character drawing to type the mark in the appropriate field on the TEAS 
form or attach a digitized image of the mark that meets the 
requirements of Sec.  2.53(c). If the applicant enters the mark in the 
appropriate text field on the TEAS form and the standard characters in 
the applicant's mark are all included in the Office's standard 
character set (see Appendix), the Office will create a digitized image 
of the mark in .jpg format and attach the image to the TEAS submission. 
If the applicant enters a mark that includes characters not in the 
Office's standard character set, an error message will appear. The 
applicant will then be required to attach a digitized image of the mark 
that meets the requirements of Sec.  2.53(c).
    Section 2.53(b) requires an applicant filing a special form drawing 
to attach to its TEAS submission a digitized image of the mark that 
meets the requirements of Sec.  2.53(c).
    Section 2.53(c) requires a digitized image of the mark that is 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. The image must be clear and produce 
a high quality image when copied. These requirements are necessary to 
ensure that the Office database contains a clear and accurate 
reproduction of the mark and meets the 8 cm by 8 cm size limit that is 
required for an international application.
    The Office is adding Sec.  2.54, setting forth the requirements for 
a paper drawing. These requirements are necessary to ensure that the 
Office receives an image that can be scanned into its database without 
losing clarity.
    The Office is amending Sec.  2.56(d)(4) to require that a specimen 
transmitted electronically be a digitized image in .jpg format.
    The Office is amending Sec.  2.65(a) to add a statement that if a 
refusal or requirement is expressly limited to only certain goods and/
or services and the applicant fails to file a complete response to the 
refusal or requirement, the application shall be abandoned only as to 
those particular goods and/or services. This is a change in practice. 
Currently, failure to respond to a refusal that pertains to fewer than 
all the goods and/or services, or fewer than all the classes, will 
result in abandonment of the entire application. See TMEP Sec.  
1403.05. This change in practice will result in fewer abandoned 
applications and comports with sections 68(c) and 69(a) of the Act, 
which provide that an application under section 66(a) of the Act is 
automatically protected with respect to any goods or services for which 
the Office has not timely notified the IB of a refusal.
    Proposed Sec.  2.66(a) required an applicant to file a petition to 
revive an abandoned application based on unintentional delay within two 
months of the mailing date of the notice of abandonment. The proposed 
rule removed Sec.  2.66(a)(2), which provides that such a petition may 
be filed within two months of actual knowledge of the abandonment if 
the applicant did not

[[Page 55756]]

receive the notice of abandonment and the applicant was diligent in 
checking the status of the application. This change in practice was 
proposed to improve the accuracy and integrity of the Office database, 
to prevent harm to third parties who have searched Office records, and 
to prevent the loss of international registrations due to the 
abandonment of the basic application.
    The strict time limits imposed by Article 5(2) of the Madrid 
Protocol for issuing refusals of requests for extension of protection 
of international registrations to the United States increase the 
importance of the accuracy and integrity of the Office database. 
Moreover, because of the dependency of an international registration on 
a basic application under Article 6 of the Madrid Protocol, filing a 
petition to revive an abandoned application that serves as the basis of 
an international registration, more than two months after the date of 
abandonment may result in the loss of the international registration. 
If the basic application is abandoned, and a petition to revive is not 
filed within two months of the mailing date of the notice of 
abandonment, the Office will notify the IB of the abandonment of the 
application. The IB will then cancel the international registration 
that was based on the U.S. application. Once the IB cancels an 
international registration, it cannot be revived, even if the basic 
application is revived.
    However, in view of several comments objecting to the proposed 
amendment, the Office has reconsidered this proposed change and is not 
removing Sec.  2.66(a)(2). Instead, the Office is revising Sec.  
2.66(a)(2) to require that an applicant, who files a petition to revive 
within two months of actual knowledge of the abandonment of the 
application and who did not receive a notice of abandonment of the 
application, must have been diligent in checking the status of the 
application every six months from the filing date of the application to 
the issuance of a registration in accordance with Sec.  2.146(i).
    The Office is not adopting proposed Sec.  2.72(d), which would have 
provided that in an application under section 66(a) of the Act, the 
applicant could amend the description or drawing of the mark if the 
proposed amendment does not materially alter the mark. The Madrid 
Protocol and the Common Regulations do not permit the amendment of a 
mark in an international registration. If the holder of the 
international registration wants to change the mark in any way, even 
slightly, the holder must file a new international application. See the 
IB's Guide to International Registration, Para. B.II.69.02 (2002). 
Because an application under section 66(a) of the Act is a request to 
extend protection of the mark in an international registration to the 
United States, the Office will not permit any amendment to the mark in 
a section 66(a) application.
    Section 2.73 sets forth the requirements for amendment of an 
application to recite concurrent use under section 2(d) of the Act. The 
Office is amending Sec.  2.73(a) to add references to applications 
under sections 44 and 66(a) of the Act.
    The Office is adding a new Sec.  2.75(c), stating that in an 
application under section 66(a) of the Act, the applicant may not amend 
the application to the Supplemental Register. As noted above, section 
68(a)(4) of the Act provides that registration of an extension of 
protection of an international registration shall be refused to any 
mark not eligible for registration on the Principal Register.
    The Office is revising Sec.  2.84(a) and (b) to add references to 
the new filing basis under section 66(a) of the Act. The provisions 
with respect to requesting jurisdiction over published section 66(a) 
applications are similar to those in applications under sections 1(a) 
and 44 of the Act. However, when deciding whether to grant requests for 
jurisdiction of section 66(a) applications, the Director must also 
consider the strict time limits for notifying the IB of a refusal of an 
application under section 66(a) of the Act, set forth in Article 5(2) 
of the Madrid Protocol and section 68(c) of the Act.
    Section 2.88(i)(3) is amended to correct a cross-reference.
    The Office is amending Sec. Sec.  2.101(a), 2.111(a), 2.118 and 
2.145(c)(4) to refer to the United States Patent and Trademark Office 
as Office.
    The Office is amending Sec.  2.101(b) to substitute ``person'' for 
``entity'' to track the statutory language; to make the rule gender 
neutral; to clarify the definitions of ``attorney'' and ``other 
authorized representative'' by reference to Sec. Sec.  10.1(c) and 
10.14(b), respectively; to clarify that an opposition must be signed; 
and to indicate that electronic signatures are required for 
electronically filed oppositions.
    The Office is adding a new Sec.  2.101(b)(1) and a new Sec.  
2.101(b)(2) stating that an opposition to an application based on 
section 1 or 44 of the Act must be filed either on paper or 
electronically through ESTTA, but that an opposition to an application 
based on section 66(a) of the Act must be filed only through ESTTA.
    The Office is revising Sec.  2.101(d)(1) through Sec.  2.101(d)(3) 
and adding new Sec.  2.101(d)(3)(i) through Sec.  2.101(d)(3)(iii) to 
indicate that the Office will not accept an opposition submitted 
through ESTTA that does not include fees to cover all named party 
opposers and all classes opposed; and that the Office will not 
institute an opposition proceeding if an opposition submitted on paper 
does not include a fee sufficient to pay for one person to oppose the 
registration of a mark in at least one class. Prior to instituting an 
opposition, the Board will no longer correspond with an opposer in an 
opposition submitted on paper to permit submission of additional fees 
or designation of party opposers and/or classes where an opposition is 
submitted with insufficient fees to pay for opposition by all party 
opposers and/or in all classes. The amended regulation explains how the 
Office will apply a fee accompanying a paper submission that is 
insufficient to cover all classes and/or to cover all party opposers. 
The Board will notify opposer when the opposition is instituted and 
will indicate in the notification the opposers and classes opposed, 
i.e., for which the required fees were submitted.
    The Office is amending Sec.  2.102(a) to make the rule gender 
neutral; to clarify the definitions of ``attorney'' and ``authorized 
representative'' by reference to Sec. Sec.  10.1(c) and 10.14(b), 
respectively; to clarify that a request to extend the time for filing 
an opposition must be signed; and to indicate that electronic 
signatures are required for electronically filed requests to extend the 
time for filing oppositions.
    The Office is adding a new Sec.  2.102(a)(1) and a new Sec.  
2.102(a)(2) stating that a written request to extend the time for 
filing an opposition to an application based on section 1 or 44 of the 
Act must be filed either on paper or electronically through ESTTA, but 
stating that a request to extend the time for filing an opposition to 
an application based on section 66(a) of the Act must be filed only 
through ESTTA.
    The Office is revising Sec.  2.102(c) to set out the time frames 
for extensions of time to oppose and to indicate that the Trademark 
Trial and Appeal Board will no longer extend a potential opposer's time 
to file an opposition beyond 180 days from the date the mark is 
published for opposition. The Office is adding Sec.  2.102(c)(1), (2) 
and (3) to state the requirements concerning the filing of permitted 
requests to extend the time for filing an opposition.
    The Office is removing Sec.  2.102(d), which requires submission of 
extension requests in triplicate.

[[Page 55757]]

    The Office is revising Sec.  2.104(a) to remove the requirement 
that a duplicate copy of the opposition, including exhibits, be filed 
with an opposition.
    The Office is rewording the heading for Sec.  2.105 to specify that 
notification of opposition proceedings is to the parties.
    The Office is revising Sec.  2.105 to clarify the definitions of 
``attorney'' and ``authorized representative'' by reference to 
Sec. Sec.  10.1(c) and 10.14(b), respectively; and to indicate that, if 
no attorney or other authorized representative is appointed, 
notification will be sent to a party's domestic representative, or, if 
there is no domestic representative, notification will be sent to the 
party.
    The Office is redesignating Sec.  2.107 as Sec.  2.107(a); and 
revising it to limit this paragraph to oppositions against an 
application filed under section 1 or 44 of the Act; and to incorporate 
in the rule the existing Board practice which prohibits an opposer in a 
proceeding against an application filed under section 1 or 44 of the 
Act from adding to the goods or services in an opposition after the 
period for filing the opposition has closed.
    The Office is adding a new Sec.  2.107(b) to state that 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, such opposition may not be amended to add to the 
goods or services opposed, or to add to the grounds for opposition. 
Thus, opposer may not add an entirely new ground for opposition or add 
an additional claimed registration to a previously stated section 2(d) 
ground. An opposer may make amendments to grounds asserted in the 
notice of opposition, for example, for clarification.
    The Office is revising Sec.  2.111(b) to substitute ``person'' for 
``entity'' to track the statutory language; to make the rule gender 
neutral; to clarify the definitions of ``attorney'' and ``authorized 
representative'' by reference to Sec. Sec.  10.1(c) and 10.14(b), 
respectively; to clarify that a petition for cancellation must be 
signed; and to indicate that electronic signatures are required for 
electronically filed petitions for cancellation.
    The Office is revising Sec.  2.111(c) to divide it into four 
paragraphs; to state that the Office will not accept a petition for 
cancellation submitted through ESTTA that does not include fees to 
cover all named party petitioners and all classes; that the Office will 
not institute a cancellation proceeding if a petition for cancellation 
submitted on paper does not include a fee sufficient to pay for one 
person for a petition for cancellation against at least one class; and 
that prior to instituting a cancellation proceeding, the Office will no 
longer correspond with the petitioner named in a petition for 
cancellation submitted on paper to permit submission of additional fees 
or designation of party petitioners and/or classes where a petition for 
cancellation is submitted with insufficient fees to pay for 
cancellation by all party petitioners and/or in all classes. The 
revision explains how the Office will apply a fee accompanying a paper 
submission that is insufficient to cover all classes and/or to cover 
all party petitioners.
    The Office is amending Sec.  2.112(a) to make the rule gender 
neutral and to remove the requirement that a duplicate copy of the 
petition for cancellation, including exhibits, be filed with the 
petition for cancellation.
    The Office is rewording the heading for Sec.  2.113 to specify that 
notification of cancellation proceedings is to the parties.
    The Office is revising Sec.  2.113 to divide it into paragraphs 
(a), (b), (c) and (d) for clarity; to clarify the definitions of 
``attorney'' and ``authorized representative'' by reference to 
Sec. Sec.  10.1(c) and 10.14(b), respectively; and to indicate that, if 
no attorney or other authorized representative is appointed by a party, 
notification will be sent to that party's domestic representative, or, 
if there is no domestic representative for that party, notification 
will be sent to the party.
    The Office is amending Sec.  2.118 to delete reference to a party 
residing abroad and his representative in the United States in order to 
clarify that when any notice sent by the Office to a registrant is 
returned to the Office, notice may be given by publication in the 
Official Gazette, regardless of whether that registrant resides in the 
United States or elsewhere.
    The Office is amending Sec.  2.121(d) to eliminate the requirement 
for multiple copies of a stipulated/consent motion to extend the 
discovery or testimony periods in view of the fact that the Board is no 
longer stamping copies as ``approved'' and returning the copies to the 
parties.
    The Office is amending Sec.  2.123(g)(1) to require that 
depositions be in written form, but to delete reference to specific 
requirements that may vary depending upon the media used for 
submission. Requirements for submissions are specified in Sec.  2.126.
    The Office is adding new Sec.  2.126, entitled ``Form of 
submissions to the Trademark Trial and Appeal Board,'' which includes 
paragraphs (a) through (d). Paragraphs (a) through (c) provide that 
submissions may be made to the Board on paper, CD-ROM, or 
electronically, as permitted by the rules contained in this part or 
Board practice; and specify the requirements for each type of 
submission. Paragraph (d) specifies the requirements for making a 
submission to the Board that is confidential in whole or in part.
    The Office is amending Sec.  2.127(a) to delete the specifications 
for filing on paper a brief in support of, or response to, a motion, 
referring instead to Sec.  2.126.
    The Office is amending Sec.  2.128(b) to require that briefs be in 
written form and to delete the specifications for filing a brief on 
paper, referring instead to Sec.  2.126.
    The Office is amending both the heading and the body of Sec.  2.130 
to change ``Examiner of Trademarks'' to ``trademark examining 
attorney.'' The Office is revising Sec.  2.130 to provide that during 
an inter partes proceeding, only applications under section 1 or 
section 44 of the Act may be remanded, at the request of the trademark 
examining attorney, for consideration of facts which appear to render 
the mark unregistrable.
    The Office is amending Sec.  2.131 to change the term ``examiner'' 
to ``trademark examining attorney'' and to limit the applicability of 
this section to inter partes proceedings involving applications under 
sections 1 and 44 of the Act.
    The Office is revising Sec.  2.142(a) and (b)(2) to state that 
notices of appeal and briefs must be filed in written form, as 
prescribed in Sec.  2.126, and to delete the specifications for filing 
a brief on paper.
    The Office is amending Sec.  2.145(b)(3) to indicate that notices 
of appeal to the U.S. Court of Appeals for the Federal Circuit should 
be sent to the Office of the General Counsel, with a duplicate copy 
addressed to the Board.
    The Office is amending Sec.  2.145(c)(3) to indicate that any 
adverse party to an appeal taken to the U.S. Court of Appeals for the 
Federal Circuit by a defeated party in an inter partes proceeding who 
files a notice with the Office as provided in section 21(b) of the Act, 
must address that notice to the Office of the General Counsel.
    The Office is amending Sec.  2.145(c)(4) to indicate that, in order 
to avoid premature termination of a Board proceeding, a party who 
commences a civil action, pursuant to section 21(b) of the Act, must 
file written notice thereof at the Trademark Trial and Appeal Board.

[[Page 55758]]

    The Office is amending Sec.  2.146(c) to delete reference to a 
petition to revive as an example of a situation where an affidavit or 
declaration is required in support of a petition. This is a technical 
correction to the rule. Effective October 30, 1999, Sec.  2.66 was 
amended to delete the requirement for an affidavit or declaration in a 
petition to revive based on unintentional delay. An unverified 
statement is sufficient. See notices at 64 FR 48900 (Sept. 8, 1999) and 
1226 TMOG 103 (Sept. 28, 1999). However, Sec.  2.146(c) still requires 
a verified statement in other situations where facts are to be proven 
on petition. For example, if the petition arises from the loss or 
misplacement of a document submitted to the Office, it should be 
accompanied by the affidavit or declaration of the person who mailed 
the document, attesting to the date of submission and identifying the 
document filed with the petition as a true copy of the document 
previously filed. TMEP Sec.  1705.03.
    The Office is amending Sec.  2.146(i) to change the standard for a 
showing of due diligence for petitions in which the petitioner seeks to 
reactivate an application or registration that was abandoned, cancelled 
or expired due to the loss or mishandling of papers. Currently, the 
rule requires that to be considered diligent, petitioners must check 
the status of pending matters within one year of the last filing or 
receipt of a notice from the Office for which further action by the 
Office is expected. The Office is shortening the time period from one 
year to six months. A showing of due diligence will require that a 
petitioner check the status of a pending application every six months 
between the filing date of the application and issuance of a 
registration; check the status of a registration every six months after 
filing an affidavit of use or excusable nonuse under section 8 or 71 of 
the Act, or a renewal application under section 9 of the Act, until the 
petitioner receives notice that the affidavit or renewal application 
has been accepted; and promptly request corrective action where 
necessary.
    Third parties may be harmed by the removal and later reinsertion of 
an application or registration in the Office database. Hundreds of 
petitions are filed each month to reinstate applications and 
registrations. To minimize this problem, the Office is adopting 
stricter time limits for filing petitions to revive or reinstate 
abandoned applications and cancelled or expired registrations.
    The Office is revising Sec.  2.151 to add a reference to section 71 
of the Act, which requires periodic affidavits of use or excusable 
nonuse to maintain a registration based on an extension of protection 
of an international registration.
    The Office is revising Sec.  2.161(g)(2) and adding paragraph 
(g)(3), stating that an audio or video cassette tape recording, CD-ROM, 
or a specimen in another appropriate medium may be submitted in the 
absence of a non-bulky specimen, and that an electronically submitted 
specimen must be in .jpg format. The requirement that a specimen filed 
through TEAS be a digitized image in .jpg format is consistent with the 
specimen requirement in revised Sec.  2.56(d)(4).
    The Office is adding a new Sec.  2.171(b), stating that when 
ownership of a registration has changed with respect to some but not 
all of the goods and/or services, the registrant(s) may file a request 
that the registration be divided into two or more separate 
registrations. The new owner(s) must pay a fee for each new separate 
registration created by the division (child registration), and record 
the change of ownership in the Office.
    When the IB notifies the Office of the division of an international 
registration resulting from a partial change of ownership of the 
international registration with respect to some of the goods or 
services in the registered extension of protection to the United 
States, the Office will record the partial change of ownership, divide 
out the assigned goods or services from the registered extension of 
protection (parent registration), issue an updated certificate for the 
parent registration and publish notice of the parent registration in 
the Official Gazette. The Office will not issue a new certificate for 
the child registration or publish notice of the child registration 
until the assignee files a request to divide under Sec.  2.171(b), and 
pays the required fee.
    A U.S. registration based on an application under section 1 and/or 
section 44 of the Act may also be divided as a result of a partial 
change of ownership, if the partial change of ownership is recorded in 
the Assignment Services Division and the assignee files a request to 
divide under Sec.  2.171(b), with the required fee.

Comments to Part 2 Rules

    Comment: One comment indicated that the ``relationship'' of 
proposed Sec.  2.17 and Sec.  10.14(b) appears to need clarification. 
Another comment asked whether the Office would accept a response in 
which the written authorization for the attorney was not filed with the 
response.
    Response: The requirement for written authorization in Sec.  
2.17(b) applies only to non-lawyers. The Office is changing the 
language of Sec.  2.17(b) to make this clear. It is generally not 
necessary for an attorney as defined in Sec.  10.1(c) to file a power 
of attorney or any other special authorization in a trademark case. 
Under Sec. Sec.  2.17(a) and (c), an attorney who appears in person or 
signs a document on behalf of an applicant or registrant will be 
accepted as the representative of the applicant or registrant. See TMEP 
Sec.  602.01.
    Comment: One comment suggested that ``written'' be inserted before 
``notification'' in Sec.  2.19(a).
    Response: The Office has adopted the suggestion.
    Comment: Two comments suggested that the Office add the 
requirements for a verified statement under section 66(a) to the rules, 
and require that the IB send a copy of the signed verified statement 
with the request for extension of protection to the United States.
    Response: The Office has adopted the suggestion to add the 
requirements for a verified statement in a section 66(a) application to 
the rules. These requirements have been added to Sec.  2.33(e). 
However, the Office will not require that the IB send a copy of the 
signed verified statement with the request for extension of protection 
to the United States.
    The Office has provided the IB with wording for a declaration of a 
bona fide intention to use the mark in commerce. The declaration will 
be made part of the official IB form for international applications and 
subsequent designations in which the United States is designated for an 
extension of protection, and will remain as part of the international 
registration on file at the IB. The wording of the declaration and 
instructions for who may sign the declaration comport with the 
requirements of section 66(a) of the Act and Sec.  2.33. The IB will 
review the required declaration as part of the request for an extension 
of protection to the United States. The IB will not certify and forward 
a request for extension of protection to the United States, if: (1) The 
declaration is not signed and dated; (2) there have been any changes or 
modifications to the declaration; or (3) the declaration is not 
presented on the official IB form.
    Comment: One comment suggests that the Office add the wording ``on 
or in connection with the goods or services listed in the 
application,'' to Sec.  2.34(b).
    Response: The Office has adopted that suggestion.
    Comment: One comment requested clarification as to whether a 
priority

[[Page 55759]]

claim for a Section 66(a) application is part of an international 
registration or an additional basis for filing in the Office.
    Response: If a claim of priority is part of an international 
registration and meets the requirements of Sec.  7.27, the priority 
claim is part of the application under Section 66(a), not a separate 
filing basis.
    Comment: Three comments recommended that the Office eliminate the 
requirement to petition the Director to review a post-publication 
amendment of the basis under Sec.  2.35(b)(2), and delegate the 
responsibility to trademark examining attorneys. Two of the comments 
suggested that republication of a mark may not be necessary in every 
instance.
    Response: The recommendation cannot be adopted at this time. 
Although routinely granted, amendments to change the basis after 
publication require special manual and automated processing, including 
republication of the mark.
    Comment: One comment suggests that the Office permit section 66(a) 
applications to register on the Supplemental Register.
    Response: The suggestion cannot be adopted because the Act provides 
only for registration on the Principal Register. See section 68(a)(4) 
of the Act.
    Comment: Three comments requested clarification of the term 
``standard character'' drawing, and asked whether a ``standard 
character drawing'' is the equivalent of a ``typed drawing'' under 
current practice. One of the comments also requested that the Office 
delete the requirement for a statement that no claim is made to a 
particular font style or size.
    Response: In the United States, a ``standard character drawing'' 
under revised Sec.  2.52(a), is the equivalent in its effect of a 
``typed drawing'' under current Sec.  2.52(a)(1). The requirement for a 
statement that no claim is made to a particular font style, size, or 
color ensures that there is no ambiguity as to whether the applicant 
seeks registration of a mark in standard characters. See changes to 
Sec.  2.52(a) discussed above.
    Comment: One comment suggested that the Office make the requirement 
to name the colors and describe where they appear on the mark optional 
for applications under sections 1 and 44 of the Act.
    Response: The Office has not adopted this suggestion. Applications 
under sections 1 and 44 of the Act are required to name the colors and 
describe where the colors appear in the marks under current Sec.  2.52. 
Moreover, requirements for applications under sections 1 and 44 of the 
Act should be consistent with the requirements for section 66(a) 
applications, since they may serve as the basis for an international 
application.
    Comment: One comment asked whether marks with gray tones but no 
claim of color will publish with gray tones or be converted to black 
and white.
    Response: The Office will not convert drawings that contain gray 
tones to black and white drawings. Drawings with gray tones will be 
processed as color drawings. If the application does not contain a 
color claim, the examining attorney will inquire whether gray is a 
feature of the mark. If gray is a feature of the mark, the examining 
attorney will require a color claim, and the Office will publish the 
mark in color. If gray is not a feature of the mark, the examining 
attorney will require a black and white drawing.
    Comment: Two comments opposed the requirement in Sec.  2.53 that a 
digitized image of a drawing be in .jpg format. The comments suggested 
that the Office amend the rule to allow flexibility in accepting other 
digital formats as they develop.
    Response: That suggestion has not been adopted. The Office will 
only accept .jpg format for digitized images at this time. The Office 
is concerned about the level of stability, uniformity and quality of 
images that are received and entered into the Office database. The 
Office currently accepts the .jpg format and has had success handling 
images in this format. Both the applicant and the Office can be assured 
that a visible image is attached to the submission because the 
applicant can view the image in the browser before it is transmitted to 
the Office. The .jpg format is user friendly and non-proprietary, and 
it is available to all potential applicants. The Office has not 
foreclosed the possibility of accepting other formats in the future, 
and will continue to assess image formats that are currently available 
and new ones as they develop.
    Comment: One comment requested information as to the consequences 
of excluding the caption ``Drawing Page'' from the top of a paper 
drawing page.
    Response: The Office encourages applicants to include the caption 
``Drawing Page'' so that the Office can properly flag the mark when the 
drawing is scanned into the database. The caption is not mandatory, but 
its omission may delay processing of the application.
    Comment: Six comments opposed the proposed amendment of Sec.  
2.66(a), to limit the time period for filing a petition to revive to 
two months from the mailing date of the notice of abandonment.
    Response: The Office is withdrawing the proposal to remove Sec.  
2.66(a)(2). Section 2.66(a)(2) is instead amended to change the 
standard for a showing of due diligence in a petition to revive from 
one year to six months as set forth in Sec.  2.146(i). Under Sec.  
2.146(i), as amended, an applicant will be considered diligent if the 
applicant checks the status of the application every six months between 
the filing date of the application and issuance of a registration. The 
modification to Sec.  2.66(a)(2) provides recourse for applicants who 
are diligent in monitoring the status of the application. However, if a 
petition to revive an abandoned application that forms the basis of an 
international registration is filed more than two months after the 
mailing date of the notice of abandonment, it is likely that the 
international registration will be cancelled. A cancelled international 
registration will not be revived even if the basic application is 
revived. See discussion above of changes to Sec.  2.66.
    Comment: One comment asked if a concurrent use application or 
registration can be the basis of an international application.
    Response: An international application submitted through the Office 
can be based on a concurrent use application or registration.
    Comment: Three comments noted that oppositions with insufficient 
fees appear to be treated differently for documents filed 
electronically via ESTTA and those filed on paper; and requested that 
the rules be amended to allow for uniform treatment for notices of 
opposition with insufficient fees regardless of the manner in which 
they are filed. One of the three comments suggested that the Office 
implement a mechanism in ESTTA to ensure that all required fees are 
paid as part of the electronic filing of a notice of opposition.
    Response: The language of Sec.  2.101(d)(2) has been modified to 
more clearly reflect the fact that a potential opposer may not submit a 
notice of opposition electronically via ESTTA with an insufficient fee, 
i.e., the sender will immediately receive an electronic message that 
the transmission is not possible because the fee is insufficient. To be 
able to transmit the electronic notice of opposition, a potential 
opposer filing via ESTTA may then elect to submit the correct fee for 
the number of parties and classes set forth in the electronic notice of 
opposition, or delete classes and/or parties from the

[[Page 55760]]

electronic notice of opposition. For a paper filing with insufficient 
fees, the Board will notify opposer when the opposition is instituted 
and will indicate in the notification the opposers and classes opposed, 
i.e., for which the required fees were submitted. There will be no 
opportunity to submit additional fees for a paper filing.
    Comment: Seven comments disagreed with the proposed 120-day 
limitation from the date of publication on extensions of time to oppose 
an application, noting that a longer period of time is necessary to 
facilitate settlement negotiations. Of these comments, four comments 
recommended that the 120-day limitation on extensions of time to oppose 
be extended to 180 days; one comment recommended that the 120-day 
limitation on extensions of time to oppose pertain only to applications 
filed under section 66(a); and one comment recommended both that the 
limitation on extensions of time to oppose pertain only to applications 
filed under section 66(a) and that the limitation be extended to 180 
days.
    Response: The Office has adopted the recommendation that potential 
opposers be permitted to extend the time for filing an opposition to up 
to 180 days from the date of publication. The Office has not adopted 
the recommendation that this limitation pertain only to section 66(a) 
applications. The Office encourages use of its electronic systems and 
does not have the resources at this time to develop an electronic 
opposition filing system that can handle different filing deadlines for 
different types of applications. Further, different opposition filing 
deadlines for different types of applications would be difficult for 
the Board to handle administratively and would be likely to confuse 
potential opposers. Finally, the Board will discontinue its practice of 
suspending a potential opposer's time to file a notice of opposition 
when a letter of protest or an amendment to the application has been 
filed. However, the Board is continuing its practice of permitting 
suspension of an opposition, once filed, to facilitate and encourage 
settlement negotiations.
    Comment: Two comments expressed concern that Sec.  2.105 is not 
written clearly and could be easily misconstrued. The comments 
recommended that Sec.  2.105 be rewritten to clarify to whom 
notification will be sent in each instance.
    Response: The section has been rewritten to parallel Sec.  2.18, as 
appropriate, and to clarify its intent.
    Comment: Three comments noted that petitions to cancel with 
insufficient fees for documents filed electronically via ESTTA are 
treated differently from those filed on paper; and requested that the 
rules be amended to allow for uniform treatment for petitions to cancel 
with insufficient fees regardless of the manner in which they are 
filed. One of the three comments suggested that the Office implement a 
mechanism in ESTTA to ensure that all sufficient fees are paid as part 
of the electronic filing of a petition to cancel.
    Response: The language of Sec.  2.111(c)(2) has been modified to 
more clearly reflect the fact that a potential cancellation petitioner 
may not submit a petition to cancel electronically via ESTTA with an 
insufficient fee. In addition to not being able to transmit the 
petition for cancellation via ESTTA with an insufficient fee, the 
sender should receive an immediate electronic message that the 
transmission is not possible and the reason why transmission is not 
possible. A potential cancellation petitioner filing via ESTTA must 
either submit the correct fee for the numbers of parties and classes 
set forth in the electronic petition to cancel, or delete classes and/
or parties from the electronic petition to cancel. If a paper filing is 
submitted with insufficient fees for at least one party to petition for 
cancellation against at least one class, the Board will simply return 
the papers to the sender. If a paper filing is submitted with 
sufficient fees for at least one party to petition for cancellation 
against at least one class in the registration sought to be cancelled 
but with insufficient fees for all stated parties and/or all classes, 
the Board will institute the cancellation proceeding with respect to 
the number of parties and classes for which fees have been submitted, 
according to Sec.  2.111(b)(3), and send notification of the petition 
for cancellation to the parties. The notification will list only the 
parties and classes for which the required fees were submitted.
    Comment: Two comments expressed concern that Sec.  2.113(a) is not 
written clearly and could be easily misconstrued. The comments 
recommended that Sec.  2.113(a) be rewritten to clarify to whom 
notification will be sent in each instance.
    Response: The section has been rewritten to parallel Sec.  2.18, as 
appropriate, and to clarify its intent. Sections 2.113(b), (c) and (d) 
have been relabeled accordingly.
    Comment: One comment pertaining to Sec.  2.118 recommended that all 
correspondence be sent to the correspondence address of record.
    Response: This recommendation has not been adopted. In relation to 
Sec.  2.118, this is essentially a recommendation to send notification 
of a petition to cancel to the attorney of record during the 
prosecution of an application that subsequently registered and is now 
the subject of a petition for cancellation, rather than sending such 
notification directly to respondent. The practice under the existing 
rule, and this provision has not been changed by this regulation, is 
for the Office to correspond directly with the registrant until 
notified otherwise by the registrant. The Office considers the 
appointment of an attorney to prosecute the application to lapse once 
the registration issues. The Board will send the notification to the 
registrant of record in the Office at the registrant's address of 
record, or if registrant is located outside the United States and a 
domestic representative is of record, to the registrant at the address 
of the domestic representative.
    Comment: One comment recommended that Sec. 12.126(a)(4) permit 
paper submissions to the Board to be bound or fastened if the contents 
can be easily separated. The comment expressed concern that after 
scanning, the papers will not be replaced in the file in their original 
order.
    Response: This recommendation has not been adopted. All paper 
submissions are scanned electronically into the Board's Trademark 
Trials and Appeals Information System (TTABIS). When the papers are 
scanned, the Board's scanning equipment keeps pages in their original 
order throughout the scanning process. Where papers are filed with 
pages simply clipped together, the scanning process has not been 
adversely affected. On the other hand, removing staples or binding 
prior to scanning has been difficult and time-consuming, especially 
where papers have been bound by machine. Moreover, disassembling 
stapled or bound papers can damage pages, resulting in misfeeds to the 
scanning equipment and increasing the likelihood that pages will become 
disordered during scanning.
    Comment: One comment recommended, with respect to Sec.  2.127(a) 
regarding motions in inter partes proceedings at the Board, that, 
rather than retaining discretion to consider reply briefs, the Board 
should consider all reply briefs; and reduce the time for filing a 
reply brief, if a reply brief is filed, from fifteen to ten days from 
the date of service of a brief in response to the motion.
    Response: This recommendation was not accepted. The recommendation 
to consider all reply briefs, including reply briefs that improperly 
address matters outside a proper response to statements

[[Page 55761]]

in the brief responding to the motion, would be burdensome. Therefore, 
the Board will retain its discretion to consider reply briefs with 
respect to motions. There is no reason stated for the recommendation to 
shorten the time for filing a reply brief; and, at this time, the Board 
considers the existing fifteen-day period for filing a reply brief to 
be reasonable.
    Comment: Four comments opposed the proposal to shorten the due 
diligence standard from one year to six months in Sec.  2.146(i).
    Response: The Office's electronic systems for records are readily 
available over the Internet 24 hours a day, seven days a week. 
Applicants and registrants have immediate and free access to 
information concerning their applications and registrations. An 
applicant or registrant can check the status of a pending application 
or registration using the TARR (Trademark Application Registration 
Retrieval) database. If the application is newly filed, applicant can 
search TESS (Trademark Electronic Search System) to see if the mark was 
loaded into the Office's automated database. Moreover, allegations of 
use under section 1 of the Act, responses to Office actions, changes to 
correspondence address and affidavits of use under section 8 of the Act 
and renewal applications under section 9 of the Act can be filed 
through TEAS.
    In most cases, the Office will take action on filings related to a 
trademark application or registration within six months of receipt of 
the correspondence for which action is expected. Therefore, it is 
reasonable to require applicants and registrants to check the status of 
their application or registration at least twice a year until a final 
outcome (that is, registration for a pending application or notice of 
acceptance of an affidavit under section 8 of the Act or grant of 
renewal under section 9 of the Act) is reached. By monitoring the 
application or registration every six months, an applicant or 
registrant can take corrective action more quickly if the Office did 
not receive applicant's or registrant's correspondence or if 
correspondence sent by the Office was not received.

Rule Making Requirements

    Executive Order 13132: This rule making does not contain policies 
with federalism implications sufficient to warrant preparation of a 
Federalism Assessment under Executive Order 13132 (Aug. 4, 1999).
    Executive Order 12866: This rule making has been determined not to 
be significant for purposes of Executive Order 12866.
    Regulatory Flexibility Act: The Deputy General Counsel for General 
Law of the United States Patent and Trademark Office has certified to 
the Chief Counsel for Advocacy of the Small Business Administration 
that the rule changes will not have a significant impact on a 
substantial number of small entities (Regulatory Flexibility Act, 5 
U.S.C. 605(b)). The main purpose of the rule change is to implement 
legislation that provides an additional means for filing trademark 
applications. Additionally, the rules provide for some technical and 
other changes that will simplify the trademark application process. 
Hence, the rules merely provide all applicants for trademark 
registration, including small businesses, with additional benefits.
    Paperwork Reduction Act: The final rules are in conformity with the 
requirements of the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 
3501 et seq.).
    Notwithstanding any other provision of law, no person is required 
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 PRA 
unless that collection of information displays a currently valid OMB 
control number.
    This final rule contains collections of information requirements 
subject to the PRA. This rule adds provisions allowing parties to (1) 
file applications for international trademark registration with the IB 
through the Office; (2) file subsequent designations with the IB 
through the Office; (3) file responses to notices of irregularities in 
international applications issued by the IB through the Office; (4) 
request the Office to note in its records that a registered extension 
of protection of an international registration to the United States 
replaces a previously issued U.S. registration; (5) file requests to 
record assignments or restrictions of a holder's right to dispose of an 
international registration, or the release of such a restriction, with 
the IB through the Office; and (6) file a request that the Office 
transform an extension of protection that was cancelled by the IB into 
an application for registration in the United States under section 1 or 
section 44 of the Act. Additionally, the rule sets forth requirements 
for submitting an affidavit of continued use or excusable nonuse under 
section 71 of the Act and discusses changes in the information required 
from the public to file notices of opposition, petitions to cancel, and 
requests for extensions of time to oppose.
    An information collection package supporting the changes to the 
above information requirements, as set forth in this rule, has been 
approved by the Office of Management and Budget under 0651-0051. 
Previously, a separate information package, 0651-0040, was submitted in 
support of oppositions, requests for extensions of time to file 
oppositions, and petitions to cancel. The public reporting burden is 
estimated to average as follows: Fifteen minutes for international 
trademark applications; three minutes for subsequent designations; ten 
minutes to respond to notices of irregularities issued by the IB in 
connection with international applications; two minutes to request that 
the Office replace a United States registration with a subsequently 
registered extension of protection to the United States; five minutes 
for a request to record an assignment or restriction of a holder's 
right to dispose of an international registration, or the release of 
such a restriction; five minutes for a request that the Office 
transform a cancelled extension of protection into an application for 
registration under section 1 or 44 of the Act; fourteen minutes for an 
affidavit of continued use or excusable nonuse under section 71 of the 
Act; ten minutes to forty-five minutes for notices of opposition and 
petitions to cancel, depending on the particular circumstances; and ten 
minutes for requests for extensions of time to oppose. These time 
estimates include the time for reviewing instructions, searching 
existing data sources, gathering and maintaining the data needed, and 
completing and reviewing the collection of information. Comments are 
invited on: (1) Whether the collection of information is necessary for 
proper performance of the functions of the agency, (2) the accuracy of 
the agency's estimate of the burden, (3) ways to enhance the quality, 
utility, and clarity of the information to be collected, and (4) ways 
to minimize the burden of the collection of information to respondents.
    Send comments regarding this burden estimate, or any other aspect 
of this data collection, including suggestions for reducing the burden, 
to the Commissioner for Trademarks, 2900 Crystal Drive, Arlington, VA 
22202-3514 (Attn: Ari Leifman), and to the Office of Information and 
Regulatory Affairs, OMB, 725 17th Street, NW., Washington, DC 20503 
(Attn: USPTO Desk Officer).
    Comment: One comment asked for an explanation for the time 
estimates and stated that the time periods for filing electronically 
should be increased to

[[Page 55762]]

account for documents filed by attorneys where the signature of an 
applicant or registrant must be obtained or a specimen that must be 
attached to the electronic submission is not scanned according to 
Office requirements prior to filing the document.
    Response: The estimates given are meant to describe the overall 
average of time expended by all filers. The Office recognizes that the 
time parties expend in preparing submissions may vary, depending on the 
particular circumstances. However, the Office is confident that the 
estimates are reasonable descriptions of the average time expended by 
all filers.

List of Subjects

37 CFR Part 2

    Administrative practice and procedure, Trademarks.

37 CFR Part 7

    Administrative practice and procedure, Trademarks.


0
For the reasons given in the preamble and under the authority contained 
in 35 U.S.C. 2 and 15 U.S.C. 1123, as amended, the Office is amending 
part 2 and adding part 7 of title 37 as follows:

PART 2--RULES OF PRACTICE IN TRADEMARK CASES

0
1. The authority citation for 37 CFR part 2 continues to read as 
follows:

    Authority: 15 U.S.C. 1123, 35 U.S.C. 2, unless otherwise noted.


0
2. Amend Sec.  2.2 to add new paragraphs (g) and (h) to read as 
follows:


Sec.  2.2  Definitions.

* * * * *
    (g) The acronym ESTTA means the Electronic System for Trademark 
Trials and Appeals, available at www.uspto.gov.
    (h) The term international application means an application for 
international registration that is filed under the Protocol Relating to 
the Madrid Agreement Concerning the International Registration of 
Marks.

0
3. Revise Sec.  2.11 to read as follows:


Sec.  2.11  Representation before the Office.

    Representation before the Office is governed by Sec.  10.14 of this 
chapter. The Office cannot aid in the selection of an attorney.

0
4. Amend Sec.  2.17 by revising paragraphs (a), (b) and (c) to read as 
follows:


Sec.  2.17  Recognition for representation.

    (a) When an attorney as defined in Sec.  10.1(c) of this chapter 
acting in a representative capacity appears in person or signs a 
document in practice before the United States Patent and Trademark 
Office in a trademark 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 Sec.  10.14 and the law, 
he or she is authorized to represent the particular party in whose 
behalf he or she acts. Further proof of authority to act in a 
representative capacity may be required.
    (b) Before any non-lawyer, as specified in Sec.  10.14(b) of this 
chapter, will be allowed to take action of any kind with respect to an 
application, registration or proceeding, a written authorization from 
the applicant, registrant, party to the proceeding, or other person 
entitled to prosecute such application or proceeding must be filed.
    (c) To be recognized as a representative, an attorney as defined in 
Sec.  10.1(c) of this chapter may file a power of attorney, appear in 
person, or sign a document on behalf of an applicant or registrant that 
is filed with the Office in a trademark case.
* * * * *

0
5. Revise Sec.  2.18 to read as follows:


Sec.  2.18  Correspondence, with whom held.

    (a) If documents are transmitted by an attorney, or a written power 
of attorney is filed, the Office will send correspondence to the 
attorney transmitting the documents, or to the attorney designated in 
the power of attorney, provided that the attorney is an attorney as 
defined in Sec.  10.1(c) of this chapter.
    (b) The Office will not undertake double correspondence. If two or 
more attorneys appear or sign a document, the Office's reply will be 
sent to the address already established in the record until the 
applicant, registrant or party, or its duly appointed attorney, 
requests in writing that correspondence be sent to another address.
    (c) If an application, registration or proceeding is not being 
prosecuted by an attorney but a domestic representative has been 
appointed, the Office will send correspondence to the domestic 
representative, unless the applicant, registrant or party designates in 
writing another correspondence address.
    (d) If the application, registration or proceeding is not being 
prosecuted by an attorney and no domestic representative has been 
appointed, the Office will send correspondence directly to the 
applicant, registrant or party, unless the applicant, registrant or 
party designates in writing another correspondence address.

0
6. Revise Sec.  2.19 to read as follows:


Sec.  2.19  Revocation of power of attorney; withdrawal.

    (a) Authority to represent an applicant, registrant or a party to a 
proceeding may be revoked at any stage in the proceedings of a case 
upon written notification to the Director; and when it 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 one has been appointed. The Office will notify the 
person affected of the revocation of his or her authorization.
    (b) If the requirements of Sec.  10.40 of this chapter are met, an 
attorney authorized under Sec.  10.14 to represent an applicant, 
registrant or party in a trademark case may withdraw upon application 
to and approval by the Director.

0
7. Amend Sec.  2.21 by revising paragraph (a), introductory text, to 
read as follows:


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 contains all of the following:
* * * * *

0
8. Amend Sec.  2.33 by revising paragraph (d)(1) and adding a new 
paragraph (e) to read as follows:


Sec.  2.33  Verified statement.

* * * * *
    (d) * * *
    (1) Place a symbol comprised of numbers and/or letters between two 
forward slash marks in the signature block on the electronic 
submission; or
* * * * *
    (e) In an application under section 66(a) of the Act, the verified 
statement is part of the international registration on file at the 
International Bureau. The verified statement must allege that:
    (1) The applicant/holder has a bona fide intention to use the mark 
in commerce that the United States Congress can regulate on or in 
connection with the goods/services identified in the international 
application/subsequent designation;
    (2) The signatory is properly authorized to execute this 
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 United States Congress can regulate 
on or in connection with the goods/services

[[Page 55763]]

identified in the international application/registration; 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 United States 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 of such other person, firm, corporation, association, or other 
legal entity, to cause confusion, or to cause mistake, or to deceive.

0
9. Amend Sec.  2.34 as follows:
0
a. By removing paragraphs (a)(1)(v), (a)(3)(iv), and (a)(4)(iv);
0
b. By revising paragraphs (a), introductory text, (a)(2), (a)(4)(i)(A), 
and (b); and
0
c. By adding new paragraph (a)(5).


Sec.  2.34 The revisions and addition read as follows:  Bases for 
filing.

    (a) The application must include one or more of the following five 
filing bases:
* * * * *
    (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 it has a 
bona fide intention to use the mark in commerce on or in connection 
with the goods or services listed in the application. If the 
verification is not filed with the initial application, the verified 
statement must allege that the applicant had a bona fide intention to 
use the mark in commerce on or in connection with the goods or services 
listed in the application as of the filing date of the application.
* * * * *
    (4) * * *
    (i) * * *
    (A) Specify the filing date, serial number and country of the first 
regularly filed foreign application; or
* * * * *
    (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 or subsequent designation requesting 
an extension of protection to the United States must contain a signed 
declaration that meets the requirements of Sec.  2.33.
    (b)(1) In an application under section 1 or section 44 of the Act, 
an applicant may claim more than one basis, provided the applicant 
satisfies all requirements for the bases claimed. However, the 
applicant may not claim both sections 1(a) and 1(b) for the identical 
goods or services in the same application.
    (2) In an application under section 1 or section 44 of the Act, if 
an applicant claims more than one basis, the applicant must list each 
basis, followed by the goods or services to which that basis applies. 
If some or all of the goods or services are covered by more than one 
basis, this must be stated.
    (3) A basis under section 66(a) of the Act cannot be combined with 
any other basis.
* * * * *

0
10. Revise Sec.  2.35 to read as follows:


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. 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, followed by the goods or services to which that 
basis applies.
    (7) When the applicant deletes a basis, the applicant must also 
delete any goods or services 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, the applicant may not amend the application 
to seek registration under section 1(a) of the Act for those goods or 
services unless the applicant files an allegation of use under section 
1(c) or section 1(d) of the Act.

0
11. Revise Sec.  2.37 to read as follows:


Sec.  2.37  Description of mark.

    A description of the mark may be included in the application and 
must be included if required by the trademark examining attorney.

0
12. Amend Sec.  2.47 by redesignating paragraphs (c) and (d) as 
paragraphs (d) and (e) and adding a new paragraph (c) to read as 
follows:


Sec.  2.47  Supplemental Register.

* * * * *
    (c) An application under section 66(a) of the Act is not eligible 
for registration on the Supplemental Register.
* * * * *

0
13. Revise Sec.  2.51 to read as follows:


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.

0
14. Revise Sec.  2.52 to read as follows:


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

[[Page 55764]]

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 must show 
the mark in black on a white background, unless the mark includes 
color.
    (1) Color marks. 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 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. If a drawing cannot adequately depict all 
significant features of the mark, the applicant must also describe the 
mark.
    (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.

0
15. Add Sec.  2.53 to read as follows:


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 is filing a 
standard character drawing, the applicant must enter the mark in the 
appropriate field or attach a digitized image of the mark to the TEAS 
submission that meets the requirements of paragraph (c) of this 
section.
    (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.

0
16. Add Sec.  2.54 to read as follows:


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.

0
17. Amend Sec.  2.56 by revising paragraph (d)(4) to read as follows:


Sec.  2.56  Specimens.

* * * * *
    (d) * * *
    (4) For a TEAS submission, the specimen must be a digitized image 
in .jpg format.

0
18. Amend Sec.  2.65 by revising paragraph (a) to read as follows:


Sec.  2.65  Abandonment.

    (a) If an applicant fails to respond, or to respond completely, 
within six months after the date an action is mailed, the application 
shall be deemed abandoned unless the refusal or requirement is 
expressly limited to only certain goods and/or services. If the refusal 
or requirement is expressly limited to only certain goods and/or 
services, the application will be abandoned only as to those particular 
goods and/or services. A timely petition to the Director pursuant to 
Sec. Sec.  2.63(b) and 2.146, if appropriate, is a response that avoids 
abandonment of an application.
* * * * *

0
19. Amend Sec.  2.66 by revising paragraph (a)(2) to read as follows:


Sec.  2.66  Revival of abandoned applications.

    (a) * * *
    (2) Within two months of actual knowledge of the abandonment, if 
the applicant did not receive the notice of abandonment, and the 
applicant was diligent in checking the status of the application every 
six months in accordance with Sec.  2.146(i).
* * * * *

0
20. Amend Sec.  2.73 by revising paragraph (a) to read as follows:


Sec.  2.73  Amendment to recite concurrent use.

    (a) An application under section 1(a), section 44, or section 66(a) 
of the Act may be amended to an application for concurrent use 
registration, provided the application as amended satisfies the

[[Page 55765]]

requirements of Sec.  2.42. The trademark examining attorney will 
determine whether the application, as amended, is acceptable.
* * * * *

0
21. Amend Sec.  2.75 by adding a new paragraph (c) to read as follows:


Sec.  2.75  Amendment to change application to different register.

* * * * *
    (c) In an application under section 66(a) of the Act, the applicant 
may not amend the application to the Supplemental Register.

0
22. Revise Sec.  2.84 to read as follows:


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 
in an application under section 1(a), 44 or 66(a) of the Act is 
printed, or before the notice of allowance in an application under 
section 1(b) of the Act is printed, 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 does not necessitate 
republication of the mark or issuance of an Office action. Otherwise, 
an amendment to such an application may be submitted only upon petition 
to the Director to restore jurisdiction over the application to the 
trademark examining attorney for consideration of the amendment and 
further examination. The amendment of an application that is the 
subject of an inter partes proceeding before the Trademark Trial and 
Appeal Board is governed by Sec.  2.133.
0
23. Amend Sec.  2.88 by revising paragraph (i)(3) to read as follows:


Sec.  2.88  Filing statement of use after notice of allowance

* * * * *
    (i) * * *
    (3) The statement of use may be accompanied by a separate request 
to amend the identification of goods or services in the application, as 
stated in the notice of allowance, in accordance with Sec.  2.71(a).
* * * * *

0
24. Revise Sec.  2.101 to read as follows:


Sec.  2.101  Filing an opposition.

    (a) An opposition proceeding is commenced by filing a timely 
opposition, together with the required fee, in the Office.
    (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.  10.1(c) of this chapter, 
or other authorized representative, as specified in Sec.  10.14(b) of 
this chapter. Electronic signatures pursuant to Sec.  2.193(c)(1)(iii) 
are required for oppositions submitted electronically under paragraphs 
(b)(1) or (2) of this section.
    (1) An opposition to an application based on section 1 or 44 of the 
Act must be filed either on paper or through ESTTA.
    (2) An opposition to an application based on section 66(a) of the 
Act must be filed through ESTTA.
    (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.
    (d)(1) 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).
    (2) An otherwise timely opposition will not be accepted 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.
    (3) If an otherwise timely opposition is submitted on paper, the 
following is applicable if less than all required fees are submitted:
    (i) If the opposition is accompanied by no fee or a fee 
insufficient to pay for one person to oppose the registration of a mark 
in at least one class, the opposition will be refused.
    (ii) If the opposition is accompanied by fees sufficient to pay for 
one person to oppose registration in at least one class, but fees are 
insufficient to oppose registration in all the classes in the 
application, and the particular class or classes against which the 
opposition is filed is not specified, the opposition will be presumed 
to be against the class or classes in ascending numerical order, 
including only the number of classes in the application for which 
sufficient fees have been submitted.
    (iii) If persons are joined as party opposers, each must submit a 
fee for each class for which opposition is sought. If the fees 
submitted are sufficient to pay for one person to oppose registration 
in at least one class, but are insufficient for each named party 
opposer, the first-named party will be presumed to be the party 
opposer. Additional parties will be deemed to be party opposers only to 
the extent that the fees submitted are sufficient to pay the fee due 
for each party opposer. If persons are joined as party opposers against 
a multiple class application, the fees submitted are insufficient, and 
no specification of opposers and classes is made at the time the party 
is joined, the fees submitted will be applied first on behalf of the 
first-named opposer against as many of the classes in the application 
as the submitted fees are sufficient to pay. Any excess will be applied 
on behalf of the second-named party to the opposition against the 
classes in the application in ascending numerical order.
    (4) The filing date of an opposition is the date of receipt in the 
Office of the opposition together with the required fee.

0
25. Revise Sec.  2.102 to read as follows:


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 in the 
Office a written request, addressed to the Trademark Trial and Appeal 
Board, to extend the time for filing an opposition. The written request 
need not be verified, but must be signed by the potential opposer or by 
the potential opposer's attorney, as specified in Sec.  10.1(c) of this 
chapter, or authorized representative, as specified in Sec.  10.14(b) 
of this chapter. Electronic signatures pursuant to Sec.  
2.193(c)(1)(iii) are required for electronically filed extension 
requests.
    (1) A written request to extend the time for filing an opposition 
to an application filed under section 1 or 44 of the Act must be filed 
either on paper or through ESTTA.
    (2) A written request to extend the time for filing an opposition 
to an

[[Page 55766]]

application filed under section 66(a) of the Act must be filed through 
ESTTA.
    (b) A written 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 should be in the name of 
the person to whom the extension was granted. 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 either a thirty-day 
extension of time, which will be granted upon request, or a ninety-day 
extension of time, which will be granted only for good cause shown.
    (2) If a person was granted a 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. 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.

0
26. Revise Sec.  2.104(a) to read as follows:


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 opposition.
* * * * *

0
27. Revise Sec.  2.105 to read as follows:


Sec.  2.105  Notification to parties of opposition proceeding(s).

    (a) When an opposition in proper form has been filed and the 
correct fee has been submitted, the Trademark Trial and Appeal Board 
shall prepare a notification, which shall identify the title and number 
of the proceeding and the application involved and shall designate a 
time, not less than thirty days from the mailing date of the 
notification, within which an answer must be filed.
    (b) The Board shall forward a copy of the notification 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 notification 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.  10.1(c) of this chapter.
    (2) If opposer is not represented by an attorney in the opposition, 
but opposer has appointed a domestic representative, the Board will 
send the notification to 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 notification directly to opposer, unless opposer designates in 
writing another correspondence address.
    (c) The Board shall forward a copy of the opposition and any 
exhibits with a copy of the notification 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.  
10.1(c) of this chapter, the Board shall send the documents described 
in this section to applicant's 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 documents described in this section to 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 documents described in this section directly to 
applicant, unless applicant designates in writing another 
correspondence address.

0
28. Revise Sec.  2.107 to read as follows:


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.
    (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 to the grounds for opposition or to add to the goods or services 
subject to opposition.

0
29. Revise Sec.  2.111 to read as follows:


Sec.  2.111  Filing petition for cancellation.

    (a) A cancellation proceeding is commenced by the filing of a 
timely petition for cancellation, together with the required fee, in 
the Office.
    (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.  10.1(c) of this chapter, or other 
authorized representative, as specified in Sec.  10.14(b) of this 
chapter. Electronic signatures pursuant to Sec.  2.193(c)(1)(iii) 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) The petition for cancellation must be accompanied by the 
required fee for each party joined as petitioner for each class in the 
registration for which cancellation is sought (see Sec.  2.6).
    (2) An otherwise timely petition for cancellation will not be 
accepted via ESTTA unless the petition for

[[Page 55767]]

cancellation is accompanied by a fee that is sufficient to pay in full 
for each named party petitioner to petition for cancellation of the 
registration of a mark in each class specified in the petition for 
cancellation.
    (3) If an otherwise timely petition for cancellation is submitted 
on paper, the following is applicable if less than all required fees 
are submitted:
    (i) If the petition for cancellation is accompanied by no fee or a 
fee insufficient to pay for one person to petition for cancellation 
against at least one class in the registration, the petition for 
cancellation will be refused.
    (ii) If the petition for cancellation is accompanied by fees 
sufficient to pay for one person to petition for cancellation against 
at least one class in the registration, but fees are insufficient for a 
petition for cancellation against all the classes in the registration, 
and the particular class or classes against which the petition for 
cancellation is filed is not specified, the petition for cancellation 
will be presumed to be against the class or classes in ascending 
numerical order, including only the number of classes in the 
registration for which sufficient fees have been submitted.
    (iii) If persons are joined as party petitioners, each must submit 
a fee for each class for which cancellation is sought. If the fees 
submitted are sufficient to pay for one person to petition for 
cancellation of the registration in at least one class but are 
insufficient for each named party petitioner, the first-named party 
will be presumed to be the party petitioner. Additional parties will be 
deemed to be party petitioners only to the extent that the fees 
submitted are sufficient to pay the fee due for each party petitioner. 
If persons are joined as party petitioners against a multiple class 
registration, the fees submitted are insufficient, and no specification 
of parties and classes is made at the time the party is joined, the 
fees submitted will be applied first on behalf of the first-named 
petitioner against as many of the classes in the registration as the 
submitted fees are sufficient to pay. Any excess will be applied on 
behalf of the second-named party to the cancellation against the 
classes in the registration in ascending numerical order.
    (4) The filing date of a petition for cancellation is the date of 
receipt in the Office of the petition for cancellation together with 
the required fee.

0
30. Revise Sec.  2.112 to read as follows:


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 
of the current owner of the registration.
    (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 each class sought to be cancelled in 
each registration against which the petition for cancellation is filed.

0
31. Revise Sec.  2.113 to read as follows:


Sec.  2.113  Notification to parties of cancellation proceeding.

    (a) When a petition for cancellation has been filed in proper form 
(see Sec. Sec.  2.111 and 2.112), the Trademark Trial and Appeal Board 
shall prepare a notification which shall identify the title and 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 
notification, within which an answer must be filed.
    (b) The Board shall forward a copy of the notification 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 
notification 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.  10.1(c) of this chapter.
    (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 notification to 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 notification directly to petitioner, 
unless petitioner designates in writing another correspondence address.
    (c) The Board shall forward a copy of the petition for cancellation 
and any exhibits with a copy of the notification to the respondent (see 
Sec.  2.118). The respondent shall be the party shown by the records of 
the Office to be the current owner of the registration(s) sought to be 
cancelled, 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).
    (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 petition for cancellation shall be 
forwarded with a copy of the notification to the alleged current owner. 
The alleged current owner may file a motion to be joined or substituted 
as respondent.
    (e) If the petition for cancellation is found to be defective as to 
form, the party filing the petition for cancellation shall be advised 
and allowed reasonable time for correcting the informality.

0
32. Revise Sec.  2.118 to read as follows:


Sec.  2.118  Undelivered Office notices.

    When a notice sent by the Office to any registrant is returned to 
the Office undelivered, additional notice may be given by publication 
in the Official Gazette for the period of time prescribed by the 
Director.

0
33. Amend Sec.  2.121 by revising paragraph (d) to read as follows:


Sec.  2.121  Assignment of times for taking testimony.

* * * * *
    (d) When parties stipulate to the rescheduling of testimony periods 
or to the rescheduling of the closing date for discovery and the 
rescheduling of 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.

0
34. Amend Sec.  2.123 by revising paragraph (g)(1) to read as follows:


Sec.  2.123  Trial testimony in inter partes cases.

* * * * *
    (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.
* * * * *

0
35. Add new Sec.  2.126 to read as follows:

[[Page 55768]]

Sec.  2.126  Form of submissions to the Trademark Trial and Appeal 
Board.

    (a) Submissions may be made to the Trademark Trial and Appeal Board 
on paper where Board practice or the rules in this part permit. 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;
    (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 or CD-ROM concurrently with the paper submission, and comply with 
the requirements for a paper or CD-ROM submission.
    (b) Submissions may be made to the Trademark Trial and Appeal Board 
on CD-ROM where the rules in this part or Board practice permit. A CD-
ROM submission must identify the parties and case number and contain a 
list that clearly identifies the documents and exhibits contained 
thereon. This information must appear in the data contained in the CD-
ROM itself, on a label affixed to the CD-ROM, and on the packaging for 
the CD-ROM. Text in a CD-ROM submission must be in at least 11-point 
type and double-spaced. A brief filed on CD-ROM must be accompanied by 
a single paper copy of the brief. A CD-ROM submission must be 
accompanied by a transmittal letter on paper that identifies the 
parties, the case number and the contents of the CD-ROM.
    (c) Submissions may be made to the Trademark Trial and Appeal Board 
electronically via the Internet where the rules in this part or Board 
practice permit, according to the parameters established by the Board 
and published on the Web site of the Office. Text in an electronic 
submission must be in at least 11-point type and double-spaced. 
Exhibits pertaining to an electronic submission must be made 
electronically as an attachment to the submission.
    (d) 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(e) must be submitted under a separate 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 with the 
confidential portions redacted must be submitted.

0
36. Amend Sec.  2.127 by revising paragraph (a) to read as follows:


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 fifteen 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. The Board may, 
in its discretion, consider a reply brief. Except as provided in 
paragraph (e)(1) of this section, a reply brief, if filed, shall be 
filed within fifteen 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. No further papers in support of or in opposition to a motion 
will be considered by the Board. The brief in support of a motion and 
the brief in response to the motion shall not exceed twenty-five pages 
in length, and a reply brief shall not exceed ten pages in length. 
Exhibits submitted in support of or in opposition to a motion shall not 
be deemed to be 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.
* * * * *

0
37. Amend Sec.  2.128 by revising paragraph (b) to read as follows:


Sec.  2.128  Briefs at final hearing.

* * * * *
    (b) Briefs must be submitted in written form and must meet the 
requirements prescribed in Sec.  2.126. Each brief 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.

0
38. Revise Sec.  2.130 to read as follows:


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 trademark examining attorney, render the mark in the 
application unregistrable, the facts should be called to the attention 
of the Trademark Trial and Appeal Board. The Board may suspend the 
proceeding and refer 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.

0
39. Revise Sec.  2.131 to read as follows:


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 reference 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.

0
40. Amend Sec.  2.142 by revising paragraphs (a) and (b)(2) to read as 
follows:

[[Page 55769]]

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) * * *
    (2) Briefs must be submitted in written form and must meet the 
requirements prescribed in Sec.  2.126. Each brief shall contain an 
alphabetical index of cited cases. 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.
* * * * *

0
41. Amend Sec.  2.145 by revising paragraphs (b)(3), (c)(3) and (c)(4) 
to read as follows:


Sec.  2.145  Appeal to court and civil action.

* * * * *
    (b) * * *
    (3) Notices of appeal directed to the Director shall be mailed to 
or served by hand on the General Counsel, according to part 104 of this 
chapter, with a duplicate copy mailed or served by hand on the 
Trademark Trial and Appeal Board.
    (c) * * *
    (3) Any adverse party to an appeal taken to the U.S. Court of 
Appeals for the Federal Circuit by a defeated party in an inter partes 
proceeding may file a notice with the Office, addressed to the Office 
of the General Counsel, according to part 104 of this chapter, within 
twenty days after the filing of the defeated party's notice of appeal 
to the court (paragraph (b) of this section), electing to have all 
further proceedings conducted as provided in section 21(b) of the Act. 
The notice of election must be served as provided in Sec.  2.119.
    (4) In order to avoid premature termination of a proceeding, a 
party who commences a civil action, pursuant to section 21(b) of the 
Act, must file written notice thereof at the Trademark Trial and Appeal 
Board.
* * * * *

0
42. Amend Sec.  2.146 by revising paragraphs (c) and (i) to read as 
follows:


Sec.  2.146  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 that is requested, and the fee required by Sec.  2.6. Any 
brief in support of the petition shall be embodied in or accompany the 
petition. When facts are to be proved in ex parte cases, proof in the 
form of affidavits or declarations in accordance with Sec.  2.20, and 
any exhibits, shall accompany the petition.
* * * * *
    (i) Where a petitioner seeks to reactivate an application or 
registration that was abandoned, cancelled or expired because papers 
were lost or mishandled, the Director may deny the petition if the 
petitioner was not diligent in checking the status of the application 
or registration. To be considered diligent, a petitioner must:
    (1) During the pendency of an application, check the status of the 
application every six months between the filing date of the application 
and issuance of a registration;
    (2) After registration, check the status of the registration every 
six months from the filing of an affidavit of use or excusable nonuse 
under section 8 or 71 of the Act, or a renewal application under 
section 9 of the Act, until the petitioner receives notice that the 
affidavit or renewal application has been accepted; and
    (3) If the status check reveals that the Office has not received a 
document filed by the petitioner, or that the Office has issued an 
action or notice that the petitioner has not received, the petitioner 
must promptly request corrective action.
* * * * *

0
43. Revise Sec.  2.151 to read as follows:


Sec.  2.151  Certificate.

    When the Office determines that a mark is registrable, the Office 
will issue a certificate stating that the applicant is entitled to 
registration on the Principal Register or on 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. A reproduction of the mark and pertinent data from the 
application will be sent with the certificate. A notice of the 
requirements of sections 8 and 71 of the Act will accompany the 
certificate.

0
44. Amend Sec.  2.161 by revising paragraph (g)(2) and adding a new 
paragraph (g)(3) to read as follows:


Sec.  2.161  Requirements for a complete affidavit or declaration of 
continued use or excusable nonuse.

* * * * *
    (g) * * *
    (2) Be flat and no larger than 8.5 inches (21.6 cm.) wide by 11.69 
inches (29.7 cm.) long. If a specimen exceeds these size requirements 
(a ``bulky specimen''), the Office will create a facsimile of the 
specimen that meets the requirements of the rule (i.e., is flat and no 
larger than 8.5 inches (21.6 cm.) wide by 11.69 inches (29.7 cm.) long) 
and put it in the record. In the absence of non-bulky alternatives, the 
Office may accept an audio or video cassette tape recording, CD-ROM, or 
a specimen in another appropriate medium.
    (3) Be a digitized image in .jpg format, if transmitted through 
TEAS.

0
45. Revise Sec.  2.171 to read as follows:


Sec.  2.171  New certificate on change of ownership.

    (a) If the ownership of a registered mark changes, the assignee may 
request that a new certificate of registration be issued in the name of 
the assignee for the unexpired part of the original period. The 
assignment must be recorded in the Office, and the request for the new 
certificate must be signed by the assignee and accompanied by the fee 
required by Sec.  2.6(a)(8). If available, the original certificate of 
registration must be submitted.
    (b) When ownership of a registration has changed with respect to 
some, but not all, of the goods and/or services, the registrant(s) may 
file a request that the registration be divided into two or more 
separate registrations. The fee required by Sec.  2.6(a)(8) must be 
paid for each new registration created by the division, and the change 
of ownership must be recorded in the Office.

0
1. Add a new part 7:

PART 7--RULES OF PRACTICE IN FILINGS PURSUANT TO THE PROTOCOL 
RELATING TO THE MADRID AGREEMENT CONCERNING THE INTERNATIONAL 
REGISTRATION OF MARKS

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 Receipt of correspondence.
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.

[[Page 55770]]

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 othe r 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.
7.38 Notice to holder of extension of protection.
7.39 Acknowledgment of receipt of 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.

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 available on-line through the Office's Web site at: 
www.uspto.gov.
    (d) The term Office 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.


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  Receipt of correspondence.

    Correspondence relating to international applications and 
registrations and requests for extension of protection submitted 
through TEAS will be accorded the date and time on which the complete 
transmission is received in the Office based on Eastern Time. Eastern 
Time means eastern standard time or eastern daylight time, as 
appropriate.


Sec.  7.5  [Reserved]


Sec.  7.6  Schedule of U.S. process fees.

    (a) The Office requires the following process fees:
    (1) For certifying an international application based on a single 
basic application or registration, per class--$100.00
    (2) For certifying an international application based on more than 
one basic application or registration, per class--$150.00
    (3) For transmitting a subsequent designation under Sec.  7.21--
$100.00
    (4) For transmitting a request to record an assignment or 
restriction, or release of a restriction, under Sec.  7.23 or Sec.  
7.24--$100.00
    (5) For filing a notice of replacement under Sec.  7.28, per 
class--$100.00
    (6) For filing an affidavit under Sec.  71 of the Act, per class--
$100.00
    (7) Surcharge for filing an affidavit under Sec.  71 of the Act 
during the grace period, per class--$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.


Sec.  7.7  Payments of fees to International Bureau.

    (a) 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) 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/.

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 submitted through TEAS and contains 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 of the international applicant that is identical to 
the name of the applicant or registrant as it appears in the basic 
application or basic registration and 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 meets the requirements of 
Sec.  2.52 of this chapter. 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. If the 
mark in the basic application or registration is depicted in black and 
white and includes a color claim, the international application

[[Page 55771]]

must include both a black and white reproduction of the mark and a 
color reproduction of the mark. If the mark in the basic application 
and/or registration is depicted in color, the reproduction of the mark 
in the international application must be in color;
    (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, the international 
application fees for all classes, and the fees for all designated 
Contracting Parties identified in the international application (see 
Sec.  7.7);
    (10) 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; and
    (11) An e-mail address for receipt of correspondence from the 
Office.
    (b) For requirements for certification, see Sec.  7.13.


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 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. An international applicant submitting a 
response to the International Bureau through the Office must use TEAS. 
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 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 submitted to the Office after the IB response deadline.

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 date of receipt in the Office of a subsequent designation 
is the date that the subsequent designation is submitted through TEAS, 
if it contains 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;

[[Page 55772]]

    (7) The U.S. transmittal fee required by Sec.  7.6 and the 
subsequent designation fees (see Sec.  7.7); and
    (8) An e-mail address for receipt of correspondence from the 
Office.
    (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 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.

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 that the assignee could not obtain the assignor's 
signature for the request to record the assignment;
    (6) An indication that the assignment applies to the designation to 
the United States;
    (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 and the 
international fee required to record the assignment (see Sec.  7.7).
    (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.


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 that the signature of the 
holder of the international registration could not be obtained for the 
request to record the restriction or release of the restriction;
    (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; 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.

[[Page 55773]]

    (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.

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.  2.130-2.131, 2.160-2.166, 2.168, 2.172, 
2.173, 2.175, and 2.181-2.186, all sections in part 2 and all sections 
of part 10 of this chapter apply to a request for extension of 
protection of an international registration to the United States, 
including sections related to proceedings before the Trademark Trial 
and Appeal Board, unless stated otherwise.
    (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.


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.


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 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 through TEAS 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) The application filing fee for at least one class of goods or 
services required by Sec.  2.6(a)(1) of this chapter; and
    (4) An e-mail 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.

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

[[Page 55774]]

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 after the date of registration in the United States; and
    (2) Within the six-month period preceding the end of each ten-year 
period after the date of registration in the United States, or the 
three-month grace period immediately following, with payment of the 
grace period surcharge required by section 71(a)(2)(B) of the Act and 
Sec.  7.6.


Sec.  7.37  Requirements for a complete affidavit or declaration of use 
in commerce or excusable nonuse.

    A complete affidavit or declaration under section 71 of the Act 
must:
    (a) Be filed by the holder of the international registration within 
the period set forth in Sec.  7.36(b);
    (b) Include a statement that is signed and verified (sworn to) or 
supported by a declaration under Sec.  2.20 of this chapter by a person 
properly authorized to sign on behalf of the holder, 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:
    (1) A person with legal authority to bind the holder; or
    (2) A person with firsthand knowledge of the facts and actual or 
implied authority to act on behalf of the holder; or
    (3) An attorney as defined in Sec.  10.1(c) of this chapter who has 
an actual written or verbal power of attorney or an implied power of 
attorney from the holder.
    (c) Include the U.S. registration number;
    (d)(1) Include the fee required by Sec.  7.6 for each class of 
goods or services that the affidavit or declaration covers;
    (2) If the affidavit or declaration is filed during the grace 
period under section 71(a)(2)(B) of the Act, include the grace period 
surcharge per class required by Sec.  7.6;
    (3) If at least one fee is submitted for a multi-class 
registration, but the class(es) to which the fee(s) should be applied 
are not specified, the 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. If the required fee(s) are 
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 are not 
specified, the Office will presume that the fee(s) cover the classes in 
ascending order, beginning with the lowest numbered class;
    (e)(1) Specify the goods or services for which the mark is in use 
in commerce, and/or the goods or services for which excusable nonuse is 
claimed under Sec.  7.37(f)(2);
    (2) Specify the goods or services being deleted from the 
registration, if the affidavit or declaration covers less than all the 
goods or services or less than all the classes in the registration;
    (f)(1) State that the registered mark is in use in commerce on or 
in connection with the goods or services in the registration; or
    (2) If the registered mark is not in use in commerce on or in 
connection with all the goods or services in the registration, set 
forth the date when use of the mark in commerce stopped and the 
approximate date when use is expected to resume and recite facts to 
show that nonuse as to those goods or services is due to special 
circumstances that excuse the nonuse and is not due to an intention to 
abandon the mark; and
    (g) Include a specimen showing current use of the mark for each 
class of goods or services, unless excusable nonuse is claimed under 
Sec.  7.37(f)(2). The specimen must meet the requirements of Sec.  2.56 
of this chapter.


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 affidavit or declaration of 
use in commerce or excusable nonuse.

    (a) The Office will issue a notice that states an affidavit or 
declaration of use in commerce or excusable nonuse is acceptable or if 
the affidavit or declaration is refused, an Office action that states 
the reason(s) for refusal.
    (b) A Response to a refusal under paragraph (a) of this section 
must be filed within six months of the mailing date 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 Office will cancel the 
extension of protection if no response is filed within this time 
period.


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 mailing date 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.

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.

    Dated: September 10, 2003.
James E. Rogan,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.

    Note: The following appendix will not appear in the Code of 
Federal Regulations.

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[FR Doc. 03-23562 Filed 9-25-03; 8:45 am]
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