---
kind: "range"
citation: "37 C.F.R. §§ 5.1–5.5"
title: "37"
from: "5.1"
to: "5.5"
count: 5
url: "https://uscodex.org/cfr/37/5.1..5.5"
---

# §5.1. Applications and correspondence involving national security.

- (a) **All correspondence in connection with this part, including petitions, should be addressed to—** Mail Stop L&R, Commissioner for Patents, P.O. Box 1450, Alexandria, Virginia 22313-1450.
- (b) **Definitions.**
  - (1) Application as used in this part includes provisional applications ([§ 1.9(a)(2)](/cfr/37/1.9.md?p=a-2) of this chapter), nonprovisional applications ([§ 1.9(a)(3)](/cfr/37/1.9.md?p=a-3)), international applications ([§ 1.9(b)](/cfr/37/1.9.md?p=b)), or international design applications ([§ 1.9(n)](/cfr/37/1.9.md?p=n)).
  - (2) Foreign application as used in this part includes, for filing in a foreign country or in a foreign or international intellectual property authority (other than the United States Patent and Trademark Office acting as a Receiving Office for international applications (35 U.S.C. [361](/usc/35/361.md), [37](/usc/35/37.md) CFR 1.412) or as an office of indirect filing for international design applications (35 U.S.C. [382](/usc/35/382.md), [37](/usc/35/37.md) CFR 1.1002)) any of the following: An application for patent; international application; international design application; or application for the registration of a utility model, industrial design, or model.
- (c) Patent applications and documents relating thereto that are national security classified (see [§ 1.9(i)](/cfr/37/1.9.md?p=i) of this chapter) and contain authorized national security markings (e.g., “Confidential,” “Secret” or “Top Secret”) are accepted by the Office. National security classified documents filed in the Office must be either hand-carried to Licensing and Review or mailed to the Office in compliance with [paragraph (a)](#a) of this section.
- (d) The applicant in a national security classified patent application must obtain a secrecy order pursuant to [§ 5.2(a)](/cfr/37/5.2.md?p=a). If a national security classified patent application is filed without a notification pursuant to [§ 5.2(a)](/cfr/37/5.2.md?p=a), the Office will set a time period within which either the application must be declassified, or the application must be placed under a secrecy order pursuant to [§ 5.2(a)](/cfr/37/5.2.md?p=a), or the applicant must submit evidence of a good faith effort to obtain a secrecy order pursuant to [§ 5.2(a)](/cfr/37/5.2.md?p=a) from the relevant department or agency in order to prevent abandonment of the application. If evidence of a good faith effort to obtain a secrecy order pursuant to [§ 5.2(a)](/cfr/37/5.2.md?p=a) from the relevant department or agency is submitted by the applicant within the time period set by the Office, but the application has not been declassified or placed under a secrecy order pursuant to [§ 5.2(a)](/cfr/37/5.2.md?p=a), the Office will again set a time period within which either the application must be declassified, or the application must be placed under a secrecy order pursuant to [§ 5.2(a)](/cfr/37/5.2.md?p=a), or the applicant must submit evidence of a good faith effort to again obtain a secrecy order pursuant to [§ 5.2(a)](/cfr/37/5.2.md?p=a) from the relevant department or agency in order to prevent abandonment of the application.
- (e) An application will not be published under [§ 1.211](/cfr/37/1.211.md) of this chapter or allowed under [§ 1.311](/cfr/37/1.311.md) of this chapter if publication or disclosure of the application would be detrimental to national security. An application under national security review will not be published at least until six months from its filing date or three months from the date the application was referred to a defense agency, whichever is later. A national security classified patent application will not be published under [§ 1.211](/cfr/37/1.211.md) of this chapter or allowed under [§ 1.311](/cfr/37/1.311.md) of this chapter until the application is declassified and any secrecy order under [§ 5.2(a)](/cfr/37/5.2.md?p=a) has been rescinded.
- (f) Applications on inventions made outside the United States and on inventions in which a U.S. Government defense agency has a property interest will not be made available to defense agencies.

# §5.2. Secrecy order.

- (a) When notified by the chief officer of a defense agency that publication or disclosure of the invention by the granting of a patent would be detrimental to the national security, an order that the invention be kept secret will be issued by the Commissioner for Patents.
- (b) Any request for compensation as provided in [35 U.S.C. 183](/usc/35/183.md) must not be made to the Patent and Trademark Office, but directly to the department or agency which caused the secrecy order to be issued.
- (c) An application disclosing any significant part of the subject matter of an application under a secrecy order pursuant to [paragraph (a)](#a) of this section also falls within the scope of such secrecy order. Any such application that is pending before the Office must be promptly brought to the attention of Licensing and Review, unless such application is itself under a secrecy order pursuant to [paragraph (a)](#a) of this section. Any subsequently filed application containing any significant part of the subject matter of an application under a secrecy order pursuant to [paragraph (a)](#a) of this section must either be hand-carried to Licensing and Review or mailed to the Office in compliance with [§ 5.1(a)](/cfr/37/5.1.md?p=a).

# §5.3. Prosecution of application under secrecy orders; withholding patent.


Unless specifically ordered otherwise, action on the application by the Office and prosecution by the applicant will proceed during the time an application is under secrecy order to the point indicated in this section:

- (a) National applications under secrecy order which come to a final rejection must be appealed or otherwise prosecuted to avoid abandonment. Appeals in such cases must be completed by the applicant but unless otherwise specifically ordered by the Commissioner for Patents will not be set for hearing until the secrecy order is removed.
- (b) An interference or derivation will not be instituted involving a national application under secrecy order. An applicant whose application is under secrecy order may suggest an interference ([§ 41.202(a)](/cfr/37/41.202.md?p=a) of this title), but the Office will not act on the request while the application remains under a secrecy order.
- (c) When the national application is found to be in condition for allowance except for the secrecy order the applicant and the agency which caused the secrecy order to be issued will be notified. This notice (which is not a notice of allowance under [§ 1.311](/cfr/37/1.311.md) of this chapter) does not require reply by the applicant and places the national application in a condition of suspension until the secrecy order is removed. When the secrecy order is removed the Patent and Trademark Office will issue a notice of allowance under [§ 1.311](/cfr/37/1.311.md) of this chapter, or take such other action as may then be warranted.
- (d) International applications and international design applications under secrecy order will not be mailed, delivered, or otherwise transmitted to the international authorities or the applicant. International applications under secrecy order will be processed up to the point where, if it were not for the secrecy order, record and search copies would be transmitted to the international authorities or the applicant.

# §5.4. Petition for rescission of secrecy order.

- (a) A petition for rescission or removal of a secrecy order may be filed by, or on behalf of, any principal affected thereby. Such petition may be in letter form, and it must be in duplicate.
- (b) The petition must recite any and all facts that purport to render the order ineffectual or futile if this is the basis of the petition. When prior publications or patents are alleged the petition must give complete data as to such publications or patents and should be accompanied by copies thereof.
- (c) The petition must identify any contract between the Government and any of the principals, under which the subject matter of the application or any significant part thereof was developed, or to which the subject matter is otherwise related. If there is no such contract, the petition must so state.
- (d) Appeal to the Secretary of Commerce, as provided by [35 U.S.C. 181](/usc/35/181.md), from a secrecy order cannot be taken until after a petition for rescission of the secrecy order has been made and denied. Appeal must be taken within sixty days from the date of the denial, and the party appealing, as well as the department or agency which caused the order to be issued, will be notified of the time and place of hearing.

# §5.5. Permit to disclose or modification of secrecy order.

- (a) Consent to disclosure, or to the filing of an application abroad, as provided in [35 U.S.C. 182](/usc/35/182.md), shall be made by a “permit” or “modification” of the secrecy order.
- (b) Petitions for a permit or modification must fully recite the reason or purpose for the proposed disclosure. Where any proposed disclosee is known to be cleared by a defense agency to receive classified information, adequate explanation of such clearance should be made in the petition including the name of the agency or department granting the clearance and the date and degree thereof. The petition must be filed in duplicate.
- (c) In a petition for modification of a secrecy order to permit filing abroad, all countries in which it is proposed to file must be made known, as well as all attorneys, agents and others to whom the material will be consigned prior to being lodged in the foreign patent office. The petition should include a statement vouching for the loyalty and integrity of the proposed disclosees and where their clearance status in this or the foreign country is known all details should be given.
- (d) Consent to the disclosure of subject matter from one application under secrecy order may be deemed to be consent to the disclosure of common subject matter in other applications under secrecy order so long as not taken out of context in a manner disclosing material beyond the modification granted in the first application.
- (e) Organizations requiring consent for disclosure of applications under secrecy order to persons or organizations in connection with repeated routine operation may petition for such consent in the form of a general permit. To be successful such petitions must ordinarily recite the security clearance status of the disclosees as sufficient for the highest classification of material that may be involved.