[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 1999]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR1.9]

[Page 16-17]
 
             TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
    CHAPTER I--PATENT AND TRADEMARK OFFICE, DEPARTMENT OF COMMERCE
 
PART 1--RULES OF PRACTICE IN PATENT CASES--Table of Contents
 
                      Subpart A--General Provisions
 
Sec. 1.9  Definitions.

    (a)(1) A national application as used in this chapter means a U.S. 
application for patent which was either filed in the Office under 35 
U.S.C. 111, or which entered the national stage from an international 
application after compliance with 35 U.S.C. 371.
    (2) A provisional application as used in this chapter means a U.S. 
national application for patent filed in the Office under 35 U.S.C. 
111(b).
    (3) A nonprovisional application as used in this chapter means a 
U.S. national application for patent which was either filed in the 
Office under 35 U.S.C. 111(a), or which entered the national stage from 
an international application after compliance with 35 U.S.C. 371.
    (b) An international application as used in this chapter means an 
international application for patent filed under the Patent Cooperation 
Treaty prior to entering national processing at the Designated Office 
stage.
    (c) An independent inventor as used in this chapter means any 
inventor who (1) has not assigned, granted, conveyed, or licensed, and 
(2) is under no obligation under contract or law to assign, grant, 
convey, or license, any rights in the invention to any person who could 
not likewise be classified as an independent inventor if that person had 
made the invention, or to any concern which would not qualify as a small 
business concern or a nonprofit organization under this section.
    (d) A small business concern as used in this chapter means any 
business concern meeting the size standards set forth in 13 CFR Part 121 
to be eligible for reduced patent fees. Questions related to size 
standards for a small business concern may be directed to: Small 
Business Administration, Size Standards Staff, 409 Third Street, SW, 
Washington, DC 20416.
    (e) A nonprofit organization as used in this chapter means (1) a 
university or other institution of higher education located in any 
country; (2) an organization of the type described in section 501(c)(3) 
of the Internal Revenue Code of 1954 (26 U.S.C. 501(c)(3)) and exempt 
from taxation under section 501(a) of the Internal Revenue

[[Page 17]]

Code (26 U.S.C. 501(a)); (3) any nonprofit scientific or educational 
organization qualified under a nonprofit organization statute of a state 
of this country (35 U.S.C. 201(i)); or (4) any nonprofit organization 
located in a foreign country which would qualify as a nonprofit 
organization under paragraphs (e)(2) or (3) of this section if it were 
located in this country.
    (f) A small entity as used in this chapter means an independent 
inventor, a small business concern, or a non-profit organization 
eligible for reduced patent fees.
    (g) For definitions in interferences see Sec. 1.601.
    (h) A Federal holiday within the District of Columbia as used in 
this chapter means any day, except Saturdays and Sundays, when the 
Patent and Trademark Office is officially closed for business for the 
entire day.

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

[43 FR 20461, May 11, 1978, as amended at 47 FR 40139, Sept. 10, 1982; 
47 FR 43275, Sept. 30, 1982; 49 FR 48451, Dec. 12, 1984; 60 FR 20220, 
Apr. 25, 1995; 61 FR 56447, Nov. 1, 1996; 62 FR 53181, Oct. 10, 1997]