Source: https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&mc=true&r=PART&n=pt7.3.97
Timestamp: 2020-08-06 01:41:11
Document Index: 264258536

Matched Legal Cases: ['art 97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§1', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§97', '§202']

Title 7 → Subtitle B → Chapter I → Subchapter E → Part 97
§97.1 General.
§97.2 Meaning of words.
§97.3 Plant Variety Protection Board.
§97.5 General requirements.
§97.6 Application for certificate.
§97.7 Deposit of Voucher Specimen.
§97.8 Specimen requirements.
§97.9 Drawings and photographs.
§97.10 Parts of an application to be filed together.
§97.11 Application accepted and filed when received.
§97.12 Number and filing date of an application.
§97.13 When the owner is deceased or legally incapacitated.
§97.14 Joint applicants.
§97.15 Assigned varieties and certificates.
§97.16 Amendment by applicant.
§97.17 Papers of completed application to be retained.
§97.18 Applications handled in confidence.
§97.19 Publication of pending applications.
§97.20 Abandonment for failure to respond within the time limit.
§97.21 Extension of time for a reply.
§97.22 Revival of an application abandoned for failure to reply.
§97.23 Voluntary withdrawal and abandonment of an application.
§97.24 Assignee.
§97.100 Examination of applications.
§97.101 Notice of allowance.
§97.102 Amendments after allowance.
§97.103 Issuance of a certificate.
§97.104 Application or certificate abandoned.
§97.105 Denial of an application.
§97.106 Reply by applicant; request for reconsideration.
§97.107 Reconsideration and final action.
§97.108 Amendments after final action.
§97.120 Corrected certificate—office mistake.
§97.121 Corrected certificate—applicant's mistake.
§97.122 Certified seed only election.
§97.130 Recording of assignments.
§97.131 Conditional assignments.
§97.132 Assignment records open to public inspection.
§97.140 After filing.
§97.141 After issuance.
§97.142 For testing or increase.
§97.143 Certified seed only.
§97.144 Additional marking or labeling.
§97.150 Right to be represented.
§97.151 Authorization.
§97.152 Revocation of authorization; withdrawal.
§97.153 Persons recognized.
§97.154 Government employees.
§97.155 Signatures.
§97.156 Addresses.
§97.157 Professional conduct.
§97.175 Fees and charges.
§97.176 Fees payable in advance.
§97.177 Method of payment.
§97.178 Refunds.
§97.179 Copies and certified copies.
§97.190 When open records are available.
§97.200 Protests to the grant of a certificate.
§97.201 Protest proceedings.
§97.300 Petition to the Secretary.
§97.301 Commissioner's answer.
§97.302 Decision by the Secretary.
§97.303 Action following the decision.
§97.400 Extensions of time.
§97.401 Miscellaneous provisions.
§97.402 Service of papers.
§97.403 Manner of service.
§97.500 Appeal to U.S. Courts.
§97.600 Administrative provisions.
§97.700 Public interest in wide usage.
§97.800 Publication of public variety descriptions.
§97.900 Form of official identification symbol.
Source: 58 FR 42435, Aug. 9, 1993, unless otherwise noted.
Certificates of protection are issued by the Plant Variety Protection office for new, distinct, uniform, and stable varieties of sexually reproduced, tuber propagated, or asexually reproduced plants. Each certificate of plant variety protection certifies that the breeder has the right, during the term of the protection, to prevent others from selling the variety, offering it for sale, reproducing it, importing or exporting it, conditioning it, stocking it, or using it in producing a hybrid or different variety from it, as provided by the Act.
[85 FR 430, Jan. 6, 2020]
Sale for other than seed or propagating purposes. The transfer of title to and possession of the seed or propagating material by the owner to a grower or other person, for reproduction for the owner, for testing, or for experimental use, and not for commercial sale of the seed, reproduced seed, propagating material, or reproduced propagating material for planting purposes.
[58 FR 42435, Aug. 9, 1993, as amended at 60 FR 17189, Apr. 4, 1995; 61 FR 248, Jan. 4, 1996; 70 FR 28785, May 19, 2005; 85 FR 430, Jan. 6, 2020]
[58 FR 42435, Aug. 9, 1993, as amended at 61 FR 248, Jan. 4, 1996]
(1) A completed application form, except that the section specifying that seed of the variety shall be sold by variety name only, as a class of certified seed, need not be completed at the time of application.
(3) Language and legibility: (i) Applications and exhibits must be in the English language and legibly written, typed or printed.
(4) To determine the extent of reciprocity of the protection to be provided under the Act, persons filing an application for plant variety protection in the United States under the provisions of paragraph (a)(3) of this section shall, upon request1, furnish the Plant Variety Protection Office with a copy of the current plant variety protection laws and regulations for the country of which the applicant is a national, and an accurate English translation of such laws and regulations.
1Copies and translations of foreign laws and regulations will be requested only if they are not in the files of the Plant Variety Protection Office. Applicants may learn whether such a request will be made by writing to the address given in paragraph (c) of this section.
(c) Application and exhibit forms shall be issued by the Commissioner. (Copies of the forms may be obtained from the Plant Variety Protection Office by sending an email request to [email protected] or downloading forms from the PVPO website (https://www.ams.usda.gov/PVPO).
(c) The fees for filing an application, examination, and certificate issuance shall be submitted with the application in accordance with §§97.175 through 97.178.
(3) With the application for a hybrid from self-incompatible parents, a declaration that a plot of vegetative material for each parent will be established in a public depository approved by the Commissioner and will be maintained for the duration of the certificate, or
(4) Except as provided in §97.7(d)(3), with the application for an asexually propagated variety, a declaration that a deposit of propagating material in a public depository approved by the Commissioner will be made and maintained for the duration of the certificate.
[58 FR 42435, Aug. 9, 1993, as amended at 60 FR 17189, Apr. 4, 1995; 61 FR 248, Jan. 4, 1996; 70 FR 28785, May 19, 2005; 70 FR 54611, Sept. 19, 2005; 85 FR 430, Jan. 6, 2020]
(b) Need to make a deposit. Except as provided in (d)(3), applications for plant variety protection require deposit of a voucher specimen of the variety. The deposit shall be acceptable if made in accordance with these regulations. Sample packages shall meet the packaging and deposit requirements of the depository. Samples and correspondence about samples shall be identified, minimally, by:
(1) The National Center for Genetic Resources Preservation, ARS, USDA, 1111 South Mason Street, Fort Collins, CO 80521-4500, or
(5) Once a depository is recognized to be suitable by the Commissioner or has defaulted or discontinued its performance under this section, notice thereof will be published on the Plant Variety Protection Office website (https://www.ams.usda.gov/PVPO).
(d) Time of making an original deposit. An original deposit of materials for seed-reproduced plants shall be made within three months of the filing date of the application or prior to issuance of the certificate, whichever occurs first. An original deposit of materials for tuber-propagated plants or asexually reproduced plants shall be made within three months from the notice of certificate issuance date. A waiver from these time requirements may be granted for good cause, such as delays in obtaining a phytosanitary certificate for the importation of voucher sample materials. A delay waiver may also be granted if the repository determines that it is technically infeasible to deposit propagating materials for certain asexually reproduced plants.
(1) When the original deposit is made, the applicant must promptly submit a statement from a person in a position to corroborate the fact, stating that the voucher specimen material which is deposited is the variety specifically identified in the application as filed. Such statement must be filed in the application and must contain the identifying information listed in paragraph (b) of this section and:
(i) The name and address of the depository;
(iii) The accession number given by the depository; and
(iv) A statement that the deposit is capable of reproduction.
(2) The following conditions apply to delay waivers granted due to technical difficulties with depositing propagating material for asexually reproduced plants:
(i) The applicant is required to make a declaration that the propagating material will be maintained at a specific physical location, subject to Plant Variety Protection Office inspection when requested; and
(ii) The applicant is required to make a declaration that propagating material will be provided within three months of a request by the Plant Variety Protection Office. Failure to provide propagating material as requested shall result in the certificate being regarded as abandoned.
(iii) The delay waiver is effective until the Plant Variety Protection Office notifies the applicant that the technical infeasibility has been resolved. Upon that notification, the applicant must provide a deposit within three months. Failure to provide a deposit shall result in the certificate being regarded as abandoned.
(3) Original deposits of propagating material for asexually reproduced varieties are not required for applications submitted between January 6, 2020, and January 6, 2023; provided: That the applicant is required to make the declarations described in paragraphs (d)(2)(i) and (ii) of this section.
(e) Replacement or supplement of deposit. If the depository possessing a deposit determines either that the sample viability is low or that the sample quantity is low, and if this finding is made during the pendency of an application or during the term of protection of the certificate, the Office shall notify the depositor of the need for making a replacement or supplemental deposit. Such deposits will be governed by the same considerations governing the need for making an original deposit under the provisions set forth in §97.7(d). Notification to the Office concerning deposit of the replacement or supplemental sample shall contain a statement from a person in a position to corroborate the fact, stating that the replacement or supplemental deposit is of a biological material which is identical to that originally deposited.
(g) Viability of deposit. A deposit of biological material that is capable of self-replication either directly or indirectly must be viable at the time of deposit and during the term of deposit. Viability may be tested by the depository periodically. The test must conclude only that the deposited material is capable of reproduction. No evidence necessarily is required regarding the ability of the deposited material to perform any function described in the application. If a viability test indicates that the deposit is not viable upon receipt or that the quantity of material is insufficient, the examiner shall proceed as if no deposit was made. The examiner will accept the conclusion set forth in a viability statement issued by a depository recognized under paragraph 97.7(c).
(1) Public access to the deposit will not be available during pendency of the application or during the term of protection, and
[70 FR 54611, Sept. 16, 2005, as amended at 85 FR 430, Jan. 6, 2020]
(b) Drawings or photographs shall be in color when color is a distinguishing characteristic of the variety, and the color shall be described by use of Nickerson's color fan, the Munsell Book of Color, the Royal Horticultural Society Colour Chart, or other recognized color chart.
(c) Drawings shall be sent flat, or may be sent in a suitable mailing tube or by email in high resolution format, in accordance with instructions furnished by the Commissioner.
[58 FR 42435, Aug. 9, 1993, as amended at 85 FR 431, Jan. 6, 2020]
(a) Applications shall be numbered and dated in sequence in the order received by the Office. Applicants will be informed in writing, by mail or email, as soon as practicable of the number and effective filing date of the application.
(d) If a joint owner refuses to join in an application or cannot be found after diligent effort, the remaining owner may file an application on behalf of him or herself and the missing owner. Such application shall be accompanied by a written explanation and shall state the last known address of the missing owner. Notice of the filing of the application shall be forwarded by the Office to the missing owner at the last known address. If such notice is returned to the Office undelivered, or if the address of the missing owner is unknown, notice of the filing of the application shall be published once on the Plant Variety Protection Office website (https://www.ams.usda.gov/PVPO). Prior to the issuance of the certificate, a missing owner may join in an application by filing a written explanation. A certificate obtained by fewer than all of the joint owners under this paragraph conveys the same rights and privileges to said owners as though all of the original owners had joined in an application.
In case the whole or a part interest in a variety is assigned, the application shall be made by the owner or one of the persons identified in §97.13. However, the certificate may be issued to the assignee, or jointly to the owner and the assignee, when a part interest in a variety is assigned.
An application may be amended before or after the first examination and action by the Office, after the second or subsequent examination or reconsideration as specified in §97.107, or when and as specifically required by the examiner. Such amendment may include a specification that seed of the variety be sold by variety name only as a class of certified seed, if not previously specified or if previously declined. Once an affirmative specification is made, no amendment to reverse such a specification will be permitted unless the variety has not been sold and labeled or publication made in any manner that the variety is to be sold by variety name, only as a class of certified seed.
The papers submitted with a completed application shall be retained by the Office except as provided in §97.23(c). After issuance of a certificate of protection the Office will furnish copies of the application and related papers to any person upon payment of the specified fee.
(a) Pending applications shall be handled in confidence. Except as provided below, no information may be given by the Office respecting the filing of an application, the pendency of any particular application, or the subject matter of any particular application. Also, nor will access be given to or copies furnished of any pending application or papers relating thereto, without written authority of the applicant, or his or her assignee or attorney or agent. Exceptions to the above may be made by the Commissioner in accordance with 5 U.S.C. 552 and §1.4 of this title, and upon a finding that such action is necessary to the proper conduct of the affairs of the Office, or to carry out the provisions of any Act of Congress, or as provided in sections 56 or 57 of the Act and §97.19.
Information relating to pending applications shall be published periodically as determined by the Commissioner to be necessary in the public interest. With respect to each application, the Plant Variety Protection Office website (https://www.ams.usda.gov/PVPO) shall show:
(c) The name of the crop; and
[58 FR 42435, Aug. 9, 1993, as amended at 60 FR 17189, Apr. 4, 1995; 61 FR 248, Jan. 4, 1996; 85 FR 431, Jan. 6, 2020]
(a) Except as otherwise provided in §97.104, if an applicant fails to advance actively his or her application within 30 days after the date when the last request for action was mailed to the applicant by the Office, or within such longer time as may be fixed by the Commissioner, the application shall be deemed abandoned. The filing and examination fees in such cases will not be refunded.
[58 FR 42435, Aug. 9, 1993, as amended at 60 FR 17189, Apr. 4, 1995; 85 FR 431, Jan. 6, 2020]
(c) An original application which has been voluntarily withdrawn shall be returned to the applicant and may be reconsidered only by refiling and payment of new filing and examination fees.
If, on examination, PVPO determines that the applicant is entitled to a certificate, a notice of allowance shall be sent to the applicant or his or her attorney or agent of record, if any, requesting verification of the variety name and of the name of the owner. The notice will also provide an opportunity for withdrawal of the application before certificate issuance. The applicant must respond within 30 days from the date of the notice of allowance. Thereafter, a fee for delayed response shall be charged as specified in §97.175(f).
[85 FR 431, Jan. 6, 2020]
(a) After the notice of allowance has been issued and the applicant has clearly specified whether or not the variety shall be sold by variety name only as a class of certified seed, the certificate shall be promptly issued. Once an election is made and a certificate issued specifying that seed of the variety shall be sold by variety name only as a class of certified seed, no waiver of such rights shall be permitted by amendment of the certificate.
[58 FR 42435, Aug. 9, 1993, as amended at 85 FR 432, Jan. 6, 2020]
(a) Upon request by the Office, the owner shall replenish the seed or propagating material of the variety and shall pay the handling fee for replenishment. Samples of seed or propagating material related to abandoned applications or certificates will be retained or destroyed by the depository. Failure to replenish seed or propagating material within 3 months from the date of request shall result in the certificate being regarded as abandoned. No sooner than 1 year after the date of such request, notices of abandoned certificates shall be published on the Plant Variety Protection Office website (https://www.ams.usda.gov/PVPO), indicating that the variety has become open for use by the public and, if previously specified to be sold by variety name as “certified seed only,” that such restriction no longer applies.
(b) If the seed or propagating material is submitted within 9 months of the final due date, it may be accepted by the Commissioner as though no abandonment had occurred. For good cause, the Commissioner may extend for a reasonable time the period for submitting seed or propagating material before declaring the certificate abandoned.
(c) A certificate may be voluntarily abandoned by the applicant or his or her attorney or agent of record or the assignee of record by notifying the Commissioner in writing. Upon receipt of such notice, the Commissioner shall publish a notice on the Plant Variety Protection Office website (https://www.ams.usda.gov/PVPO) that the variety has become open for use by the public, and if previously specified to be sold by variety name as “certified seed only,” that such restriction no longer applies.
[85 FR 432, Jan. 6, 2020]
If, upon reconsideration, the application is denied by the Commissioner, the applicant shall be notified by the Commissioner of the reason or reasons for denial in the same manner as after the first examination. Any such denial shall be final unless appealed by the applicant to the Secretary. If the denial is sustained by the Secretary on appeal, the denial shall be final subject to appeal to the courts, as provided in §97.500.
[58 FR 42435, Aug. 9, 1993, as amended at 70 FR 28785, May 19, 2005]
(b) Assignment records relating to any pending or abandoned application shall not be available for inspection except to the extent that pending applications are published as provided in section 57 of the Act and §97.19, or where necessary to carry out the provisions of any Act of Congress. Copies of assignment records and information on pending or abandoned applications shall be obtainable only upon written authority of the applicant or his or her assignee, or attorney or agent of record, or where necessary to carry out the provisions of any Act of Congress. An order for a copy of an assignment shall give the proper identification of the assignment.
Upon issuance of a certificate, the owner of the variety, or his or her designee, may label the variety, propagating material of the variety, or containers of the seed of the variety or plants produced from such seed or propagating material substantially as follows: “Unauthorized Propagation Prohibited—(Unauthorized Seed or Propagating Material Multiplication Prohibited)—U.S. Protected Variety.” Where applicable, “PVPA 1994” or “PVPA 1994—Unauthorized Sales for Reproductive Purposes Prohibited” may be added to the notice.
An owner who contemplates filing an application and releases for testing or increase seed of the variety or propagating material or reproducible plant material of the variety may label such plant material or containers of the seed or plant material substantially as follows: “Unauthorized Propagation Prohibited—For Testing (or Increase) Only.”
(a) Upon filing an application, or amendment thereto, specifying seed of the variety is to be sold by variety name only as a class of certified seed, the owner, or his or her designee, may label containers of seed of the variety substantially as follows: “Unauthorized Propagation Prohibited—U.S. Variety Protection Applied for Specifying That Seed of This Variety Is To Be Sold By Variety Name Only as a Class of Certified Seed.”
(b) An owner who has received a certificate specifying that a variety is to be sold by variety name only, as a class of certified seed, may label containers of the seed of the variety substantially as follows: “Unauthorized Propagation Prohibited—To Be Sold By Variety Name Only as a Class of Certified Seed—U.S. Protected Variety.”
Unless specifically authorized as provided in §97.151, no person shall be permitted to file or advance applications before the Office on behalf of another person.
The following fees and charges apply to the services and actions specified in paragraphs (a) through (f) of this section:
(1) Initial fee for filing, examination, and certificate issuance—$5,150
(2) Submission of new application data prior to issuance of certificate—$432
(3) Granting extensions for responding to data requests—$89
(4) Refunds pursuant to §97.178 may be issued for portions of the initial application fee as follows: examination—$3,864, and certificate issuance—$768.
(b) Reconsideration of application—$589
(c) Revival of an abandoned application—$518
(1) Filing a petition for protest to Commissioner—$4,118
(2) Appeal to Secretary (refundable if appeal overturns protest to Commissioner)—$4,942
(e) Field inspections or other services requiring travel by a representative of the Plant Variety Protection Office, made at the request of the applicant, shall be reimbursable in full (including travel, per diem or subsistence, salary, and administrative costs), in accordance with standardized government travel regulations.
(f) Any other service not covered in this section, including, but not limited to, reproduction of records, authentication, correction, or reissuance of a certificate, recordation or revision of assignment, and late fees will be charged for at rates prescribed by the Commissioner, but in no event shall they exceed $97 per employee hour. Charges will also be made for materials, space, and administrative costs.
Payments can be submitted through the electronic Plant Variety Protection system or pay.gov. Checks or money orders shall be made payable to the Treasurer of the United States. Remittances from foreign countries must be payable and immediately negotiable in the United States for the full amount of the prescribed fee. Money sent by mail to the Office shall be sent at the sender's risk.
Money paid by mistake or excess payments shall be refunded, but a mere change of plans after the payment of money, as when a party decides to withdraw an application or to withdraw an appeal, shall not entitle a party to a refund. However, the examination fee shall be refunded if an application is voluntarily withdrawn or abandoned pursuant to §97.23(a) before the examination has begun. The certificate issuance fee shall be refunded if an application is voluntarily withdrawn or abandoned after an examination has been completed and before a certificate has been issued. Amounts of $1 or less shall not be refunded unless specifically demanded.
(e) As soon as practicable after the petition or the petition and answer are filed, or after the expiration of any period for filing sworn statements or affidavits, the Commissioner shall issue a decision as to whether the protests are upheld or denied. The Commissioner may, following the protest proceeding, cancel any certificate issued and may grant another certificate for the same variety to a person who proves to the satisfaction of the Commissioner, that he or she is the breeder or discoverer. The decision shall be served upon the parties in the manner provided in §97.403.
(a) Petition may be made to the Secretary from any final action of the Commissioner denying an application or refusing to allow a certificate to be issued, or from any adverse decision of the Commissioner made under §§97.18(c), 97.107, 97.201(e), and 97.220.
(c) A petition to the Secretary shall be filed in duplicate and accompanied by the prescribed fee (see §97.175).
(a) Copies of the decision of the Secretary shall be served upon the appellant and the Commissioner in the manner provided in §97.403.
(a) Every paper required to be served on opposing parties and filed in the Office in any priority, protest, or appeal proceeding, must be served by the Secretary in the manner provided in §97.403.
(d) Whenever it shall be found by the Commissioner or Secretary that none of the above modes of serving the paper is practicable, service may be by notice, published once on the Plant Variety Protection Office website (https://www.ams.usda.gov/PVPO).
Any applicant dissatisfied with the decision of the Secretary on appeal may appeal to the U.S. Courts of Appeals for the Federal Circuit or institute a civil action in the U.S. District Court for the District of Columbia, as set forth in the Act. In such cases, the appellant or plaintiff shall give notice to the Secretary, state the reasons for appeal or civil action, and obtain a certified copy of the record. The certified copy of the record shall be forwarded to the Court by the Plant Variety Protection Office on order of, and at the expense of the appellant or plaintiff.
Any proceedings instituted under section 128 of the Act for false marking shall be conducted in accordance with §§202.10 through 202.29 of this chapter (rules of practice under the Federal Seed Act) (7 U.S.C. 1551 et seq.), except that all references in those rules and regulations to “Examiner” shall be construed to be an Administrative Law Judge, U.S. Department of Agriculture, and not an “Examiner” as defined in the regulations under the Plant Variety Protection Act.
Voluntary submissions of varietal descriptions of “public varieties” on forms obtainable from the Office will be accepted for publication on the Plant Variety Protection Office website (https://www.ams.usda.gov/PVPO). Such publication shall not constitute recognition that the variety is, in fact, distinct, uniform, and stable.
[85 FR 433, Jan. 6, 2020]