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Business Plan Basics

A business plan precisely defines your business, identifies your goals, and serves as your firm's resume. The basic components include a current and pro forma balance sheet, an income statement, and a cash flow analysis. It helps you allocate resources properly, handle unforeseen complications, and make good business decisions. Because it provides specific and organized information about your company and how you will repay borrowed money, a good business plan is a crucial part of any loan application. Additionally, it informs sales personnel, suppliers, and others about your operations and goals.
Plan Your Work

The importance of a comprehensive, thoughtful business plan cannot be overemphasized. Much hinges on it: outside funding, credit from suppliers, management of your operation and finances, promotion and marketing of your business, and achievement of your goals and objectives.

"The business plan is a necessity. If the person who wants to start a small business can't put a business plan together, he or she is in trouble," says Robert Krummer, Jr., chairman of First Business Bank in Los Angeles.

Despite the critical importance of a business plan, many entrepreneurs drag their feet when it comes to preparing a written document. They argue that their marketplace changes too fast for a business plan to be useful or that they just don't have enough time. But just as a builder won't begin construction without a blueprint, eager business owners shouldn't rush into new ventures without a business plan.

Before you begin writing your business plan, consider four core questions:

* What service or product does your business provide and what needs does it fill?
* Who are the potential customers for your product or service and why will they purchase it from you?
* How will you reach your potential customers?
* Where will you get the financial resources to start your business?

Source:
http://www.sba.gov/starting_business/planning/basic.html

WOMEN BUSINESS OWNERS: 11/95

SELLING TO THE FEDERAL GOVERNMENT

Office of Women's Business Ownership
U.S. Small Business Administration

For sale by the U.S. Government Printing Office, Superintendent
of Documents, Mail Stop: SSOP, Washington, DC 20402-9328 ISBN
0-16- 042057-1
________________________________________________________________
Foreword

This guide is designed to help women business owners become more
successful by providing them with information about marketing
their goods and services to the federal government. It is
published by the Office of Women's Business Ownership of the U.S.
Small Business Administration.

The need for such a guide is indicated by recent statistics.
Women-owned businesses constitute one of the fastest growing
segments of the U.S. economy. U.S. Census Bureau statistics
indicate that women now own 32 percent of all small businesses in
the United States and by the year 2000 the percentages will
increase to 40 percent. Despite impressive advancement, however,
women still face unique challenges to starting and growing their
businesses.

The Interagency Committee on Women's Business Enterprise is
responsible for carrying out a presidential mandate to promote,
monitor and coordinate federal efforts on behalf of women
business owners. The Office of Women's Business ownership is
responsible not only for assisting the committee in improving
opportunities for women business owners in the public sector but
also for mobilizing private sector resources, developing training
materials and serving as an advocate for women business owners.

Selling to the federal government can be a large market niche for
many small businesses, but it is not an easy arena to enter. The
federal government spends nearly $170 billion yearly on a wide
range of products and services, from toothbrushes, computers and
meals to machinery, utensils and office supplies, yet in FY '94
only 2.1 percent of all federal prime and subcontracts were
awarded to women-owned firms. In plain language, women's share
of federal contracts has steadily increased, but is still a small
percentage of what it should be.

The good news for women-owned firms in 1994 was the passage of
Public Law 103-355, the Federal Acquisition Streamlining Act,
signed by President Clinton on October 13, 1994. This Act is the
first major rewrite of Federal procurement laws in a decade. It
revises more than 225 statutory rules and encourages the use of
several innovative procurement techniques. It also establishes a
government-wide goal of having not less than 5 percent of the
total value of all prime and subcontract awards, for each fiscal
year, awarded to women-owned businesses. Government agencies are
encouraged to expand procurement opportunities for women.

Businesses owned and managed by women should capitalize on this
opportunity and aggressively market their products and services
to the federal government. The regulations governing the new
procurement procedures are now being written and should be
completed by the end of 1995. In the interim, information is
available on the progress of these regulatory changes through
SBA's Office of Advocacy and the Office of Women's Business
Ownership. Another area of increasing importance in the business
world in general, and in dealing with federal procurement
procedures in particular, is the use of computers. Significant
emphasis has been placed on incorporating acquisition related
information, procurement and solicitation announcements, and
other changes into computerized information management systems.

All federal procurement offices have been directed to establish
an electronic commerce system. This will allow federal agencies
and commercial vendors to electronically exchange standardized
information in the form of purchase orders, requests for
quotations and responses to such requests. Indeed, P.L. 103-355
mandates the establishment of a government-wide Federal
Acquisition Network (FACNET) within five years.

Regardless of the size of the firm seeking to do business with
the federal government, the ability to effectively use
computer-based information and communications systems will be
extremely important. The health of our nation's economy
increasingly depends upon the vitality of all segments of the
small business community. We trust that this guide will increase
the understanding of how the federal marketplace can provide
opportunities for women-owned businesses to expand, prosper and
become full partners in that community.

Table of Contents

PART I HOW THE GOVERNMENT BUYS

Women and the Government Market
New Opportunities for Women-Owned Businesses
Emphasizing the Acquisition of Commercial Items
Simplified Acquisition Procedures
Federal Acquisition Network (FACNET)
Uniformity in the Procurement Process
Protests and Oversight Procedures
Pilot Programs
How the Government Buys
General Procedures
Consolidated Purchasing Programs
Major Federal Agencies
Government Tools for Identifying Potential Offerors
General Procedures for Getting on a Bidders List
The Procurement Automated Source System (PASS)
The Qualified Products List (QPL)
How Does the Government Make Known Its Needs?
GSA Business Service Centers (BSC)
Defense Logistics Agency (DLA)
Other Resources
What Are the Government's Methods of Buying?
Formal Advertising (Sealed Bidding) -- Invitation for Bid
Buying or Contracting by Negotiation -- Request for
Proposals
Types of Contracts

PART 2 SELLING TO THE GOVERNMENT

Before You Begin
Subcontracting with a Prime Contractor
Benefiting from the Government's Programs
Prequalification Pilot Loan Program
What If I'm Unsuccessful in My Bid or Proposal?
What Are My Responsibilities as a Contractor?
Specific Contract Administration Matters

APPENDIX 1. STANDARD FORMS

APPENDIX 2. AGENCY RESOURCES
SBA Field Offices
SBA Procurement Center Representatives (PCRs)
U.S. Small Business Administration Commercial Market
Representatives
GSA Business Service Center Regional Offices
GSA Federal Information Centers Telephone Numbers
United States Department of Commerce Minority Business
Development Agency (MBDA)
Federal Offices of Small and Disadvantaged Business
Utilization (OSDBU)
Small Business Innovation Research Representatives (SBIR)
Defense Logistics Agency (DLA) Service Centers
Defense Contract Management Districts (DCMDs) and Defense
Contract Management Area Operations (DCMAOs)
U.S. Government Bookstores

APPENDIX 3. RESOURCE BIBLIOGRAPHY
Government Wide Resources

_________________________________________________________________

Part I

HOW THE GOVERNMENT BUYS

WOMEN AND THE GOVERNMENT MARKET

Government procurement is big business -- about $170 billion is
spent annually for products and services. Figure 1 identifies
the largest procuring agencies of the federal government in terms
of dollars. Now is a good time to get in on the action in the
federal marketplace. While competition has long been recognized
as a prudent business practice, there is renewed emphasis, today,
on competition within the federal government.

In 1994, the Federal Acquisition Streamlining Act (P.L. 103-355)
was signed by President Clinton. This landmark legislation calls
for major revisions in the federal procurement laws for all
civilian and defense agencies. Although the legislation will
significantly change the way the government does business, the
provisions in the new law will be implemented by regulations
which are currently being written. While we do not know how the
final Federal Acquisition Regulations (FARs) will be drafted, we
do know the key areas of changes in the laws governing the
procurement of goods and services. The most significant
provisions of the new law include:

* Establishing a new 5 percent government-wide procurement goal
for women-owned businesses.
* Encouraging agencies to rely on off-the-shelf commercial
products instead of those specifically designed to comply
with government-unique requirements.
* Streamlining acquisition procedures through an increased small
purchase dollar threshold.
* Implementing a government-wide electronic commerce system which
will allow computers to exchange business data in a
standard format.
* Amending several current procurement laws to provide uniform
treatment of both Department of Defense and civilian agency
procurements.
* Authorizing the Office of Federal Procurement Policy to test
alternative procurement techniques in 13 pilot acquisition
programs.
* Improving contract protest and oversight procedures.

NEW OPPORTUNITIES FOR WOMEN-OWNED BUSINESSES

The legislation establishes a new 5 percent government-wide
procurement goal for women-owned businesses. In order to
accomplish this objective, the following actions will be taken:

* Women-owned firms will be specifically incorporated into the
procurement preference goaling process established for all
government agencies. A government-wide goal has been
targeted for the participation of small business concerns
owned and operated by women of not less than 5 percent of
the total value of all prime and subcontract awards for each
fiscal year.
* Women-owned firms are added as a class for subcontract goals.
* A woman-owned business is defined as a small business that is
at least 51 percent owned by one or more women, or in the
case of any publicly owned business, at least 51 percent of
the stock is owned by one or more women and the management
and daily business operations are controlled by one or more
women.

Although the new legislation makes it clear that government
agencies are expected to expand contract opportunities for women,
this does not mean that contracts will be set-aside solely for
women-owned firms. Rather, agencies will have a strong incentive
to look for qualified women-owned businesses when trying to fill
contractual needs. It is still up to women business owners
themselves to market their products and services to the
government.

EMPHASIZING THE ACQUISITION OF COMMERCIAL ITEMS

The bill encourages agencies to rely on commercial items and
components that are readily available and simplifies the
procedures for buying those items. The scope of products and
services that qualify for treatment as commercial items has been
significantly expanded to include:

Products of a type customarily used by the general public that
have been offered for sale in the commercial market place.
* Products that have been developed from existing
commercial items through advances in technology or
performance, even if not yet available in the
commercial market place.
* Commercial items which need only minor modifications to
meet federal requirements.
* Installation, maintenance, repair and training
services, if procured in support of a commercial
product under terms and conditions available to the
general public.
* Commercial services offered and sold competitively in
the business arena.
* Items previously developed for government use if they
were (a) developed at private expense and (b) they have
been widely sold on a competitive basis, to state and
local governments.

These changes represent a common sense approach to government
procurement and eliminate many burdensome paperwork, record
keeping and certification requirements.

SIMPLIFIED ACQUISITION PROCEDURES

Nearly all restrictions on purchases of less than $100,000 are
removed. This dollar amount replaces the previous small purchase
threshold of $25,000. It means that instead of full and detailed
open competition, agencies can now use simplified procedures for
soliciting and evaluating bids.

Simplified procedures require fewer administrative details, lower
approval levels and less documentation. Once an agency has been
certified by the Office of Federal Procurement Policy (OFPP) as
able to purchase through electronic contracting procedures, its
small purchase threshold is raised to $100,000. Prior to
certification the threshold is $50,000 for all agencies. If an
agency fails to fully implement Electronic Data Interchange (EDI)
(see next section) within five years, its threshold would revert
to $50,000. The legislation requires all federal purchases above
$2,500 but under the $100,000 threshold to be reserved for small
businesses, unless the contracting officer cannot obtain offers
from two or more small firms that are competitive on price,
quality and delivery.

Government purchases up to $2,500 are now classified as "micro-
purchases" and can be made without obtaining competitive quotes
if the contracting officer determines that the price is
reasonable. They are also generally not subject to the Buy
American Act. However, such purchases are no longer reserved for
small businesses.

FEDERAL ACQUISITION NETWORK (FACNET)

The Federal Acquisition Streamlining Act (FASA) essentially sets
up four distinct buying systems: simplified acquisition
threshold; micro-purchases; commercial items; and the "old"
system for major procurements. It requires the government to
change the acquisition process from one driven by paperwork to
one based on electronic data interchange through the Federal
Acquisition Network (FACNET) a computer based source of
information that will be readily available to government and
private sector users, including small businesses. The central
component of electronic commerce is EDI
(electronic data interchange), computer-to-computer exchange of
business data.

The use of EDI allows organizations to generate, receive and
process data with minimum human intervention. EDI networks will
be able to automatically update inventories, invoice customers,
pay suppliers, advertise federal government requirements and many
other tasks that are now time, labor and paper intensive. It is
estimated that electronic purchasing can cut federal procurement
costs by 10 percent by 1997 and speed delivery times by a third.
Technology resources are readily available within most businesses
today to get started in Electronic Commerce/Electronic Data
Interchange (EC/EDI). The components of the system are: the
necessary hardware (a FAX or a PC equipped with a modem and off-
the-shelf software); a set of standards (the American National
Standards Institute [ANSI x 12 standards]); and communications
capability usually handled by a third-party network known as a
VAN (value-added network).

A Value-Added Network is an entity that provides electronic
mailboxing and other communications services for EDI
transmissions. A Value-Added Service (VAS) is an entity that
provides services beyond communications for its customers. There
are numerous options for connecting with these providers.
Depending on your business size, products and systems, FAX
capability may be all that is needed. With expanded growth your
requirements may become more advanced. The woman business owner
needs to identify a system that fits her business operation,
projected EDI usage, business goals, information system and
desired capabilities.

Agencies have a big incentive to implement the new system quickly
because they may not use the new simplified acquisition
procedures for contracts greater than $50,000 until they have
developed "interim FACNET capability". This means that they can,
at a minimum, provide widespread public notice of solicitations
and receive responses to those solicitations and related requests
for information.

Agencies may not use the simplified acquisition procedures after
December 31, 1999, for contracts greater than $50,000 until they
have implemented a "full FACNET capability". Full capability is
75 percent of acquisitions above $2,500 and below $100,000
conducted through EDI. Once there is full government-wide use of
electronic commerce, the requirement to publish contract notices
in the COMMERCE BUSINESS DAILY (CBD) is waived for all contracts
below $250,000 if they are executed using electronic commerce.

UNIFORMITY IN THE PROCUREMENT PROCESS

The Act amends several procurement laws to create a uniform
procurement system in which civilian and defense agencies are
governed by the same statutes. Both civilian and defense
agencies are now required to focus on performance-based
management concepts for major acquisitions.

PROTESTS AND OVERSIGHT PROCEDURES

In FY '94, about 4,000 bid protests were filed with the General
Accounting Office, the General Services Administration's Board of
Contract Appeals (GSBCA), the district courts and the Court of
Federal Claims. The new legislation streamlines and simplifies
the contract administration processes. It establishes an
accelerated notice, debriefing and protest schedule and
authorizes the payment of consulting and expert witness fees (up
to $150 per hour). It also authorizes GSBCA to dismiss a protest
that is frivolous, brought in bad faith or that does not state a
valid reason for protest. The Act also gives GSBCA exclusive
jurisdiction over objections concerning termination or
cancellation of contract awards.

This new legislation will markedly increase business
opportunities for all small businesses, particularly women-owned
firms, that aggressively market their products and services to
the federal government. However, since the new regulations are
not yet completely in place, women-owned firms need to carefully
monitor small business issues. The SBA's Office of Advocacy
offers a bulletin board that electronically publishes a variety
of information of interest to small firms. Included in this
bulletin board is a sub-board that focuses exclusively on
procurement (regulatory and legislative) issues. It can be
reached with a computer and modem (9600 baud) by dialing SBA
Online, at (800) 697-4636 (in Washington, D.C. call (202)
401-9600). Once you have logged on to the Main Menu, choose (2)
Services Available and then select (7) Advocacy-Small Business
Services.

Remember the legislation simplifies the procurement process and
offers new opportunities for women-owned businesses. Your
ability to benefit from the legislation depends on how the bill
is implemented and how well prepared you are for the coming
changes. It is important to be involved and aware of what is
happening.

In addition to this new legislation, there are other laws and
organizations that promote competition and act as advocates for
small and women-owned businesses. For example, the Competition
in Contracting Act of 1984 restricts the use of non-competitive
practices and establishes an advocate for competition in each
executive agency and in each procuring activity within the
agency. The advocate for competition is responsible for
challenging barriers to and promoting full and open competition
in their agency's procurement system.

Furthermore, the Office of Women's Business Ownership of the
Small Business Administration annually negotiates with federal
agencies and departments to increase prime contracting goals for
women-owned businesses. Now is indeed a good time to get a slice
of government business. Federal agencies are actively seeking
additional women-owned businesses.

Every businesswoman has a potential share in government
contracting business because contracting offices buy just about
everything offered in the marketplace -- supplies to stock the
shelves of supermarkets for its military members; janitorial and
maintenance services for its buildings; cafeteria services;
management consulting; multi-media production; architectural and
engineering services; computer systems; sophisticated air, sea,
land and outer space machines and the research to make them more
effective and efficient; and, of course, a multitude of paper and
other office supplies. The list of products and services is
endless -- and so are the opportunities.

PILOT PROGRAMS

The new law authorizes the Office of Federal Procurement Policy
(OFPP) to conduct 13 pilot acquisition programs in which
alternative procurement ideas can be tested. Six of them will be
run by OFPP itself, five by the Defense Department and one each
by the Federal Aviation Administration and NASA. Agencies may
apply any of the new law's provisions concerning commercial
products to non-commercial products procured under the pilot.
Several regulations concerning matters such as pre-screening of
eligible sources and notice of contracting opportunities will be
waived in the OFPP test programs.

The SBA has established the Women-Owned Business Procurement
Pilot Program to expand the pool of women-owned firms receiving
federal contract awards. SBA has identified eleven federal
agencies to participate in the Pilot. Each of them has
designated a women-owned business liaison to provide outreach
training and marketing assistance to women-owned businesses. The
SBA and the federal agencies co-sponsor on-site procurement
conferences at major buying centers around the country. The
Pilot will also use the results of an SBA analysis of the federal
government's buying patterns to determine the industry categories
and geographical areas that offer the greatest opportunity for
increasing contract awards to women.

HOW THE GOVERNMENT BUYS

General Procedures

The government buys many of the products and services it needs
from suppliers who meet certain qualification requirements.
Prior to the passage of P.L. 103-355 (FASA) all procurements
expected to exceed $25,000, with certain exceptions, were
announced in the COMMERCE BUSINESS DAILY (CBD).

The requirement for publication in the COMMERCE BUSINESS DAILY
fifteen days prior to solicitation remains in effect for:
purchases over $100,000; purchases at agencies that do not have
the electronic notice and response capability; and purchases
below the threshold in which the solicitation is not made
available through electronic commerce procedures.

The government purchases the products or services it needs by two
methods. The first method, known as formal advertising,
(referred to as "sealed bidding" in the Competition in
Contracting Act and Federal Acquisition Regulations) involves the
issuance of an Invitation for Bid (IFB) by a procuring agency.
Following receipt and evaluation of the bids, a contract is
usually awarded to the lowest priced bidder, determined to be
responsive and responsible by the contracting officer. The
second method of competitive proposals is buying by negotiation
which involves the issuance of a Request for Proposal (RFP) or
Request for Quotations (RFQ), and the negotiation of each element
in the proposal. An award is made to the offeror who has the
best proposal in terms of both technical content and price. Both
methods are discussed in some depth later in this publication.

CONSOLIDATED PURCHASING PROGRAMS

Most government agencies have common purchasing needs --
carpeting, furniture, office machine maintenance, petroleum
products and perishable food supplies are just a few examples.
Sometimes the government can realize economies by centralizing
the purchasing of certain types of products or services. The
three largest interagency consolidated purchasing programs are
administered by the General Services Administration, the Defense
Logistics Agency, and the Department of Veterans Affairs.

The General Services Administration (GSA) buys, stores, and
distributes common use items throughout the federal government.
The individual agencies order the items they need through a GSA
Depot. GSA may also award federal supply schedule contracts that
permit military and civilian agencies to order directly from
suppliers. Purchases range from automated data and
telecommunications systems to motel accommodations for government
travelers.

The Defense Logistics Agency (DLA) manages and buys approximately
two million general supply items for the military services. DLA
purchases include food, clothing, textiles, medical and dental
equipment, and construction equipment.

The Department of Veterans Affairs (VA), through its Marketing
Center in Hines, Illinois, contracts for such items as medical,
dental and surgical supplies; drugs and chemicals; non perishable
foods; prosthetic and orthopedic aids; medical, radiological and
laundry equipment; and uniforms and flags.

There are other offices throughout the government that
consolidate the buying needs of customers throughout the nation
and the world. Consult the publications entitled U.S. GOVERNMENT
PURCHASING AND SALES DIRECTORY AND SELLING TO THE MILITARY (see
Appendix 3) for locations of these central offices and other
buying offices of the individual federal agencies. Both of these
publications are discussed later in this publication.

MAJOR FEDERAL AGENCIES

Each federal agency has its own unique mission and, therefore,
has different purchasing needs. The following paragraphs discuss
a few major categories of product and service requirements of the
larger procuring agencies.

The Department of Defense (DOD), by far the largest procuring
agency with approximately three-fourths of the contracting
dollars spent in the federal government (see Figure 1), spends
most of its money on the acquisition and support of sophisticated
military hardware systems. DOD has initiated a very active
competition advocate that concentrates on finding new sources for
spare parts for these hardware systems. A very few of its unique
purchasing requirements are as follows:

Army - engineering, construction and real estate programs
for both U.S. and foreign governments, infrared
and microwave research, camouflage materials, new
clothing requirements, and laundry;

Air Force -aircraft, missile and related weapons support
systems spare parts, repair and maintenance base
support, commodity and services;

Navy - management consulting, engineering, development
and production of cruise missiles, shipbuilding,
ship-chartering and ocean shipping services.

The Department of Energy (DOE) procures energy-related research,
development and engineering services by contract and assists both
private and public institutions through grants and agreements.

The National Aeronautics and Space Administration (NASA) procures
space-related research and development space vehicles and related
hardware and components.

The Department of Veterans Affairs (VA) procures hospital
supplies, maintains and repairs medical and scientific equipment,
designs and constructs for the VA medical centers and the
national cemetery system.

The Department of Agriculture (USDA) procures farm equipment and
supplies, free planting services, soil sampling equipment and
food commodities.

The Department of the Interior (DOI) contracts for National Park
Service concessions, fish foods, oceanographic environmental
studies, ecological investigation studies and construction of
dams.

The Department of Health and Human Services (HHS) contracts for
health-related services (food and drugs, research on mental
health, the aging process, etc.). It also has a very active
grant program for basic research and development in health
delivery systems.

The Department of Transportation (DOT) procures air traffic
control equipment, buoys, research on vehicle propulsion, vehicle
safety and research and development studies on the design and
construction of the nation's highway system.

The Tennessee Valley Authority (TVA) contracts for the operation
of electrical power plants, construction of dams and locks, and
the development and experimental production of fertilizers.

GOVERNMENT TOOLS FOR IDENTIFYING POTENTIAL OFFERORS

THE BIDDERS LIST

The bidders list is the tool most widely used by federal
procurement offices to identify potential contractors.
A bidders list contains names of suppliers of materials and
services which are possible sources from whom bids may be
solicited. The bidders list is made up of business firms that
have advised the buying office of a federal Agency or department
that they want to bid on a particular item and have supplied data
showing their ability to fulfill contracts for the item, service
or project.

Generally, bidders lists are the basis for government purchases.
The business that wants to sell to the government should make
sure its name is on all appropriate bidders lists.

In some cases, however, the purchasing office will want bids from
additional firms not listed on its bidders list. These firms may
be found through public advertisements in the COMMERCE BUSINESS
DAILY, trade papers, and by Small Business Administration
representatives such as procurement center representatives and
commercial market representatives.

In addition, many agencies and departments publish announcements
of solicitations. In many instances, this information is
available through electronic access to the specific agency or
department's information bulletin board. The COMMERCE BUSINESS
DAILY is also published in an electronic edition by several
private firms. A list of these firms may be obtained from the
Department of Commerce.

AGENCY QUALIFICATIONS

How do government agencies generally identify a supplier who
qualifies for their bidders lists?

Some sources of information agencies use to find appropriate
bidders are:

* prior experience with firms offering items similar to those
now required.
- trade and professional publications that identify
potential suppliers,
- contacts with professional associates and associations,
- trade shows and sponsored procurement conferences,
seminars and workshops, and
- visits by representatives of small business firms.

Some of the factors considered by agency purchasing officials in
evaluating prospective suppliers for their bidders lists are:

* size of firm,
* past experience,
* financial status,
* management staff capabilities,
* the company's record with regard to labor relations,
* work capacity,
* bonding capacity,
* product service record,
* facilities,
* professional credentials,
* reputation, and
* reference checks.

Government purchasing agencies require potential suppliers to
file an application for placement on their bidders lists. The
application package may consist of the following:

* Standard Form 129 (for all agencies).
- a listing of products/services bought by an agency. These
lists are available through your local SBA office and, as
indicated earlier, the specific interests are identified in
the U.S. Government Purchasing and Sales Directory. (You will
find a sample of Standard Form 129 in Appendix 1.)

GENERAL PROCEDURES FOR GETTING ON A BIDDERS LIST

You need to identify the agency or agencies in the market for the
product or service you are selling.

Request and file the Standard Form 129 for each civilian or
military agency you want to sell to and any additional forms
required by military agencies.

Make sure your product or service conforms to particular
government specifications.

Step 1. Locating the Appropriate Agency

There are several ways to find out which agencies are in the
market for the product or service you sell.

If you supply only one or just a few products or services,
contact the SBA field office that serves your area. This office
can tell you which agencies are your prospective customers.
(These offices are listed in Appendix 2.)

If you can supply a variety of products or services you should
obtain and evaluate additional sources of information and data on
government purchasing. Some helpful sources are:

- the SBA publication, U.S. Government Purchasing and Sales
Directory
- The Business Service Centers of the General Services
Administration. These centers act as the purchasing agency
for many general use items purchased by civilian and
military agencies of the government.
- the COMMERCE BUSINESS DAILY (CBD) published Mondays through
Fridays by the U.S. Department of Commerce. The CBD
provides lists of Invitations For Bid, Requests For
Proposals, large contracts offering subcontract
possibilities, contract awards, sales of surplus federal
property, and foreign marketing opportunities.

Step 2. Filing the Standard Application Forms

Request the Solicitation Mailing List Application (Form SF 129)
from the agencies whose bidders lists you want to be on.

Read the material carefully, making sure you understand all of
the requirements.

Describe your product/service according to the specifications
given on the list of products/services bought by the agency. If
the products/services list is not included, or if the list does
not contain the exact item your company can supply, attach a
separate sheet to the application indicating:

- the specific name of each product or service your firm
offers, using government classification codes,
- any product or service your firm has supplied under previous
government contracts,
- a full description of each product of service listed, using
government descriptions, and
- the government specification number for each product or
service listed.

Write a cover letter for the SF 129 asking for confirmation of
your placement on the bidders list for the products/services you
have specified.

Step 3. Conforming to Federal Specifications

While government specifications for certain items will continue
to exist, FASA establishes a preference for the use of commercial
items. It encourages the acquisition of commercial end items and
components, including the acquisition of commercial products that
are modified to meet government needs. Thus, the scope of
products and services that qualify for treatment as commercial
items has been significantly expanded. However, for some
products, the contractor will have to meet government
specifications and standards.

Sources for specifications and standards are:

* Index of Federal Specifications and Standards and Commercial
Item Description. This is a complete list of government-wide
specifications and standards and is available from the
Superintendent of Documents, Government Printing Office
(GPO), Washington, DC 20402, or GSA Business Service Centers
(listed in Appendix 2).
* GSA Business Service Centers. A discussion on the functions
of these centers is found later in this publication.
* Military Specifications and Standards, available from the
Naval Publications and Forms Center, 5801 Tabor Avenue,
Philadelphia, PA 19120.
- The classification system is described in: Standard
Industrial Classification manual, a comprehensive
listing, available from Superintendent of Documents, see
address above.
- The Federal Acquisition Regulation (FAR) is the primary
regulation governing federal agencies in their
acquisition of supplies and services. FAR became
effective April 1, 1984. Copies of FAR are available for
reading and study in each SBA field office (see Appendix
2). Part 10 of FAR concerns specifications, standards and
other purchase descriptions.

THE PROCUREMENT AUTOMATED SOURCE SYSTEM (PASS)

The Procurement Automated Source System (PASS), developed by the
Small Business Administration, is a computerized inventory of
small businesses interested in being primes or subcontractors for
federal procurement requirements.

How PASS Works

PASS responds to requests by federal procuring offices or
purchasing agents of prime private contractors for a computer
printout of small businesses in the system with the ability to
deliver a particular product or service.

PASS uses a key word system that identifies the capabilities of
registered companies. All key words used to describe a firm's
capabilities are listed in a PASS thesaurus which is available at
every SBA office. You may use several key words to describe the
various capabilities of your firm. PASS also permits the
identification of women-owned or minority-owned small business
firms.

The PASS System can be searched for businesses by geographic
location, type of ownership, labor surplus area and other data
elements. The system provides small business sources for
specific procurement opportunities by searching and matching over
7,000 key words. This data is also available to any individual
or corporation wanting to contract or subcontract for products or
services.

In order to be listed in the SBA PASS system you must fill out a
simple one-page self-mailer application form and return it to
SBA. (See Appendix 1.) It can be completed in a few minutes and
your firm will then be profiled in the system. Appendix 2
contains an explanation of SBA regional procurement center
representatives who are available to assist you with your
application or help you to retrieve firms listed on the system.
Registration is free.

THE CENTRALIZED CONTRACTOR REGISTRATION SYSTEM

The Centralized Contractor Registration System (CRS) is a
standardized government-wide registration procedure developed by
the Department of Defense to obtain contractor information in a
useful and accurate format. It eliminates the need for
contractors to register with each procurement activity.

The information contained in the PASS system will eventually be
folded into the CRS system, so that there is one uniform source
of contractor registration and information.

The Electronic Commerce Information Center (ECIC) can assist you
in registering with the Central Contractor Registration System
(CRS) operated by the Defense Information Systems Agency (DISA)
Mega Center - Columbus. ECIC can be contacted by phone, Monday
through Friday, from 8am to 8pm Eastern Time at (800) EDI-3414 or
(703) 681-0211, by FAX at (703) 681-0349, by EMail at
dodedi@acq.osd.mil, or at the following mail address: Electronic
Commerce Program Office, 5111 Leesburg Pike, Suite 9104, ATTN: EC
Information Center, Falls Church, VA 22041.

THE QUALIFIED PRODUCTS LIST (QPL)

A Qualified Products List (QPL) contains the names of companies
that have demonstrated the ability to produce standard products
purchased periodically by a federal agency. When one of these
products is needed, government purchasing agents solicit bids
from businesses whose products are on the appropriate QPL. A
sample product must be submitted and tested by the agency or by
an approved testing company as part of the QPL process.

QUALIFICATION PROCEDURE

Products are tested for compliance with the requirements of a
specification prior to and independently of government
procurement. The qualification procedure prevents possible delay
in delivery of products under contract that might be caused by
problems in design or composition.

The fact that a product has been tested and placed on a QPL shows
only that a manufacturer can produce this item according to
required specifications. It does not guarantee purchase from
that manufacturer.

HOW DOES THE GOVERNMENT MAKE KNOWN ITS NEEDS?

There are several approaches that the government uses to tell or
advise prospective sellers what goods and services it wants to
buy. As indicated earlier in the publication, the COMMERCE
BUSINESS DAILY (CBD) is a document listing proposed government
purchases, subcontracting leads, contract awards, sales of
surplus property and foreign business opportunities.
Subscriptions to the CBD are available from the Government
Printing Office or the Department of Commerce. In addition,
regional GSA Business Service Centers and SBA offices have copies
of the CBD for review. Many libraries also subscribe to the
publication. Figure 2 is a sample entry from the CBD. In
referring to the CBD, note that number "1" before a procurement
announcement indicates that the requirement is 100 percent
set-aside for small business firms.

GSA BUSINESS SERVICE CENTERS (BSC)

The General Services Administration (GSA) is the federal
government's purchasing agent for certain common use items.
Consequently, the GSA Business Service Centers are a logical
marketing source. If GSA is not the proper market, the personnel
at the BSC will direct you to the appropriate federal agency or
department. (Full addresses of the 12 Business Service Centers
can be found in Appendix 2.)

The Business Service Centers in your area can provide the
following
services:

* Counseling for small businesses interested in federal
contracts,
- Copies of bid requirements,
- Bidders mailing list applications, invitations for bid
and products specifications,
- aid in locating small business set-aside programs for
contracting and subcontracting, and
- general procurement assistance from small business
information officers.

DEFENSE LOGISTICS AGENCY (DLA)

A major buying agency of the Department of Defense, the Defense
Logistics Agency has several supply centers which manage specific
items. (The supply centers are listed in Appendix 2.)
Management and administration of most defense contracts are
consolidated under DLA through the Defense Contract Management
Districts (DCMD). You can get information on contracts and
subcontract opportunities from the small and disadvantaged
business specialist office at the nearest DCMD regional office.
(See Appendix 2 for addresses.)

OTHER RESOURCES

Listed below are some additional sources for information about
contract opportunities. However, women business owners should
also know that Public Law 100-656 requires major government
departments and agencies to make available their own forecasts of
contracting opportunities for each fiscal year to the Small
Business Administration and to interested business owners. The
opportunity projections and estimates are developed from
procurement plans for the upcoming fiscal year and on records of
past purchases. Contact the Office of Small and Disadvantaged
Business Utilization for a particular department to obtain a copy
of its current forecast.

U.S. GOVERNMENT PURCHASING AND SALES DIRECTORY. A comprehensive
guide to government purchasing and sales activities, published by
the Small Business Administration. The directory lists products
and services bought by the federal government and indicates which
agencies buy them and which of their purchasing offices should be
contacted by potential suppliers. The directory also lists the
types of surplus property sold by the government, locations of
state offices and indicates SBA assistance available in obtaining
surplus property. (Available from the Superintendent of
Documents, Government Printing Office, Washington, DC 20402.)

DOING BUSINESS WITH THE GSA. This General Services
Administration publication describes the procurement organization
of the federal government and discusses basic principles of
federal government procurement. (Available from the
Superintendent of Documents, see address above. GPO
022-000-00186-8.)

OFFICES OF SMALL AND DISADVANTAGED BUSINESS UTILIZATION. This
booklet lists the names and telephone numbers of over 600
Department of Defense Small and Disadvantaged Business
Utilization Specialists (OSDBU). Their assignment is to help
small business firms locate military bidding opportunities.
(Available from the Superintendent of Documents, see address
previously. GPO 008-000-00390-4). Civilian agencies also have
these small business specialists to assist you in doing business
with their agencies. (See Appendix 2.)

SELLING TO THE MILITARY. This is a comprehensive guide to
finding bid opportunities and selling to the Department of
Defense. Its coverage includes the following:

* information on how to get on bidders lists,
- addresses of major purchasing offices,
- a description of the federal government's system of
specifications,
- information on military exchange services; and
- information on bid opportunities in research and
development.
(Available from the Superintendent of Documents, see address
above, GPO 008-000-00345-9.)

SMALL BUSINESS GUIDE TO FEDERAL RESEARCH AND DEVELOPMENT. This
publication provides small, technically oriented firms with
information about bid opportunities in research and development
(R&D). It describes how to get federal R&D support and how to
use federal document retrieval systems, which can be a source of
substantial Figure 2 information. A venture capital primer for
small business firms is included. Research and development bid
opportunities offered by federal agencies are described, and the
offices and individuals to contact are listed. (Available from
The National Science Foundation, Office of Small Business R&D,
4201 Wilson Blvd., Arlington, VA 22230.)

DOING BUSINESS WITH NASA. This publication describes how, what
and where the National Aeronautics and Space Administration
(NASA) buys. Another useful NASA publication, How to Compete for
NASA Contracts, tells how to put your bid together. (Available
from NASA, Director of Procurement, Washington, DC 20546.)

UNITED STATES GOVERNMENT ORGANIZATION MANUAL. This manual lists
practically every federal agency, with telephone numbers for
obtaining information, including listings of purchasing offices.
(Available from the Superintendent of Documents, see address
above. GPO 022-003-01099-8.)

DEPARTMENT OF TRANSPORTATION MARKETING INFORMATION PACKAGE. This
publication tells how, what and where the Department of
Transportation buys, and provides up-to-date addresses and phone
numbers for each DOT procurement officer.

WHAT ARE THE GOVERNMENT'S METHODS OF BUYING?

As indicated earlier in this publication, there are two methods
contracting officers utilize to acquire the products and services
needed by the federal government. They are:

* Formal advertising, (sealed bidding) involving the issuance
of an Invitation For Bids (IFB), and
* Competitive proposals, involving the issuance of a Request
For Proposals (RFP).

FORMAL ADVERTISING (SEALED BIDDING) -- Invitation for Bid
Solicitation Process

An Invitation for Bids (IFB) is sent to firms on the bidders
list. Public announcements are placed in the COMMERCE BUSINESS
DAILY, and may also be placed in trade papers, posted in post
offices, and filed with SBA's procurement center representatives.

SOLICITATION PACKAGE

The Invitation for Bid or solicitation package, contains Standard
Form 33 (see Appendix 1) with instructions and specifications for
preparing bids. Typically, this will include:

* a description of specifications for the product or service
being procured;
- delivery schedule and packaging/shipping requirements;
- payment schedule and terms;
- standard contract provisions and clauses;
- deadline for submitting bids;
- date and time of bid opening; and certifications and
representations to be filled in by the offeror.

Contract Award

When bids are opened, the bidder quoting the lowest price is
awarded the contract if the bid is responsive and if the bidder
qualifies as a responsible firm.

Responsive bid. The contractor has agreed to perform on the
government's terms and complies with the IFB in all important
respects, including the method and timeliness of bid submission
and the substance of any resulting contract.

Responsible bidder. Responsibility refers to the contractor's
ability to perform the contract. Determining factors include
financial capacity, plant capacity, skill, judgment and
integrity. The contracting officer makes this determination from
data kept in the department or agency, and/or through a pre-award
survey.

Time Span. The time span is generally 90 to 120 days from
solicitation of bids to bid opening and contract award.

Figure 3 indicates the key or significant events in the formal
advertising process.

BUYING OR CONTRACTING BY NEGOTIATION -- Request for Proposals
Solicitation Process

When formal advertising is not suitable or possible due to the
nature of the product or service sought, the government will
negotiate for the product or service. Small purchases are most
often made through special expedited negotiation procedures.
Purchases over $2,500 and under $100,000 are "set-aside" for
small businesses if the contracting officer determines that (a)
there is a reasonable expectation that offers will be obtained
from at least two responsible small business concerns, and (b)
awards will be made at reasonable prices.

Requests for Proposals (RFP) are issued to potential contractors
whose names are on the agency bidders list. RFPs are also sent
upon the request of any prospective contractor. Public
announcements are also made, such as those in the COMMERCE
BUSINESS DAILY.

The Request for Proposals (RFP) describes the product or service
desired, delivery time and other terms of the contract. The
Request for Quotations (Standard Form 18, see Appendix 1) is
usually used to submit quotations for small purchases, but may
also be used for large purchases. Proposals submitted are
generally expected to contain pricing information and a
description of products or services offered.

Contract Award

The contract award is made through evaluations and negotiations
after proposals have been received and reviewed.
Award is made to the offeror whose final offer is most
advantageous to the government, not necessarily the company
offering the lowest price.

Time Span. For negotiated contracts, the time involved varies in
accordance with the contract type and complexity of the
requirement.

Figure 4 indicates the key or significant events in the
negotiation process.

A prospective offeror should be aware of two events that may take
place in either formal advertising or negotiation:

PRE-BID OR PRE-PROPOSAL CONFERENCE. This conference may be used
by a contracting officer generally in a complex acquisition, as a
means of briefing prospective offerors and explaining complicated
specifications and requirements. Such conferences are held after
the solicitation has been issued, but before offers are
submitted.

PRE-AWARD SURVEY. When it is deemed necessary to further
evaluate a prospective contractor prior to a contract award to
ensure performance, a pre-award survey is conducted at the
request of or by the contracting office.

Unsolicited Proposals

In addition to responding to IFBs and RFPs, a firm may also
submit an unsolicited proposal when it believes it has a product
or service of interest to an agency. This is done frequently in
the research and development field. It does require, however, a
knowledge of specific agency funding programs. Federal agencies
have established procedures for receipt and evaluation of these
proposals.

However, it is recommended that prior to expending the effort on
a proposal, preliminary contacts be made with a particular agency
to ascertain its specific procedures for submission and
evaluation and the general need for the kind of effort or product
to be presented in the proposal.

TYPES OF CONTRACTS

Contracts can be categorized into two basic types: fixed price
and cost reimbursement.

Fixed price contracts place upon the contractor the
responsibility for costs and the risk of incurring a loss, and
may be a firm fixed price which does not permit any adjustment on
the basis of the contractor's cost experienced in performing the
contract. They are also used in all sealed bid procurements, as
well as many negotiated procurements, and have variations that
include provisions for economic price adjustments, provisions for
adjusting price based on performance, provisions for adjusting
the price after a specified initial period of deliveries or
performance.

Cost reimbursement contracts provide for payment of allowable
incurred costs to the extent prescribed in the contract and
establish a ceiling price above which a contractor may not exceed
(except at her own risk) without the approval of the contracting
officer.

Cost reimbursement contracts also have variations that include
incentive provisions and provisions for the contractor sharing
the cost. (Cost sharing contracts are used in research contracts
that have commercial applicability.)

Other contracts that do not fit neatly into the two main types
include time and material (T&M) contracts -- where the price for
hourly wages are fixed, but the hours are not (they are
estimated); and letter contracts, which are preliminary
contractual instruments used to authorize a contractor to begin
work on an urgent requirement.

GENERAL CONTRACT PROVISIONS AND CLAUSES

Besides specific instructions and descriptions, government
contracts include many required clauses. The substance of these
clauses will vary, depending on the product or service under
contract and depending on the type of contract. There may also
be "special" clauses for specific contracting situations.
Required, as well as optional, clauses are published in The
Federal Acquisition Regulation (FAR). Contracting officers may
use required clauses as stated in the FAR. The FAR provides that
contract clauses prescribed by the FAR may be incorporated in the
contract by reference.

_________________________________________________________________

Part 2

SELLING TO THE GOVERNMENT

Before You Begin

Selling to the federal government is, in some ways, similar to
selling to the private sector. While federal procurement
procedures may have a different set of rules and regulations,
many of the same marketing techniques and strategies you already
employ may be applicable here. Don't neglect to use your common
business sense. Some tips:
- Get to know the agency and understand the context in which
your product or service could be used.
- Obtain available information on past awards, quantities,
costs and awarders.
- Become known to potential purchasers.

Before proceeding, take a moment for introspection. Take a close
look at your company and consider what the government will look
for when considering your company for a contract award. Such
things as financial status, staff capabilities and track record
are all of interest to the government. There are also many ways
to give your company a competitive edge. For example:

Does your company exhibit at trade shows and send representatives
to business conferences?

Government contracting officers attend these affairs in all areas
of the country. Trade show exhibits present a personalized image
of a business and are a creative and relatively inexpensive way
to display your capabilities to a large audience of prospective
customers. Attending business conferences gives visibility to
your company's name, products and services.

Do you regularly look over trade or state-of-the-art publications
relevant to your product or service line?

Your company will be able to present an "on-top-of-it" image of
its product/service line if your staff members are aware of the
latest activities in their skill areas. You will often find
ideas for improving your marketing techniques through these
publications. You might even want to submit an article or report
to one of them about a special experience of your company. These
publications are another source government agencies use in
finding purchasing sources or commodities they might want to buy.

Do staff members of your company belong to professional
associations and/or civil organizations?

Not only a way of making contacts, these groups can also provide
opportunities for staff members to informally advertise some of
the unique qualities of your company. Through their personal
involvement in the group's activities, they give visibility to
the company. Federal agency purchasing officers regularly go
over the membership lists of such associations and organizations
in looking for procurement sources.

Now may be the time to do some homework. This publication
includes a comprehensive list of agency resources (see Appendix
2). Use them! These offices can give you guidance on programs,
publications and workshops in your area on any subject from
accounting to marketing.Government procurement procedures and
terminology may understandably perplex you. Recognize that
familiarity with standard terms will help you communicate more
effectively with contracting officers and perhaps improve your
chances for award of a contract. This publication also contains
an extensive bibliography of government procurement publications,
many of which are available free of charge.

By reading some of these, you may find yourself one step ahead of
the competition.

* Subcontracting with a Prime Contractor

If, after assessing the capabilities and capacity of your firm,
you conclude that you are not ready to bid competitively for
prime contracts, consider the opportunities available through
subcontracting with a prime contractor. The experience gained
from satisfactorily performing as a subcontractor will assist you
in responding to solicitations as a prime contractor.
Furthermore, subcontracting in itself can be a profitable
experience and a growth opportunity for your firm.

* P.L. 95-507 (amending the Small Business Act of 1953)

Prior to the enactment of this law, prime contractors were to use
their "best efforts" to "voluntarily" subcontract with small
firms. P.L. 95-507 changed the emphasis from voluntary to
mandatory and from best efforts to maximum practicable
opportunity.Today, all federal contracts over $2,500 and up to
$100,000 shall contain a clause entitled, Utilization of Small
Business Concerns and Small Business Concerns Owned and
Controlled by Socially and Economically Disadvantaged
Individuals.

The law, among other things, requires that:

- prime contractors, on contracts of over $500,000
($1,000,000 for construction contracts) submit a
subcontracting plan containing percentage goals letting
subcontracts to small and small and disadvantaged
businesses;
- prime contractors must describe the efforts they make to
assure that such firms have an equitable opportunity to
compete for subcontracts; and
- the Small Business Administration, in both formally
advertised and negotiated contracts, review the
subcontracting plan. A failure of the prime contractor to
comply in good faith with its approved plan may subject the
contractor to termination for default.

The requirement to submit a subcontracting plan does not apply
to:

- small business prime contractors,
- contracts under the prescribed dollar amounts,
- prime contracts not offering subcontracting possibilities,
or
- contracts to be performed entirely outside the United
States.

Recommendations:

As a small business engaged in subcontracting, be sure you
understand the terms and conditions of a subcontract. Ask:

- how you will receive compensation from the prime
contractor,
- how much you can rely on the prime contractor for special
tools, engineering advice, information on manufacturing
methods, etc., and
- how will quality control and inspection procedures be
applied to your subcontract?

SUBCONTRACTING OPPORTUNITY RESOURCES

- The COMMERCE BUSINESS DAILY (CBD),
- Subcontracting assistance program of the SBA,
- Small and disadvantaged business utilization specialists
(OSDBU) of various government agencies,
- Business Service Centers of the GSA,
- Attendance at trade shows and procurement opportunity
conferences,
- SMALL BUSINESS SUBCONTRACTING DIRECTORY, published by SBA.
Available at your local SBA office, the Government Printing
Office and through SBA ONLINE.

BENEFITING FROM THE GOVERNMENT'S PROGRAMS

SMALL BUSINESS ADMINISTRATION (SBA)

One of the major responsibilities of the SBA is to assist women-
owned businesses in obtaining a fair share of the federal
procurement dollar. There are several programs and organizations
available to help.

Interagency Committee on Women's Business Enterprise (IACWBE)

The Interagency Committee on Women's Business Enterprise was
established in October of 1994 to lead a coordinated government
effort to see that women?s economic issues are addressed
throughout the government. Composed of senior officials from 10
federal agencies, the Committee reports directly to the President
and Congress. It promotes, coordinates and monitors the plans
and programs of the departments and agencies of the federal
government that may contribute to the growth of women?s business
ownership.

National Women's Business Council (NWBC)

The Council is the private sector partner of the IACWBE. It acts
as an advisory panel of the federal government created to serve
as an independent source of advice to the President, the Congress
and the Interagency Committee on Women's Business Enterprise. It
is composed entirely of women business owners and advocates
representing entrepreneurship nationwide. Its mission is to
promote policies and programs designed to encourage women's
business ownership at all stages of development in the public and
private sector.

Office of Women's Business Ownership

In addition to assisting the IACWBE and the NWBC and other
responsibilities, the Office of Women's Business Ownership helps
women-owned businesses with federal procurement by negotiating
federal prime contracting goals and developing federal
procurement training programs. Women's business ownership
coordinators and representatives in SBA offices throughout the
country can guide you to the appropriate procurement contact in a
specific Agency or Department. (See Appendix 2.)

The Women's Demonstration Program

Established through the Women's Business Ownership Act of 1988
and reauthorized through the Women's Business Development Act of
1991, this program sets up centers around the country to train
and counsel women in the skills needed to start their own firms.
Socially and economically disadvantaged women are a primary
target. A number of the sites have developed loan pools to allow
members to borrow money based on group consensus accompanied by
long-term counseling and financial management training.

Information on Government Buying

- SBA's counseling service assists small businesses in
identifying the products or services they may sell to the
government, how and where to obtain government
specifications for their products or services, and how to
get on an appropriate bidders list.
- Contract opportunity meetings are held in SBA regional
offices for representatives of small businesses to discuss
purchasing needs and contracting opportunities with
officials of government agencies and prime contract
holders.
- SBA makes available a large body of publications on various
aspects of selling to the federal government. (See
Bibliography, Appendix 3.)

SBA Procurement Center Representatives (PCRs)

PCRs are stationed throughout the country at major military and
civilian buying programs. Their duties include the review of
procurement requirements and negotiations on behalf of small
businesses when appropriate. They also recommend small business
sources to government contracting officers and prime contractors.
Most of their time is spent on the prime contracting programs.
Agencies are required to submit to the PCR, for independent
review, all procurements valued at more than $100,000 which are
not to be processed as small business set-asides. PCRs also
assist small firms having problems with an agency.

Other PCRs referred to as "Breakout Procurement Center
Representatives (BPCRs)" are located at major federal procurement
centers. The BPCRs advocate the breakout of items for
procurement through full and open competition. For example,
after a purchase has been made, spare parts or additional
supplies may be needed. If it is not necessary to get these
items from the original manufacturer, the BPCRs try to "breakout"
procurements to allow for open competition to give other
suppliers an opportunity to compete.

SBA Commercial Market Representatives (CMRs)

CMRs are located in field offices throughout the country. (See
Appendix 2.) Their responsibilities include:

- assisting small businesses in discovering and expanding
subcontracting opportunities; (The PASS system is used to
help identify small businesses that may qualify for
particular subcontracts. This information then is
submitted to large prime contractors.)
- working with large contractors to interpret subcontracting
laws and implement regulations, including the formulation
of subcontracting plans;
- conduct pre-award and post-award evaluations of
subcontracting plans as requested by government contracting
officers; and
- conduct on-going subcontract compliance evaluations to make
sure that prime contractors are implementing their
subcontract plans.

Section 8(a) of the Small Business Act

This provision authorizes the SBA to enter into a prime contract
with another government agency. The SBA then subcontracts actual
performance of the work to a small socially and economically
disadvantaged business eligible for program participation.

- Eligibility. To be eligible for 8(a) program
participation, a small business concern must be at least 51
percent unconditionally owned, controlled and managed on a
daily basis by either:

An individual(s) who is a socially and economically
disadvantaged citizen of the United States; or

An economically disadvantaged Indian tribe, including an
Alaskan native Corporation or an economically disadvantaged
native Hawaiian organization.

Socially disadvantaged individuals are those who have been
subjected to racial or ethnic prejudice or cultural bias because
of their identity as members of a group without regard to their
individual qualities. In the absence of evidence to the
contrary, the following individuals are presumed to be socially
disadvantaged: Black Americans, Native Americans, Hispanic
Americans, Asian Pacific Americans, Subcontinent Asian Americans,
and members of other groups designated from time to time by the
SBA.

Economically disadvantaged individuals are socially disadvantaged
individuals whose ability to compete in the free enterprise
system has been impaired due to diminished capital and credit
opportunities, as compared to others in the same or similar line
of business and competitive market area who are not socially
disadvantaged.

A woman-owned firm may be recognized as a "socially disadvantaged
firm" if the owner is a member of any of the groups for which
social disadvantage is assumed. If she is not, she must
establish her individual disadvantage on the basis of clear and
convincing evidence that she has suffered discriminatory
treatment because of her gender and that such treatment has
impeded her entry into the business world. Eligibility is made
on a case-by-case basis.

- Application. To apply for 8(a) assistance, a business must
submit the necessary forms to the nearest SBA office.
Being in the 8(a) program does not, however, guarantee
award of an 8(a) contract.

Prequalification Pilot Loan Program

The Women's Prequalification Pilot Loan Program was developed to
promote the SBA's business loan programs to current and
prospective women business owners. It also provides specialized
support and assistance with the agency's loan application
process. The program uses nonprofit organizations and
intermediaries to assist prospective women borrowers in
developing a viable loan application package. That application
can be submitted directly to the SBA for expedited consideration
of a loan prequalification. On approval, the intermediary can
assist the applicant in locating a competitive lender. Loans
under this program are limited to amounts of $250,000 or less.

Technical Assistance

SBA regional or field offices, through PASS, identify small
research and development (R&D) firms which government agencies
and prime contractors may refer to for contracting and
subcontracting needs.

SBA personnel assist small businesses in sharing the benefits of
research and development programs carried out by federal agencies
under government contracts or at government expense. (See Small
Business Innovation Research Program listed below.)

Answer Desk

The Answer Desk is the SBA telephone hotline. This information
and referral service is offered on a toll-free telephone line to
entrepreneurs in the 48 contiguous states and Puerto Rico. The
telephone number is 1-800-8-ASK-SBA.

The Answer Desk can also be reached on Telecommunication Devices
for the Deaf (TDD), a service for persons with hearing or speech
impediments at (202) 205-7333.

The telephones are open from 9:00 a.m. to 5:00 p.m., Eastern
time, Monday through Friday.

SBA Online

In addition to the Answer Desk, SBA provides a great deal of
information which can be accessed electronically. Call
1-900-463-4636 or 1-800-697-4636. You may also use the Internet
and Fed World at the National Technical Information Service for
getting information from several government agencies. To access
SBA on either of these services enter http://www.sbaonline.sba.gov.

Surety Bond Guarantee Program

This guarantee program is designed to assist a small business in
need of bonding in order to obtain a government contract. SBA is
authorized, for a fee, to guarantee a qualified surety company up
to 90 percent of any losses incurred under bid, payment or
performance bonds on contracts up to one million.

The small business applies through a surety agent who then
submits financial and credit information and specific SBA forms
to the surety company. The surety company submits all required
documentation to SBA for final approval.

Small Business Innovation Research (SBIR)

The Small Business Innovation Development Act directs that small
firms receive a fixed annual percentage of research and
development (R&D) dollars from federal agencies with R&D budgets
of $100 million or more.

The act requires the SBA to develop and implement a Small
Business Innovation Research Program (SBIR) over a four-year
period for civilian agencies and over a five-year period for the
Department of Defense. Eleven agencies currently have SBIR
programs. Each agency is responsible for making awards to small
business concerns and the SBA is responsible for monitoring and
overseeing the program. (See Appendix 2.)

Offices of Small and Disadvantaged Business Utilization (OSDBU)

Small and disadvantaged business utilization specialists (OSDBUs)
are located at federal contracting offices throughout the
country. These specialists assist small businesses, small
disadvantaged businesses, women-owned businesses, and labor
surplus area businesses in marketing their products and services
to the federal government.

They also give information and guidance on federal procurement
procedures, how to get on a bidders list, and where both prime
and subcontracting opportunities exist.

OSDBUs work with SBA, especially through the PASS system, to find
potential bidders from the small and disadvantaged business
community.

DEPARTMENT OF COMMERCE (DOC)

The department's Minority Business Development Agency (MBDA)
provides comprehensive business assistance to minority-owned
small businesses.

The Minority Business Development Centers (MBDCs) comprise a
nationwide network for delivery of MBDA and other federal
programs that assist minority businesses. Services include
general business consulting; financial assistance; management and
technical assistance with business start-ups or expansions; and
assistance in obtaining contracts with government agencies. (See
Appendix 2.) Federal procurement conferences are sponsored
primarily by members of Congress and coordinated by the DOC and
the SBA. Business owners are provided the opportunity to meet
federal procurement specialists and representatives of prime
contracting firms. These specialists inform businesses about the
federal procurement processes, government aids and services
available to small businesses, and active opportunities to sell
to federal agencies and prime contractors.

Information about these conferences may be obtained by contacting
DOC's nearest office or the office of the sponsoring member of
Congress. Announcements of federal procurement conferences are
also found in the COMMERCE BUSINESS DAILY (CBD).

GOVERNMENT WIDE INFORMATION SYSTEMS DIVISION (GWISD)

One excellent marketing tool is the Government Wide Information
Systems Division (GWISD), a part of the General Services
Administration. It operates the Federal Procurement Data System.

The GWISD is a convenient, consolidated source of federal buying
information. Business owners may ask GWISD for a list of all
federal contracts, over $25,000 for civilian agencies and for
Department of Defense agencies, awarded in a specific industry.
Only summary data is available below these dollar minimums. The
request may cover a quarter or an entire year. The center can
provide the user with 42 different pieces of information
including:

- the name of the agency that contracted and the period
covered,
- the contract number,
- the purchasing or contracting office,
- the date of the award,
- the principal place of performance,
- the dollars obligated, and
- the principal product or service.

GWISD can also furnish socioeconomic data, the name and business
location of the contractor, the method of procurement and other
pertinent details. Any business owner interested in knowing
which federal agency or department bought what, when, how much
and from whom, may simply request such information from GWISD.
GWISD charges a minimal fee depending upon the volume of
information sought.

Government Wide Information Systems Division
7th and D Street, SW
Washington, DC 20407
(202) 401-1529

DEPARTMENT OF TRANSPORTATION (DOT)

The Department of Transportation has regulations to increase
disadvantaged business participation in its large financial
assistance programs for highways and mass transit.
The regulation carries out section 105(f) of the Surface
Transportation Assistance Act of 1982 and provides that not less
than 10 percent of authorized appropriations under the act be for
contracts with disadvantaged small firms (as defined by section
8(a) of the Small Business Act). The regulation continues the
department's existing requirement of separate goals for
women-owned businesses.

DOT does give women-owned businesses preferential treatment.
However, this preference only applies to contracts awarded by
each state from money awarded by the federal government under the
Surface Transportation Act (Highway Trust Fund). This Act
requires that the state certify women-owned businesses, as they
do socially and economically disadvantaged firms. Your state
department of transportation can provide details on your state's
certification process.

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA)

NASA has also defined women-owned businesses as socially and
economically disadvantaged in the NASA Plan, which outlines its
proposals to broaden the base of small businesses supporting its
procurement actions. By Public Law 101-144, NASA was tasked by
Congress with a goal of 8% of the total value of prime contracts
and subcontracts to be awarded to socially and economically
disadvantaged firms, which includes women-owned businesses.
In addition to obtaining general counseling on how to contract
with the department from the staff of the secretary's Office of
Small and Disadvantaged Business Utilization, women business
owners can take advantage of short-term lending and bonding
programs accessible through a national network of program
management centers.

WHAT IF I'M UNSUCCESSFUL IN MY BID OR PROPOSAL?

Debriefing/Evaluation in the Negotiation Process

Each proposal is evaluated in detail before a contract is
awarded. If your company was not awarded the contract you may
ask the contracting officer for a "debriefing."

A debriefing may be accomplished in person or by phone. You may
ask the contracting officer which aspects of your proposal
prevented your company from receiving the award and how you may
improve in the future. Many women business owners have found
this constructive criticism to be the key to successfully
responding to future solicitations by the federal government.

CERTIFICATE OF COMPETENCY

A small business, though the low bidder, may not receive the
federal government contract on which it bids. A contracting
officer may propose to reject the bid because he or she
determined that the small business, although responsive, lacks
certain elements of responsibility. Elements of responsibility
include, but are not limited to, competency, capability,
capacity, credit, integrity, perseverance and tenacity.

SBA is authorized by law to certify a small business firm with
regard to any of these elements of responsibility. Consequently,
if a contracting officer rejects or proposes to reject a bid of a
responsive small business on any of the elements of
responsibility the case is referred to SBA. The small business
firm is notified of this decision by SBA personnel and given the
opportunity to apply for a Certificate of Competency (COC).

The bidder must furnish SBA with data and documentation to
establish responsibility. This data and documentation may
include items such as letters of credit, current financial
status, supplies or vendor quotations (if applicable) and
production plans (if applicable).

SBA will review the firm's application and if it grants the COC,
it is binding on the contracting officer. A COC is valid only
for the specific contract for which it is issued.

PROTESTS WITH AN AGENCY OR WITH THE GENERAL ACCOUNTING OFFICE
(GAO) AND GENERAL SERVICES BOARD OF CONTRACT APPEALS (GSBCA)

Bidders or offerors who object to what they feel will be an
improper award to another contractor have the right to file a
protest against the award with the contracting officer. The
protest must have a basis and it must be specific and timely.
Contractors may file an initial verbal protest, but it must be
followed up in writing. The contracting officer will confirm, in
writing, the telephone conversation with the protestor and advise
her that she has a certain period of time, usually one (1) week,
to file the written complaint. Protests should generally be made
before the contract award because once made, the government
rarely terminates a contract and issues a resolicitation. The
needs of the government for the product or service usually
prevail. The protestor is notified in writing of the final
decision on her protest.In addition to filing a protest with a
contracting officer, the bidder or offeror can protest to the
General Accounting Office (GAO) or with the General Services
Board of Contracts Appeal (GSBCA), if the procurement involves
the acquisition of automated data processing equipment (ADPE) or
related telecommunications services. In either case there are
strict rules which must be followed in order for the protest to
be timely. If not adhered to the protest will be dismissed
automatically.

A protest to GAO is initiated by filing a complete written
protest addressed to General Counsel, General Accounting Office,
Washington, DC 20548, Attention: Procurement Law Control Group.
A copy of the protest must be filed with the contracting officer
or the individual or location identified for that purpose in a
solicitation within one day after filing with GAO. Protests to
GSBCA are filed at the Board's address: 18th and F Streets,
N.W., Washington, DC 20405, [(202) 501-0116]. Strict rules apply
to all protests.

References: (1) U.S. General Accounting Office, Bid Protests at
GAO: A Descriptive Guide. (Publication is available from the
U.S. General Accounting Office, Washington, DC 20548.) (2) The
Federal Acquisition Regulation, Part 14 (Formal Advertising),
Paragraph 14.407.8. "Protests Against Award". (3) The Federal
Acquisition Regulation, Part 15 (Contracting by Negotiation),
Paragraph 15.1003, "Protests Against Award".

WHAT ARE MY RESPONSIBILITIES AS A CONTRACTOR?

Knowing what the government buys and how it buys is essential if
a woman business owner is to bid successfully for federal
government contracts. Don't think, however, that you can relax
once you receive the good news that you have won a contract.
Your work is just beginning. If you can't perform according to
the terms of the contract, the government won't get the product
or service it needs and you may find yourself in financial
difficulty as well.
The first thing to do is to read the proposed contract carefully
before signing it. This may look like an imposing task as some
contracts may contain many pages, depending on the type of
contract and complexity of what the government is buying.
However, many contract terms and conditions are "boiler plate."
Once you read and understand the terms you will be familiar with
them when they appear in your next contract. One important
feature of the contract is the identity of the office which will
administer it. In most federal agencies this is usually the same
office that awarded the contract. In the Department of Defense,
however, the contract is generally assigned to a special
administering office. If you have any questions about the
contract, contact the office of administration. Do not "proceed
down the road" and find out much later that you're not in
compliance.

SPECIFIC CONTRACT ADMINISTRATION MATTERS

While federal contracts are similar to commercial contracts, they
are different in some very important ways. They contain or make
reference to many general contract provisions unique to the
government.

These provisions implement various statutory or regulatory
requirements applicable solely to federal contracts Some of the
important matters covered by these provisions are: termination
for default; termination for convenience; contract changes;
payments; specifications; and inspection and testing. These
matters are described in various parts of the Federal Acquisition
Regulation (FAR). Assistance in understanding these FAR
provisions is available at SBA regional offices.

TERMINATION FOR DEFAULT.

Government contracts provide that the government may cancel
(terminate) your contract if:
- you fail to make delivery within the time specified in the
contract,
- you fail to make progress so as to endanger performance of
the contract, and/or
- you fail to perform any provisions of the contract.

Before terminating a contract for default, the contracting
officer must, however, give you an opportunity to remedy defects
in your performance, or show why your contract should not be
terminated. If your contract is terminated for default, you are
entitled only to payment at the contract's price for items
accepted by the government. If the government still needs the
items which you failed to deliver, it has the right to re-procure
the same items elsewhere and, if they cost more, charge the
excess costs to you. This can be a very serious and costly
matter.

If you can show that your failure to deliver or to make progress
is excusable, your contract will not be terminated for default.
To be excusable, a delay must be beyond your control and not
caused by your fault or negligence. If your contract is
terminated for default and you can prove that the government's
action was improper, the termination will be treated as one for
the "convenience of the government."

TERMINATION FOR CONVENIENCE.

The government may unilaterally terminate all of part of a
contract for its convenience. This type of termination does not
arise from any fault on the part of the contractor. Termination
for convenience protests the government's interests by allowing
it to cancel contracts for products that become obsolete or
unnecessary.

As with terminations for default, the government must give you
written notice of termination for convenience, but is not
required to give advance notice. The notice of termination will
usually direct you to:

- stop work,
- terminate subcontracts,
- place no further orders,
- communicate similar instructions to subcontractors and
suppliers, and
- prepare a termination settlement claim.

If you fail to follow these directions, you do so at your own
risk and expense. You should also receive detailed instructions
as to the protection and preservation of all property that is, or
may become, government-owned.

After termination for convenience, the government will make a
settlement with you to compensate you fully and fairly for the
work you have done and any preparation made for the terminated
portion of the contract. A reasonable allowance for profit is
also included.

CONTRACT CHANGES.

Because the government's needs change from time to time,
government contracts contain a "changes" clause authorizing the
contracting officer to unilaterally order changes in the
specifications and other contract terms. The changes must be
"within the general scope of the contract." The contractor is
obliged to perform the contract as unilaterally changed by the
contracting officer. A change is within the scope of the
contract if it can be regarded as with the contemplation of the
parties at the time the contract was entered into. The
government cannot use a change order to change the general nature
of the contract. The contractor is entitled to an equitable
adjustment in price and delivery schedule if changes are ordered.

PAYMENTS.

The obligation to make prompt payments for products delivered or
services rendered is, generally speaking, the primary obligation
of the government on a procurement contract. Payment is,
naturally, of utmost importance to the small and women-owned
company. Your contract will specify the government office
responsible for payment and will contain invoicing instructions.
The more accurate your invoices the more quickly you will be
paid, so it is important to understand the payment process
thoroughly. Prompt payment on all contracts serves the best
interest of both the contractor and the government. Under
certain circumstances if prompt payment is not accomplished by
the government, you can submit a request for interest payments.
(Reference: Public Law 97-177, Prompt Payment Act.)

Under fixed-price contracts, the method of payment can vary with
the dollar value of the contract. For relatively small contracts
with a single item of work, you will generally be paid the total
contract price in one lump sum. Payment is made after the
government accepts delivery. For larger contracts with many
items, you can invoice and receive partial payments. For
example, in a contract for 120 units with a delivery rate of 10
per month, you can invoice each month for the price of delivered
(and accepted) items.

Larger fixed-price contracts and subcontracts where the first
delivery is several months after award may recognize your need
for working capital. These contracts may contain a clause which
will allow you to obtain progress payments based upon costs
incurred as work progresses under the contract. Because progress
payments are based on work that is not completed, you must repay
them if you fail to complete the work. To protect its interest
the government takes title to your work in process for which
progress payments have been made. To qualify for progress
payments, you must have an accounting system that can accurately
identify and segregate contract costs.

SPECIFICATIONS.

The federal government has exact specifications for most of the
products and services it buys on a regular basis. In all
likelihood your contract will contain such precise
specifications. In fact, the specifications -- which describe
the government's requirements -- were contained in the Invitation
for Bids (IFB) or Request for Proposals (RFP) on which you based
your bid or proposal.

Once an award is made to your company, you are contractually
bound to deliver the product or service described in the
specifications. Sometimes, the basic specifications will make
reference to and incorporate other federal specifications. You
are, of course, bound by the terms of these specifications as
well as the basic specifications. Failure to deliver a product
meeting these terms may result in termination of your contract by
default. Accordingly, as mentioned previously, never bid on a
contract unless you have read and understood all of the
specifications. Also, read the specifications again before you
start work under the contract.

INSPECTION AND TESTING.

Government contracts provide that the government may inspect and
test the items you deliver to determine if they conform to
contract requirements and specifications. The government will
not accept a contractor's product unless it passes inspection.
The type and extent of inspection and testing depend largely on
what is being procured.

SPECIAL RECOMMENDATIONS AND ADVICE.

In addition to knowing the item you are manufacturing or the
service you are providing, you should have a working knowledge of
government contracting procedures, some of which are explained in
this publication. You should also be aware of the following:
As you have learned, the government conducts its business through
authorized agents called contracting officers. Only a
contracting officer has authority to bind the government, unless
you are otherwise advised in writing. However, even contracting
officers have limits on their authority, so do not hesitate to
make sure of the authority of the person you're dealing with.

Government procurement has historically been used as a vehicle
for advancing various national, social and economic objectives.
As a government contractor, you will be required to comply with
the labor standards statutes (Walsh-Healy Act, Service Contract
Act, Contract Work Hours and Safety Standards Act, etc.) and
other statutes advancing national socio-economic objectives
except for certain contracts where such statutes are specifically
stated as non-applicable.

You should become familiar with the contract provisions
protecting the integrity of the government procurement process.
These provisions include the "Officials Not To Benefit" clause,
the "Anti-Kickback" provisions, the "Gratuities" clause, etc.
Disputes between you and the contracting officer may occur under
the contract. Federal contracts contain a "Disputes" clause
setting forth procedures to resolve disputes. If the contracting
officer issues a decision that is not satisfactory to you, you
must make a timely appeal, or the decision becomes final.
Appeals are heard by a Board of Contracts Appeal.

Don't attempt to build something bigger, better or different than
called for by the contract. If you do, it may be too big or too
heavy or may not fit and the government won't accept it. Simply
comply with the contract terms, particularly the specifications.
If your contract requires production, establish a production
control schedule to assure that you will have the right materials
in-house at the right time to meet delivery requirements. Make
sure to place any subcontracts promptly and schedule delivery of
subcontracted items carefully to avoid over or under stocking.
If it appears you will not meet your schedule, notify the
administration office immediately to obtain assistance. Failure
to deliver on time gives the government the right to cancel your
contract, with possibly disastrous results to you.

_________________________________________________________________

Appendix 1. Standard Forms

- SF 129, Solicitation Mailing List Application
- SF 18, Request for Quotations
- SF 33, Solicitation, Offer and Award
- PASS Form, Procurement Automated Source System
_________________________________________________________________

Appendix 2. Agency Resources
- SBA Field Offices - Women's Business Ownership Coordinators
and Representatives
- SBA Procurement Center Representatives
- SBA Commercial Market Representatives
- GSA Business Service Center Regional Offices
- GSA Federal Information Centers
- Department of Commerce, Minority Business Development Centers
(MBDCs)
- Federal Offices of Small and Disadvantaged Business
Utilization (OSDBU)
- Small Business Innovation Research Representatives (SBIR)
- Defense Logistics Agency (DLA) Service Centers
- Defense Contract Management Districts (DCMD) and Defense
Contract Management Area Operations Regional Offices (DCMAO)
- U.S. Government Printing Office Bookstores

SBA FIELD OFFICES
Regional Offices

Region I
155 Federal Street, 9th Floor
Boston, MA 02110
Telephone: (617) 451-2023
FAX (617) 565-8695
TDD (617) 451-0491

Region II
26 Federal Plaza, Room 31-08
New York, NY 10278
Telephone: (212) 264-1450
FAX (212) 264-0900
TDD (212) 264-5669

Region III
475 Allendale Road, Suite 201
King of Prussia, PA 19406
Telephone: (215) 962-3700
FAX (215) 962-3743
TDD (215) 962-3739

Region IV
1375 Peachtree Street, N.E., 5th Floor
Atlanta, GA 30367-8102
Telephone: (404) 347-2797
FAX (404) 347-2355
TDD (404) 347-5051

Region V
300 S. Riverside Plaza, Suite 1975 S
Chicago, IL 60606-6617
Telephone: (312) 353-5000
FAX (312) 353-3426
TDD (312) 353-8060

Region VI
8625 King George Drive, Building C
Dallas, TX 75235-3391
Telephone: (214) 767-7633
FAX (214) 767-7870
TDD (214) 767-1339

Region VII
911 Walnut Street, 13th Floor
Kansas City, MO 64106
Telephone: (816) 426-3608
FAX (816) 426-5559
TDD (816) 426-2990

Region VIII
999 18th Street, Suite 701
Denver, CO 80202
Telephone: (303) 294-7186
FAX (303) 294-7153
TDD (303) 294-7096

Region IX
71 Stevenson Street, 20th Floor
San Francisco, CA 94105-2939
Telephone: (415) 744-6402
FAX (415) 744-6435
TDD (415) 744-6401

Region X
2615 4th Avenue, Room 440
Seattle, WA 98121
Telephone: (206) 553-5676
FAX (206) 553-4155
TDD (206) 553-2872

District Offices

ALABAMA
2121 8th Avenue, N., Suite 200
Birmingham, AL 35203-2398
Telephone: (205) 731-1344
FAX (205) 731-1404
TDD (205) 731-2265

ALASKA
222 W. 8th Avenue, Room 67
Anchorage, AK 99513-7559
Telephone: (907) 271-4022
FAX (907) 271-4545
TDD (907) 271-4005

ARIZONA
2828 N. Central Avenue, Suite 800
Phoenix, AZ 85004-1025
Telephone: (602) 640-2316
FAX (602) 640-2360
TDD (602) 640-2357
300 W. Congress Street, Room 7-H
Tucson, AZ 85701-1319
Telephone: (602) 670-4759
FAX (602) 670-4763
TDD (None Listed)

ARKANSAS
2120 Riverfront Drive, Suite 100
Little Rock, AR 72202
Telephone: (501) 324-5278
FAX (501) 324-5199
TDD (501) 324-7849

CALIFORNIA
2719 N. Air Fresno Drive, Suite 107
Fresno, CA 93727-1547
Telephone: (209) 487-5189
FAX (209) 487-5636
TDD (209) 487-5917

330 N. Brand Boulevard, Suite 1200
Glendale, CA 91203-2304
Telephone: (213) 894-2956
FAX (213) 894-5665
TDD (213) 894-6338

880 Front Street, Suite 4-S-29
San Diego, CA 92188-0270
Telephone: (619) 557-7252
FAX (619) 557-5894
TDD (619) 557-6998

211 Main Street, 4th Floor
San Francisco, CA 94105-1988
Telephone: (415) 744-6820
FAX (415) 744-6812
TDD (415) 744-6778

901 W. Civic Center Drive, Suite 160
Santa Ana, CA 92703-2352
Telephone: (714) 836-2494
FAX (714) 836-2528
TDD (714) 836-2200

660 J Street, Room 215
Sacramento, CA 95814-2413
Telephone: (916) 551-1426
FAX (916) 551-1439
TDD (None Listed)

6477 Telephone Road, Suite 10
Ventura, CA 93003-4459
Telephone: (805) 642-1866
FAX (805) 642-9538
TDD (None Listed)

COLORADO
721 19th Street, Suite 426
Denver, CO 80202-2599
Telephone: (303) 844-3984
FAX (303) 844-6468
TDD (303) 844-5638

CONNECTICUT
330 Main Street, 2nd Floor
Hartford, CT 06106
Telephone: (203) 240-4700
FAX (203) 240-4659
TDD (203) 524-1611

DISTRICT OF COLUMBIA
1110 Vermont Avenue, N.W., Suite 900
Washington, DC 20036
Telephone: (202) 606-4000
FAX (202) 606-4225
TDD (202) 606-4240

DELAWARE
920 N. King Street, Suite 412
Wilmington, DE 19801
Telephone: (302) 573-6295
FAX (302) 573-6060
TDD (302) 573-6644

FLORIDA
1320 S. Dixie Highway, Suite 501
Coral Gables, FL 33146-2911
Telephone: (305) 536-5521
FAX (305) 536-5058
TDD (305) 530-7110

7825 Baymeadows Way, Suite 100-B
Jacksonville, FL 32256-7504
Telephone: (904) 443-1900
FAX (904) 443-1980
TDD (904-443-1909

508 E. Polk Street, Suite 104
Tampa, FL 33602-3945
Telephone: (813) 228-2594
FAX (813) 228-2111
TDD (None Listed)

5601 Corporate Way, Suite 402
West Palm Beach, FL 33407-2044
Telephone: (407) 689-3922
FAX (None Listed)
TDD (None Listed)

GEORGIA
1720 Peachtree Road, N.W., 6th Floor
Atlanta, GA 30309
Telephone: (404) 347-4749
FAX (404) 347-4745
TDD (404) 347-0107

52 N. Main Street, Room 225
Statesboro, GA 30458
Telephone: (912) 489-8719
FAX (None Listed)
TDD (None Listed)

GUAM
238 Archbishop F.C. Flores St., Room 508
Agana, GU 96910
Telephone: (671) 472-7277
FAX (200) 550-7365
TDD (None Listed)

HAWAII
300 Ala Moana Boulevard, Room 2213
Honolulu, HI 96850-4981
Telephone: (808) 541-2990
FAX (808) 541-2976
TDD (808) 541-3650

IDAHO
1020 Main Street, Suite 290
Boise, ID 83702-5745
Telephone: (208) 334-1696
FAX (208) 334-9353
TDD (208) 334-9637

ILLINOIS
500 W. Madison Street, Room 1250
Chicago, IL 60661-2511
Telephone: (312) 353-4528
FAX (312) 886-5108
TDD (312) 886-5108

511 W. Capitol Street, Suite 302
Springfield, IL 62704
Telephone: (217) 492-4416
FAX (217) 492-4867
TDD (217) 492-4418

INDIANA
429 N. Pennsylvania, Suite 100
Indianapolis, IN 46204-1873
Telephone: (317) 226-7272
FAX (317) 226-7259
TDD (317) 226-5338

IOWA
373 Collins Road, N.E., Suite 100
Cedar Rapids, IA 52402-3147
Telephone: (319) 393-8630
FAX (319) 393-7585
TDD (319) 393-9610

210 Walnut Street, Room 749
Des Moines, IA 50309
Telephone: (515) 284-4422
FAX (515) 284-4572
TDD (515) 282-4233

KANSAS
100 E. English Street, Suite 510
Wichita, KS 67202
Telephone: (316) 269-6273
FAX (316) 269-6499
TDD (316) 269-6205

KENTUCKY
600 Dr. M.L. King Jr. Place, Room 188
Louisville, KY 40202
Telephone: (502) 582-5971
FAX (502) 582-5009
TDD (502) 582-6715

LOUISIANA
1661 Canal Street, Suite 2000
New Orleans, VA 70112
Telephone: (504) 589-6685
FAX (504) 589-2339
TDD (504) 589-2053

500 Fannin Street, Rom 8A-08
Shreveport, LA 71101
Telephone: (318) 676-3196
FAX (318) 676-3214
TDD (None Listed)

MAINE
40 Western Avenue, Suite 512
Augusta, ME 04330
Telephone: (207) 622-8378
FAX (207) 622-8277
TDD (207) 626-9147

MARYLAND
10 S. Howard Street, Room 608
Baltimore, MD 21202
Telephone: (410) 962-4392
FAX (410) 962-1805
TDD (410) 962-7458

MASSACHUSETTS
10 Causeway Street, Room 265
Boston, MA 02222-1093
Telephone: (617) 565-5590
FAX (617) 565-5598
TDD (617) 565-5797

1550 Main Street, Room 212
Springfield, MA 01103
Telephone: (413) 785-0268
FAX (413) 785-0267
TDD (None Listed)

MICHIGAN
477 Michigan Avenue, Room 515
Detroit, MI 48226
Telephone: (313) 226-6075
FAX (313) 226-4769
TDD (313) 226-2959

300 S. Front Street
Marquette, MI 49885
Telephone: (906) 225-1108
FAX (906) 225-1109
TDD (906) 228-4126

MINNESOTA
100 N. 6th Street, Suite 610
Minneapolis, MN 55403-1563
Telephone: (612) 370-2324
FAX (612) 370-2303
TDD (612) 777-2332

MISSISSIPPI
101 W. Capitol Street, Suite 400
Jackson, MS 39201
Telephone: (601) 965-4378
FAX (601) 965-4294
TDD (601) 965-5328

One Hancock Plaza, Suite 1001
Gulfport, MS 39501-7758
Telephone: (601) 863-4449
FAX (601) 864-0179
TDD (601) 865-9926

MISSOURI
323 W. 8th Street, Suite 501
Kansas City, MO 64105
Telephone: (816) 374-6708
FAX (816) 374-6759
TDD (816) 374-6764

815 Olive Street Suite 242
St. Louis, MO 63101
Telephone: (314) 539-6600
FAX (314) 539-3785
TDD (314) 539-6654

620 S. Glenstone Street Suite 110
Springfield, MO 65802-3200
Telephone: (417) 864-7670
FAX (417) 864-4108
TDD (417) 864-8855

MONTANA
301 S. Park, Room 528
Helena, MT 59626
Telephone: (406) 449-5381
FAX (406) 449-5474
TDD (406) 449-5053

NEBRASKA
11145 Mill Valley Road
Omaha, NE 68154
Telephone: (402) 221-4691
FAX (402) 221-3680
TDD (402) 498-3611

NEVADA
301 E. Stewart Street, Room 301
Las Vegas, NV 89125-2527
Telephone: (702) 388-6611
FAX (702) 388-6469
TDD (702) 388-6653

50 S. Virginia Street Room 238
Reno, NV 89505-3216
Telephone: (702) 784-5268
FAX (None Listed)
TDD (None Listed)

NEW HAMPSHIRE
143 N. Main Street, Suite 202
Concord, NH 03302-1257
Telephone: (603) 225-1400
FAX (603) 225-1409
TDD (603) 225-1462

NEW JERSEY
60 Park Place, 4th Floor
Newark, NJ 07102
Telephone: (201) 645-2434
FAX (201) 645-6265
TDD (201) 645-4653

2600 Mt. Ephraim Avenue
Camden, NJ 08104
Telephone: (609) 757-5183
FAX (609) 757-5335
TDD (None Listed)

NEW MEXICO
625 Silver Avenue, S.W. Suite 320
Albuquerque, NM 87102
Telephone: (505) 766-1870
FAX (505) 766-1057
TDD (505) 766-1883

NEW YORK
26 Federal Plaza, Room 3100
New York, NY 10278
Telephone: (212) 264-2454
FAX (212) 264-4963
TDD (212) 264-9147

100 S. Clinton Street, Room 1071
Syracuse, NY 13260
Telephone: (315) 423-5383
FAX (315) 423-5370
TDD (315) 423-5723

111 W. Huron Street, Room 1311
Buffalo, NY 14202
Telephone: (716) 846-4301
FAX (716) 846-4418
TDD (716) 846-3248

333 E. Water Street, 4th Floor
Elmira, NY 14901
Telephone: (607) 734-8130
FAX (607) 733-4656
TDD (607) 734-0557

35 Pinelawn Road, Room 102E
Melville, NY 11747
Telephone: (516) 454-0750
FAX (516) 454-0769
TDD (None Listed)

100 State Street, Room 410
Rochester, NY 14614
Telephone: (716) 263-6700
FAX (716) 263-3146

Corner of Clinton and Pearl, Room 815
Albany, NY 12207
Telephone: (518) 472-6300
FAX (518) 472-7138
TDD (None Listed)

NORTH CAROLINA
200 N. College Street, Suite A2015
Charlotte, NC 28202-2137
Telephone: (704) 344-6563
FAX (704) 344-6769
TDD (704) 344-6640

NORTH DAKOTA
657 2nd Avenue, N., Room 218
Fargo, ND 58108-3086
Telephone: (701) 239-5131
FAX (701) 239-5645
TDD (701) 239-5657

OHIO
1111 Superior Avenue, Suite 630
Cleveland, OH 44144-2507
Telephone: (216) 522-4180
FAX (216) 522-2038
TDD (216) 522-8350

2 Nationwide Plaza, Suite 1400
Columbus, OH 43215-2592
Telephone: (614) 469-6860
FAX (614) 469-2391
TDD (614) 469-6684

525 Vine Street, Suite 870
Cincinnati, OH 45202
Telephone: (513) 684-2814
FAX (513) 684-3251
TDD (513) 684-6920

OKLAHOMA
200 N.W. 5th Street, Suite 670
Oklahoma City, OK 73102
Telephone: (405) 231-4301
FAX (405) 231-4876
TDD (None Listed)

OREGON
222 S.W. Columbia Street, Suite 500
Portland, OR 97201-6605
Telephone: (503) 326-2682
FAX (503) 326-2808
TDD (503) 326-2591

PENNSYLVANIA
475 Allendale Road, Suite 201
King of Prussia, PA 19406
Telephone: (215) 962-3804
FAX (215) 962-3795
TDD (215) 962-3806

960 Penn Avenue, 5th Floor
Pittsburgh, PA 15222
Telephone: (412) 644-2780
FAX (412) 644-5446
TDD (412) 644-5143

100 Chestnut Street, Room 309
Harrisburg, PA 17101
Telephone: (717) 782-3840
FAX (717) 782-4839
TDD (717) 782-3477

20 N. Pennsylvania Avenue, Room 2327
Wilkes-Barre, PA 18702
Telephone: (717) 826-6497
FAX (717) 826-6287
TDD (717) 821-4174

PUERTO RICO
Carlos Chardon Avenue, Room 691
Hato Rey, PR 00918
Telephone: (809) 766-5572
FAX (809) 766-5309
TDD (809) 766-5174

RHODE ISLAND
380 Westminster Mall, 5th Floor
Providence, RI 02903
Telephone: (401) 528-4561
FAX (401) 528-4539
TDD (401) 528-4690

SOUTH CAROLINA
1835 Assembly Street, Room 358
Columbia, SC 29201
Telephone: (803) 765-5376
FAX (803) 765-5962
TDD (803) 253-3364

SOUTH DAKOTA
101 S. Main Avenue, Suite 101
Sioux Falls, SD 57102-0527
Telephone: (605) 330-4231
FAX (605) 330-4215
TDD (605) 331-3527

TENNESSEE
50 Vantage Way
Suite 201
Nashville, TN 37228-1500
Telephone: (615) 736-5881
FAX (615) 736-7232
TDD (615) 736-2499

TEXAS
4300 Amon Carter Boulevard, Suite 114
Ft. Worth, TX 76155
Telephone: (817) 885-6500
FAX (817) 885-6516
TDD (817) 885-6552

10737 Gateway, W., Suite 320
El Paso, TX 79935
Telephone: (915) 540-5676
FAX (915) 540-5636
TDD (915) 540-5196

222 E. Van Buren Street, Room 500
Harlingen, TX 78550
Telephone: (210) 427-8533
FAX (210) 427-8537
TDD (210) 423-0691

9301 Southwest Freeway, Suite 550
Houston, TX 77074-1591
Telephone: (713) 773-6500
FAX (713) 773-6550
TDD (713) 773-6568

1611 10th Street, Suite 200
Lubbock, TX 79401
Telephone: (806) 743-7462
FAX (806) 743-7487
TDD (806) 743-7474

7400 Blanco Road, Suite 200
San Antonio, TX 78216-4300
Telephone: (210) 229-4535
FAX (210) 229-4556
TDD (210) 229-4555

606 N. Carancahus, Suite 1200
Corpus Christi, TX 78476
Telephone: (512) 888-3331
FAX (512) 888-3418
TDD (512) 888-3188

300 E. 8th Street, Suite 520
Austin, TX 78701
Telephone: (512) 482-5288
FAX (512) 482-5290
TDD (None Listed)

505 E. Travis, Room 103
Marshall, TX 75670
Telephone: (903) 935-5257
FAX (903) 935-5258
TDD (None Listed)

UTAH
125 S. State Street, Room 2237
Salt Lake City, UT 84138-1195
Telephone: (801) 524-5804
FAX (801) 524-4160
TDD (801) 524-4040

VERMONT
87 State Street, Room 205
Montpelier, VT 05602
Telephone: (802) 828-4422
FAX (802) 828-4485
TDD (802) 828-4550

VIRGINIA
400 N. 8th Street
Room 3015
Richmond, VA 23240
Telephone: (804) 771-2400
FAX (804) 771-8018
TDD (804) 771-8078

VIRGIN ISLANDS
4200 United Shopping Plaza, Suite 7
St. Croix, VI 00820-4487
Telephone: (809) 778-5380
FAX (809) 778-1102
TDD (809) 766-5174

Veterans Drive, Room 210
St. Thomas, VI 00802
Telephone: (809) 774-8530
FAX (809) 776-2312
TDD (809) 766-5174

WASHINGTON
915 2nd Avenue
Room 1792
Seattle, WA 98174-1088
Telephone: (206) 220-6520
FAX (206) 220-6570
TDD (206) 553-6579

601 W. 1st Avenue
Spokane, WA 99204-0317
Telephone: (509) 353-2800
FAX (509) 353-2829
TDD (509) 353-2424

WEST VIRGINIA
168 W. Main Street
Clarksburg, WV 26301
Telephone: (304) 623-5631
FAX (304) 623-0023
TDD (304) 623-5616
550 Eagan Street, Room 309
Charleston, WV 25301
Telephone: (304) 347-5220
FAX (304) 347-5350
TDD (304) 347-5438

WISCONSIN
212 E. Washington Avenue, Room 213
Madison, WI 53703
Telephone: (608) 264-5261
FAX (608) 264-5541
TDD (608) 264-5333

310 W. Wisconsin Avenue, Suite 400
Milwaukee, WI 53203
Telephone: (414) 297-3941
FAX (414) 297-1377
TDD (414) 297-1095

WYOMING
100 E. B Street
Room 4001
Casper, WY 82602-2839
Telephone: (307) 261-5761
FAX (307) 261-5499
TDD (307) 261-5806

DISASTER AREA OFFICES

Area I: Regions I-II
360 Rainbow Blvd. S., 3rd Floor
Niagara Falls, NY 14303
Telephone: (716) 282-4612
FAX (716) 282-1472
TDD (716) 282-0508

Area 2: Regions III-V
One Baltimore Place, Suite 300
Atlanta, GA 30308
Telephone: (404) 347-3771
FAX (404) 347-3813
TDD (404) 347-3751

Area 3: Regions VI-VII
4400 Amon Carter Boulevard, Suite 102
Ft. Worth, TX 76155
Telephone: (817) 885-7600
FAX (817) 885-7616
TDD (817) 267-4688

Area 4: Regions VIII-X
1825 Bell Street, Suite 208
Sacramento, CA 95825
Telephone: (916) 978-4571
FAX (916) 978-4577
TDD (916) 978-5564

SBA PROCUREMENT CENTER REPRESENTATIVES (PCRS)

PCRs are stationed throughout the country at selected military
and civilian locations that have major buying programs, There
are two types of PCRs, traditional (TPCRs) and breakout (BPCRs)
whose duties are different but complementary.

TPCRs review acquisition packages at the contracting agencies.
They recommend small business set-asides for acquisitions not
unilaterally set aside by the acquisition activity (this means
restricting the acquisition to competition between small business
concerns). Other duties include providing small business sources
to assure the widest possible small business participation in the
acquisition; looking out for provisions which might inhibit or
discourage small firms from submitting offers; counseling small
business, including women-owned firms; and reviewing
subcontracting plans.

BPCRs are located at the 29 major procurement centers of the
Department of Defense. The BPCRs and their technical advisors
are advocates for the breakout of items through full and open
competition.

All BPCRs are accredited engineers familiar with the supplies and
services processed at the center. BPCRs review the method by
which the DoD intends to procure goods and services to insure
that competition is not unnecessarily restricted and recommends
appropriate procurement methods when competition can be expanded.
A list of traditional and breakout PCRs in your area can be
obtained from your local SBA office.

U.S. SMALL BUSINESS ADMINISTRATION COMMERCIAL MARKET
REPRESENTATIVES

Areas and Office Locations

Area I
SBA
Willimantic Area Office
893 Main Street, PO Box 377
Willimantic, CT 06226
Telephone: (203) 240-3836

SBA
Concord District Office
Stewart Nelson Building
PO Box 1257
Concord, NH 03302-1257
Telephone: (603) 225-1465

SBA
26 Federal Plaza, Room 3100
New York, NY 10278
Telephone: (212) 264-1452

SBA
Newark District Office
2 Gateway Center, 4th Floor
Newark, NJ 07102
Telephone: (201) 645-2193

Area II
SBA
475 Allendale Road
King of Prussia, PA 19406
Telephone: (610) 962-3712

SBA
Washington Branch Office
1110 Vermont Avenue, NW, Suite 950
Washington, DC 20416
Telephone: (202) 606-0646

Area III
SBA
1375 Peachtree Street, NE
Atlanta, GA 30367
Telephone: (404) 347-7452/4586

Area IV
SBA
300 S. Riverside Plaza, Suite 1975
Chicago, IL 60606-6611
Telephone: (312) 353-4504/7673

SBA
Indianapolis District Office
429 N. Pennsylvania, Suite 100
Indianapolis, IN 46204-1873
Telephone: (317) 226-7272

SBA
323 W. 8th Street
Lucas Place
Kansas City, MO 64106
Telephone: (816) 426-5201

Area V
SBA
8625 King George Dr.
Dallas, TX 75235-3391
Telephone: (214) 767-7665/7662

SBA
First Interstate Bank Tower
633 17th Street, 7th Floor
Denver, CO 80202-3607
Telephone: (303) 294-7088

Area VI
SBA
Glendale District Office
330 North Brand Street
Glendale, CA 91203
Telephone: (818) 552-3219/3292

SBA
Phoenix District Office
2828 N. Central Avenue
Phoenix, AZ 85004
Telephone: (602) 640-2305

SBA
Park Place Building
1200 6th Avenue, Suite 1805
Seattle, WA 98101-1128
Telephone: (206) 553-4489/6850

SBA
301 E. Stewart Street, Room 301
Las Vegas, NV 89125-2527
Telephone: (702) 388-6611

SBA
Anchorage Area Office
605 W. 4th Avenue, Room G72
Anchorage, AK 99501
Telephone: (907) 271-2297

In addition to Small Business Administration offices, Commercial
Market Representatives are also located in other government
facilities where procurement opportunities exist.

Area I
Department of Veterans Affairs
Regional Center
PO Box 3076
Togus, ME 04330
Telephone: (207) 623-8936 Ext. 104

SBA-PCR/CMR
US Army CECOM
Fort Monmouth, NJ 07703-5016
Telephone: (908) 532-3419
SBA, US Army ARDEC
Bldg. 1610
Picatinny Arsenal, NJ 07806
Telephone: (201) 724-6574

Area II
SBA Representatives
GSA, Suite 6029
18th & F Streets, NW
Washington, DC 20405
Telephone: (202) 501-2799

Area V
Small Business Administration
303 S. Crockett, Suite 5
Kelly AFB, TX 78241-6026
Telephone: (210) 229-4202

Area VI
ALC/BC, Bldg. 1299
Hill Air Force Base, UT 84056
Telephone: (801) 777-4150

GSA BUSINESS SERVICE CENTER REGIONAL OFFICES

Maine, Vermont, New Hampshire, Massachusetts, Connecticut and
Rhode Island

Business Service Center
O'Neil Federal Building
10 Causeway Street
Boston, MA 02222
Telephone: (617) 765-8100

New Jersey, New York, Puerto Rico and the Virgin Islands
Business Service Center
26 Federal Plaza
New York, NY 10278
Telephone: (212) 264-1234

Pennsylvania, Delaware, West Virginia, Maryland and Virginia
Business Service Center
9th and Market Streets, Room 5151
Philadelphia, PA 11910
Telephone: (215) 597-9613

Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina,
South Carolina and Tennessee
Business Service Center
75 Spring Street, SW
Atlanta, GA 30303
Telephone: (404) 331-5103

Illinois, Indiana, Ohio, Michigan, Minnesota and Wisconsin
Business Service Center
230 South Dearborn Street
Chicago, IL 60604
Telephone: (312) 353-5383

Iowa, Kansas, Missouri and Nebraska
Business Service Center
1500 East Bannister Road
Kansas City, MO 64131
Telephone: (816) 926-7203

Arkansas, Louisiana, Texas, New Mexico and Oklahoma
Business Service Center
819 Taylor Street
Fort Worth, TX 76102
Telephone: (817) 334-3284

Colorado, North Dakota, South Dakota, Utah, Montana and Wyoming
Business Service Center
Building 41, Federal Center
Denver, CO 80225
Telephone: (303) 236-7409

North California, Hawaii, and Nevada except Clark County
Business Service Center
525 Market Street
San Francisco, CA 94105
Telephone: (415) 974-9000

Los Angeles, Southern California, Arizona and Clark County,
Nevada
Business Service Center
300 North Los Angeles Street
Los Angeles, CA 90012
Telephone: (213) 894-3210

Alaska, Idaho, Oregon and Washington
Business Service Center
915 Second Avenue
Seattle, WA 98174
Telephone: (206) 931-7956

Washington DC, Alexandria, VA and Montgomery, Fairfax, Loudon and
Prince William Counties
Business Service Center
7th and D Street, SW Room 1050
Washington, DC 20407
Telephone: (202) 708-5804

GSA FEDERAL INFORMATION CENTERS TELEPHONE NUMBERS

If you need assistance in locating the local offices of a
particular sales program, call the Federal Information Center
(FIC) for assistance. This service, provided by the General
Services Administration, can tell you the location of the sales
office closest to you. Call the telephone number listed below
for your state or metropolitan area. All the "800" numbers are
toll free. These "800" numbers can be called only within the
states and cities listed. If your area is not listed, please
call (301) 722-9098 or if you prefer to write, mail your inquiry
to the Federal Information Center, PO Box 600, Cumberland, MD
21502.

Alabama
Birmingham, Mobile
Telephone: (800) 366-2998

Alaska
Anchorage
Telephone: (800) 729-8003

Arizona
Phoenix
Telephone: (800) 359-3997

Arkansas
Little Rock
Telephone: (800) 366-2998

California
Los Angeles, San Diego,
San Francisco,
Santa Ana
Telephone: (800) 726-4995
Sacramento
Telephone: (916) 973-1695

Colorado
Colorado Springs,
Denver, Pueblo
Telephone: (800) 359-3997

Connecticut
Hartford, New Haven
Telephone: (800) 347-1997

Florida
Ft. Lauderdale, Jacksonville, Miami,
Orlando, St. Petersburg, Tampa, West
Palm Beach
Telephone: (800) 347-1997

Georgia
Atlanta
Telephone: (800) 347-1997

Hawaii
Honolulu
Telephone: (800) 733-5996

Illinois
Chicago
Telephone: (800) 366-2998

Indiana
Gary
Telephone: (800) 366-2998
Indianapolis
Telephone: (800) 347-1997

Iowa
All locations
Telephone: (800) 735-8004

Kansas
All locations
Telephone: (800) 735-8004

Kentucky
Louisville
Telephone: (800) 347-1997

Louisiana
New Orleans
Telephone: (800) 366-2998

Maryland
Baltimore
Telephone: (800) 347-1997

Massachusetts
Boston
Telephone: (800) 347-1997

Michigan
Detroit, Grand Rapids
Telephone: (800) 347-1997

Minnesota
Minneapolis
Telephone: (800) 366-2998

Missouri
St. Louis
Telephone: (800) 366-2998
All other locations
Telephone: (800) 735-8004

Nebraska
Omaha
Telephone: (800) 366-2998
All other locations
Telephone: (800) 735-8004

New Jersey
Newark, Trenton
Telephone: (800) 347-1997

New Mexico
Albuquerque
Telephone: (800) 359-3997

New York
Albany, Buffalo, New York, Rochester, Syracuse
Telephone: (800) 347-1997

North Carolina
Charlotte
Telephone: (800) 347-1997

Ohio
Akron, Cincinnati, Cleveland, Columbus, Dayton, Toledo
Telephone: (800) 347-1997

Oklahoma
Oklahoma City, Tulsa
Telephone: (800) 366-2998

Oregon
Portland
Telephone: (800) 726-4995

Pennsylvania
Philadelphia, Pittsburgh
Telephone: (800) 347-1997

Rhode Island
Providence
Telephone: (800) 347-1997

Tennessee
Chattanooga
Telephone: (800) 347-1997
Memphis, Nashville
Telephone: (800) 366-2998

Texas
Austin, Dallas, Fort Worth, Houston, San Antonio
Telephone: (800) 366-2998

Utah
Salt Lake City
Telephone: (800) 359-3997

Virginia
Norfolk, Richmond, Roanoke
Telephone: (800) 347-1997

Washington
Seattle, Tacoma
Telephone: (800) 726-4995

Wisconsin
All locations
Telephone: (800) 366-2998

UNITED STATES DEPARTMENT OF COMMERCE
Minority Business Development Agency (MBDA)

MINORITY BUSINESS DEVELOPMENT CENTERS
MBDA's nationwide network of Minority Development Centers (MBDCs)
counsel minority individuals on accounting, administration,
business planning, inventory control, negotiations, referrals,
networking, construction contracting and subcontracting,
marketing, and on SBA's 8(a) certification to participate in
minority set-aside contracting opportunities with the federal
government. They provide managerial and technical assistance for
bonding, bidding, estimating, financing, procurement,
international trade, franchising, acquisitions, mergers, joint
ventures, and leveraged buyouts. MBDCs facilitate the formation
and expansion of minority- owned firms.

ATLANTA REGION

Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina,
South Carolina, Tennessee

MBDA Regional Director
401 W. Peachtree Street, N.W., Suite 1930
Atlanta, GA 30308-3516
Telephone: (404) 730-3300

MBDA MIAMI District Office
51 S.W. 1st Avenue, Room 928
Miami, FL 33130
Telephone: (305) 536-5054

ATLANTA MBDC
75 Piedmont Avenue, N.E., Suite 256
Atlanta, GA 30303
Telephone: (404) 586-0953

AUGUSTA MBDC
1394 Laney Walker Blvd.
Augusta, GA 30101-2796
Telephone: (706) 722-0994

BIRMINGHAM MBDC
1732 5th Avenue, N.
Birmingham, AL 35203
Telephone: (205) 324-5231

CHARLESTON MBDC
4 Carriage Lane
Charleston, SC 29407
Telephone: (803) 556-3040

CHEROKEE IBDC
Alquoni Road, Box 1200
Cherokee, NC 28701
Telephone: (704) 497-9335

CHEROKOO IBDC
70 Woodfin Place, Suite 305
Asheville, NC 28801
Telephone: (704) 252-2516

COLUMBIA MBDC
1313 Elmwood Avenue
Columbia, SC 29201
Telephone: (803) 779-5905

COLUMBUS MBDC
233 12th Street, Suite 621
Columbus, GA 31902-1696
Telephone: (706) 824-4253

FAYETTEVILLE MBDC
PO Box 1387
Fayetteville, NC 28302
Telephone: (910) 483-7513

GREENVILLE/SPARTANBURG MBDC
211 Century Plaza Drive, Suite 100-D
Greenville, SC 29607
Telephone: (803) 271-8753

JACKSON MBDC
5285 Galaxie Drive, Suite A
Jackson, MS 39206
Telephone: (601) 362-2260

JACKSONVILLE MBDC
218 W. Adams Street, Suite 300
Jacksonville, FL 32202-3508
Telephone: (904) 353-3826

LOUISVILLE MBDC
611 W. Main Street
4th Floor
Louisville, KY 40402
Telephone: (502) 589-6232

MEMPHIS MBDC
5 N. 3rd Street, Suite 2020
Memphis, TN 38103
Telephone: (901) 527-2298

MIAMI/FT. LAUDERDALE MBDC
1200 N.W. 78th Avenue, Suite 301
Miami, FL 33126
Telephone: (305) 591-7355

MOBILE MBDC
801 Executive Park Drive, Suite 102
Mobile, AL 36606
Telephone: (205) 471-5165

MONTGOMERY MBDC
770 S. McDonough Street, Suite 209
Montgomery, AL 36104
Telephone: (205) 834-7598

NASHVILLE MBDC
14 Academy Place, Suite 2
Nashville, TN 37210-2026
Telephone: (615) 255-0432

ORLANDO MBDC
132 E. Colonial Drive, Suite 211
Orlando, FL 32801
Telephone: (407) 422-6234

RALEIGH/DURHAM MBDC
817 New Bern Avenue, Suite 8
Raleigh, NC 27601
Telephone: (919) 833-6122

TAMPA/ST. PETERSBURG MBDC
4601 W. Kennedy Blvd., Suite 200
Tampa, FL 33609
Telephone: (813) 289-8824

WEST PALM BEACH MBDC
2001 Broadway, Suite 301C
Riviera Beach, FL 33404
Telephone: (407) 863-0895

CHICAGO REGION
Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri,
Nebraska, Ohio, Wisconsin

MBDA Regional Director
55 E. Monroe Street, Suite 1440
Chicago, IL 60603
Telephone: (312) 353-0182

CHICAGO MEGA CENTER
105 W. Adams Street, 7th Floor
Chicago, IL 60603
Telephone: (312) 977-9190

CINCINNATI MBDC
1821 Summit Road, Suite 111
Cincinnati, OH 45237-2810
(513) 679-6000

CLEVELAND MBDC
601 Lakeside Avenue, E., Suite 335
Cleveland, OH 44114
Telephone: (216) 664-4155

DAYTON MBDC
32 N. Main Street, Suite 1001
Dayton, OH 45402
Telephone: (513) 228-0290

DETROIT MBDC
645 Griswold Street, Suite 2156
Detroit, MI 48226
Telephone: (313) 963-6232

GARY MBDC
567 Broadway
Gary, IN 46402
Telephone: (219) 883-5802

INDIANAPOLIS MBDC
4755 Kingsway Drive, Suite 102
Indianapolis, IN 46205
Telephone: (317) 226-3996

KANSAS CITY MBDC
1101 Walnut Street, Suite 1900
Kansas City, MO 64106-2143
Telephone: (816) 471-1520

MILWAUKEE MBDC
1442 N. Farwell Avenue, Suite 500
Milwaukee, WI 53202
Telephone: (414) 289-3422

MINNEAPOLIS IBDC
2021 E. Hennepin Avenue, Suite 370
Minneapolis, MN 55413
Telephone: (612) 331-5576

MINNESOTA MBDC
Leech Lake Reservation
PO Box 217
Cass Lake, MN 56633-0217
Telephone: (218) 335-8583

ST. LOUIS MBDC
231 S. Bemiston Street, Suite 750
St. Louis, MO 63101
Telephone: (314) 721-7766

DALLAS REGION
Arkansas, Colorado, Louisiana, Montana, New Mexico, North Dakota,
Oklahoma, South Dakota, Texas, Utah, Wyoming

MBDA Regional Director
1100 Commerce Street, Room 7B23
Dallas, TX 75242
Telephone: (214) 767-8001

ALBUQUERQUE MBDC
718 Central Avenue, S.W.
Albuquerque, NM 87102
Telephone: (505) 843-7114

AUSTIN MBDC
1524 S. International Hwy. 35, Suite 218
Austin, TX 78704
Telephone: (512) 447-0800

BATON ROUGE MBDC
2036 Wooddale Blvd., Suite D
Baton Rouge, LA 70814
Telephone: (504) 924-0186

BROWNSVILLE MBDC
2100 Boca Chica Blvd., Suite 301
Brownsville, TX 78521-2265
Telephone: (210) 546-3400

CORPUS CHRISTI MBDC
3649 Leopard Street, Suite 514
Corpus Christi, TX 78408
Telephone: (512) 887-7961

DALLAS/FT. WORTH MBDC
501 Winwood Village Shopping Center, Suite 202
Dallas, TX 75224-1899
Telephone: (214) 943-4095

DENVER MBDC
930 W. 7th Avenue
Denver, CO 80204
Telephone: (303) 623-5660

EL PASO MBDC
6068 Gateway East, Suite 200
El Paso, TX 79905
Telephone: (915) 774-0626

HOUSTON MBDC
1200 Smith Street, Suite 2870
Houston, TX 77002
Telephone: (713) 650-3831

LAREDO MBDC
1303 Calle del Norte, Suite 400
Laredo, TX 78041
Telephone: (210) 726-8815

LITTLE ROCK MBDC
One Riverfront Plaza, Suite 740
N. Little Rock, AR 72114
Telephone: (501) 372-7312

MC ALLEN MBDC
1701 W. Bus. Hwy. 83, Suite 306
McAllen, TX 78501
Telephone: (210) 664-0073

NEW MEXICO IBDC
3939 San Pedro Drive, N.E., Suite D
Albuquerque, NM 87190-3256
Telephone: (505) 889-9092

NORTH DAKOTA IBDC
3315 University Drive
Bismarck, ND 58504
Telephone: (701) 255-6849

OKLAHOMA IBDC
5727 S. Garnett Street, Suite C
Tulsa, OK 74146-6823
Telephone: (918) 250-5950

SALT LAKE CITY MBDC
350 East 500 South, Suite 101
Salt Lake City, UT 84111
Telephone: (801) 328-8181

SAN ANTONIO MBDC
UTSA, 6900 North Loop 1604 West
San Antonio, TX 78249-0660
Telephone: (210) 225-6233

TULSA MBDC
240 E. Apache Street
Tulsa, OK 74106
Telephone: (918) 592-1995

NEW YORK REGION
Connecticut, Maine, Massachusetts, New Hampshire, New Jersey, New
York, Puerto Rico, Rhode Island, Vermont, Virgin Islands

MBDA Regional Director
26 Federal Plaza, Room 37-20
New York, NY 10278
Telephone: (212) 264-3262

MBDA BOSTON
District Office
10 Causeway Street, Room 418
Boston, MA 02222-1041
Telephone: (617) 565-6850

BOSTON MBDC
10 Causeway Street, Room 418
Boston, MA 02222
Telephone: (617) 565-6850

BROOKLYN MBDC
16 Court Street, Room 1903
Brooklyn, NY 11201
Telephone: (718) 522-5880

BUFFALO MBDC
570 E. Delavan Avenue
Buffalo, NY 14211
Telephone: (716) 895-2218

MANHATTAN MBDC
51 Madison Avenue, Suite 2212
New York, NY 10010
Telephone: (212) 779-4360

MAYAGUEZ MBDC
70 W. Mendez Vigo
PO Box 3146 Marina Station
Mayaguez, PR 00681
Telephone: (809) 833-7783

NASSAU/SUFFOLK MBDC
150 Broad Hollow Road, Suite 304
Melville, NY 11747
Telephone: (516) 549-5454

NEW BRUNSWICK MBDC
390 George Street, Suite 410
New Brunswick, NJ 08901
Telephone: (908) 249-5511

NEWARK MBDC
60 Park Place, Suite 1601
Newark, NJ 07102
Telephone: (201) 623-7712

PONCE MBDC
19 Salud Street
Ponce, PR 00731
Telephone: (809) 840-8100

QUEENS MBDC
125-10 Queens Blvd.
Kew Gardens, NY 11415
Telephone: (718) 793-3900

ROCHESTER MBDC
350 North Street
Rochester, NY 14605
Telephone: (716) 232-6120

SAN JUAN MBDC
122 Eleanor Roosevelt Avenue
Halo Rey, PR 00918
Telephone: (809) 753-8484

VIRGIN ISLANDS MBDC
81-AB Kronprindsen Gade, 3rd Floor
PO Box 838
St. Thomas, VI 00804
Telephone: (809) 774-7215

VIRGIN ISLANDS MBDC
35 King Street
Christensted
St. Croix, VI 00820
Telephone: (809) 773-6334

WILLIAMSBURG/BROOKLYN MBDC
12 Heyward Street
Brooklyn, NY 11211
Telephone: (718) 522-5620

SAN FRANCISCO REGION
Alaska, American Samoa, Arizona, California, Hawaii, Idaho,
Nevada, Oregon, Washington

MBDA Regional Director
221 Main Street, Room 1280
San Francisco, CA 94105
Telephone: (415) 744-3001

MBDA LOS ANGELES
District Office
9660 Flair Drive, Suite 455
El Monte, CA 91713
Telephone: (818) 453-8636

ALASKA MBDC
1577 C Street Plaza, Suite 304
Anchorage, AK 99501
Telephone: (907) 274-5400

FRESNO MBDC
4944 E. Clinton Way, Suite 103
Fresno, CA 93727
Telephone: (209) 266-2766

HONOLULU MBDC
1132 Bishop Street, Suite 1000
Honolulu, HI 96813-3652
Telephone: (808) 531-6232

LOS ANGELES MBDC
355 S. Grand Avenue, Suite 1150
Los Angeles, CA 90071
Telephone: (213) 627-1717

PHOENIX MBDC
432 N. 44th Street, Suite 354
Phoenix, AZ 85008
Telephone: (602) 225-0740

PORTLAND MBDC
8959 S.W. Barbur Blvd., Suite 102
Portland, OR 97219
Telephone: (503) 245-9253

SACRAMENTO MBDC
1779 Tribute Road, Suite I
Sacramento, CA 95815
Telephone: (916) 649-2551

SALINAS MBDC
14 Maple Street, Suite D
Salinas, CA 93901
Telephone: (408) 422-8825

SAN DIEGO MBDC
7777 Alvarado Road, Suite 310
La Mesa, CA 91941
Telephone: (619) 668-6232

SAN FRANCISCO/OAKLAND MBDC
221 Main Street, Suite 1570
San Francisco, CA 94105
Telephone: (415) 243-8430

SAN FRANCISCO/OAKLAND MBDC
1212 Broadway, Suite 900
Oakland, CA 94612
Telephone: (510) 271-0180

SANTA BARBARA MBDC
22 N. Milpas Street, Suite H
Santa Barbara, CA 93103
Telephone: (805) 965-2611

SEATTLE MBDC
155 N.E. 100th Avenue, Suite 401
Seattle, WA 98125
Telephone: (206) 525-5617

STOCKTON MBDC
305 N. El Dorado Street, Suite 305
Stockton, CA 95202
Telephone: (209) 467-4774

TUCSON MBDC
1200 N. El Dorado Square, Suite D-440
Tucson, AZ 85715
Telephone: (520) 721-1187

WASHINGTON REGION
Delaware, Maryland, Pennsylvania, Virginia, Washington DC, West
Virginia

MBDA Regional Director
1255 22nd Street, N.W., Suite 701
Washington, DC 20036
Telephone: (202) 377-1356

MBDC PHILADELPHIA
District Office
600 Arch Street, Room 10128
Philadelphia, PA 19106
Telephone: (215) 597-9236

BALTIMORE MBDC
301 N. Charles Street, Suite 902
Baltimore, MD 21201
Telephone: (410) 752-7400

NEWPORT NEWS MBDC
6060 Jefferson Avenue, Suite 6016
Newport News, VA 23605
Telephone: (804) 865-7446

NORFOLK MBDC
355 Crawford Pkwy., Suite 608
Portsmouth, VA 23701
Telephone: (804) 399-0888

PHILADELPHIA MBDC
125 N. 8th Street, 4th Floor
Philadelphia, PA 19106
Telephone: (215) 629-9841

PITTSBURGH MBDC
Nine Parkway Center, Suite 250
Pittsburgh, PA 15220
Telephone: (412) 921-1155

WASHINGTON MBDC
1133 15th Street, N.W., Suite 1120
Washington, DC 20005
Telephone: (202) 785-2886

FEDERAL OFFICES OF SMALL AND DISADVANTAGED BUSINESS UTILIZATION
(OSDBU)

Offices designated as Offices of Small and Disadvantaged Business
Utilization (OSDBUs) provide procurement assistance to small,
minority, 8(a) and women-owned businesses. Their primary
function is to ensure that small and disadvantaged businesses
receive their fair share of U.S. Government contracts. "OSDBUs"
are the contacts for their respective agencies and are excellent
sources of information.

DEPARTMENTS
Department of Agriculture
14th and Independence Ave., S.W., Room 1323, South Bldg.
Washington, DC 20250
Telephone: (202) 720-7117
FAX (202) 720-3001

Department of Commerce
14th and Constitution Ave., N.W., Room H-6411
Washington, DC 20230
Telephone: (202) 482-1472
FAX (202) 482-0501

Department of Defense
Office of the Director for Small Business Programs
3061 Defense Pentagon, Room 2A340
Washington, DC 20301-3061
Telephone: (703) 614-1151, 697-1688, 697-9383
FAX (703) 693-7014
Department of the Air Force
Office of the Secretary of the Air Force
The Pentagon - Room 5E271
Washington, DC 20330-1060
Telephone: (703) 697-1950
FAX (703) 614-9266

Department of the Army
Office of the Secretary of the Army
106 Army Pentagon
Washington, DC 20310-0106
Telephone: (703) 697-7753
FAX (703) 693-3898

Department of the Navy
Office of the Secretary of the Navy
2211 Jefferson Davis Highway
Arlington, VA 22244-5102
Telephone: (703) 602-2700
FAX (703) 602-2477

Defense Logistics Agency Headquarters
8725 John J. Kingman Rd., Suite 2533
Ft. Belvoir, VA 22060-6221
Telephone: (703) 767-1650
FAX (703) 767-1670

Department of Education
600 Independence Avenue, S.W., Room 3120-ROB-3
Washington, DC 20202-0521
Telephone: (202) 708-9820
FAX (202) 401-6477

Department of Energy
1707 H Street, N.W., Room 904
Washington, DC 20585
Telephone: (202) 254-5583
FAX (202) 254-3989

Department of Health and Human Services
200 Independence Ave., S.W., Room 517D, Humphrey Building
Washington, DC 20201
Telephone: (202) 690-7300
FAX (202) 690-8772

Department of Housing and Urban Development
451 7th Street, S.W., Room 3130
Washington, DC 20410
Telephone: (202) 708-1428
FAX (202) 708-7642

Department of the Interior
1849 C Street, N.W., Room 2725
Washington, DC 20240
Telephone: (202) 208-3493
FAX (202) 208-5048

Bureau of Indian Affairs
Division of Contracting and Grants Administration
1951 Constitution Avenue, N.W.,
Mail Stop 334-SIB
Washington, DC 20245
Telephone: (202) 208-2825

Department of Justice
12th and Pennsylvania Avenue, N.W., Room 3235, Ariel Rios Bldg.
Washington, DC 20530
Telephone: (202) 616-0521
FAX (202) 616-1717

Department of Labor
200 Constitution Avenue, N.W., Room C-2318
Washington, DC 20210
Telephone: (202) 219-9148
FAX (202) 219-9167

Department of State
1701 Ft. Myer Drive, Room 633 (SA-6)
Rosslyn, VA 22209
Telephone: (703) 875-6824
FAX (703) 875-6825
Mailing Address Only
SDBU, Room 633, SA 6
Washington, DC 20522-0602

Department of Transportation
400 7th Street, S.W., Room 9414
Washington, DC 20590
Telephone: (202) 366-1930
FAX (202) 366-7228

Department of the Treasury
1500 Pennsylvania Avenue, N.W., Room 6100 - Annex
Washington, DC 20220
Telephone: (202) 622-0530
FAX (202) 622-2273

Office of the Comptroller of the Currency
Acquisitions and Procurement Branch
250 E Street, S.W., Mail Stop 4-13
Washington, DC 20219
Telephone: (202) 874-5040
FAX (202) 874-5625

Office of Thrift Supervision
Department of the Treasury
1700 G Street, N.W., 3rd Floor
Washington, DC 20552
Telephone: (202) 906-6346 or 906-7864
FAX (202) 906-5748

Department of Veterans Affairs
810 Vermont Avenue, N.W. (00SSB)
Washington, DC 20420
Telephone: (202) 565-8127
FAX (202) 565-8156

The majority of independent agencies do not have designated
Offices of Small and Disadvantaged Business Utilization.
However, they do have specific personnel available to assume such
responsibilities.

FEDERAL AGENCIES

IDCA/Agency for International Development
1100 Wilson Blvd. SA-14
Arlington, VA 20523-1414
Telephone: (703) 875-1551
FAX (703) 875-1862

Corporation for National Service/ACTION
1201 New York Avenue, N.W., Room 2101
Washington, DC 20525
Telephone: (202) 606-5000, ext. 320
FAX (202) 565-2777

Environmental Protection Agency
401 M Street, S.W., Mail Code 1230C
Washington, DC 20460
Telephone: (703) 305-7777
FAX (703) 305-6462

Export-Import Bank of the U.S.
811 Vermont Avenue, N.W., Room 1017
Washington, DC 20571
Telephone: (202) 565-3900/2
(800) 565-EXIM
FAX (202) 565-3931

Farm Credit Administration
1501 Farm Credit Drive
McLean, VA 22102-5090
Telephone: (703) 833-4149
FAX (703) 734-5784

Federal Communications Commission
1919 M Street, N.W., Room 404
Washington, DC 20554
Telephone: (202) 418-0930
FAX (202) 418-0237

Federal Deposit Insurance Corporation (FDIC)
Minority and Women Outreach Program (MWOP)
550 17th St., N.W., PA 2041
Washington, DC 20429
Telephone: (202) 942-3126, 942-3128
FAX (202) 942-3113
Resolution Trust Corporation (RTC)
801 17th Street, N.W., Room 1201
Washington, DC 20434
Telephone: (202) 416-6925
FAX (202) 416-2466

Federal Emergency Management Agency
500 C Street, S.W., Room 407
Washington, DC 20472
Telephone: (202) 646-3743
FAX (202) 646-3695

Federal Housing Finance Board (FHFB)
1777 F Street, N.W., 3rd Floor
Washington, DC 20006
Telephone (202) 408-2582
FAX (202) 408-2580

Federal Mediation and Conciliation Service
2100 K Street, N.W., 8th Floor
Washington, DC 20427
Telephone: (202) 606-8111
FAX (202) 606-4254

Federal Trade Commission
6th and Pennsylvania Avenue, N.W., Room H-700
Washington, DC 20580
Telephone: (202) 326-2258 or 326-2260
FAX (202) 382-2050

Federal Home Loan Mortgage Corporation (FREDDIE MAC)
7900 W. Park Drive, Mail Stop 915
McLean, VA 22102
Telephone: (703) 905-5329
FAX (703) 905-5404

General Accounting Office
441 G Street, N.W., Room 6851
Washington, DC 20001
Telephone: (202) 512-7751
FAX (202) 512-2658

Government Printing Office
North Capitol & H Streets, N.W., Room C-897
Washington, DC 20401
Telephone: (202) 512-1365
FAX (202) 512-1463

General Services Administration
18th and F Street, N.W., Room 6029
Washington, DC 20405
Telephone: (202) 501-1021
FAX (202) 208-5938

International Trade Commission
500 E Street, S.W., Room 214
Washington, DC 20436
Telephone: (202) 205-2732
FAX (202) 205-2150

Interstate Commerce Commission
12th and Constitution Avenue, N.W., Room 3148
Washington, DC 20423
Telephone (202) 927-7597
FAX (202) 927-5158

National Academy of Sciences
Office of Contracts and Grants
2001 Wisconsin Avenue, N.W., Room 406
Washington, DC 20007
Telephone (202) 334-2254
FAX (202) 334-2797

National Aeronautics and Space Administration
NASA Headquarters, Mail Code K, Room 9K70
300 E Street, S.W.
Washington, DC 20546
Telephone: (202) 358-2088
FAX (202) 358-3261

National Archives and Records Administration
8601 Adelphi Road, Room 4400
College Park, MD 20740-6001
Telephone: (301) 713-6750, ext. 240
FAX (301) 713-7389

National Credit Union Administration
Office of Administration
1775 Duke Street
Alexandria, VA 22314-3428
Telephone: (703) 518-6410
FAX (703) 518-6439

National Labor Relations Board
1099 14th Street, N.W., Suite 6100
Washington, DC 20570
Telephone: (202) 273-4210
FAX (202) 273-4266

National Science Foundation
4201 Wilson Blvd., Room 590
Arlington, VA 22230
Telephone: (703) 306-1330
FAX (703) 306-0298

Nuclear Regulatory Commission
11545 Rockville Pike
Rockville, MD 20852
Telephone: (301) 415-7380/7381
FAX (301) 415-5953
Mailing Address Only
USNRC
Mail Stop T-2F18
Washington, DC 20555

Office of Personnel Management
Procurement Division
Quality Assurance Branch
1900 E Street, N.W., Room 1452 - SB427
Washington, DC 20415
Telephone: (202) 606-2180
FAX (202) 606-1464

Overseas Private Investment Corporation
Sumner Square
1615 M Street, N.W.
Washington, DC 20526
Telephone: (202) 336-8520
FAX (202) 408-9859

Peace Corps
1990 K Street, N.W., Room 6368
Washington, DC 20526
Telephone: (202) 606-3513
FAX (202) 606-3009

Pennsylvania Avenue Development Corporation
1331 Pennsylvania Avenue, N.W., Suite 1220 North
Washington, DC 20004-1703
Telephone: (202) 724-9068
FAX (202) 724-0246

Railroad Retirement Board
1310 G Street, N.W., Suite 500
Washington, DC 20005
Telephone: (202) 272-7742
FAX (202) 272-7728

Small Business Administration
Director, Office of Procurement and Grants Management
409 3rd Street, S.W., 5th Floor
Washington, DC 20416
Telephone: (202) 205-6622
FAX (202) 205-6821

Smithsonian Institution
Small and Disadvantaged Business Utilization Program
915 L'Enfant Plaza, S.W.
Washington, DC 20560
Telephone: (202) 287-3508
FAX (202) 287-3490/3492

Tennessee Valley Authority
1101 Market Street, EB2B
Chattanooga, TN 37402-2801
Telephone: (615) 751-6269
FAX (615) 751-6890

United States Information Agency
400 6th Street, S.W., Room 1725
Washington, DC 20547
Telephone: (202) 205-5404
FAX (202) 401-2410

Principal Contacts at Additional Agencies

Office of Administration
EXECUTIVE OFFICE OF THE PRESIDENT
New Executive Office Building
725 17th Street, N.W., Room 5001
Washington, DC 20503
Telephone: (202) 395-7669
FAX (202) 395-3982

Office of Management and Budget
Office of Federal Procurement Policy
725 17th Street, N.W., Room 9001-NEOB
Washington, DC 20503
Telephone: (202) 395-4545/4821
FAX (202) 395-5105

FANNIE MAE
3900 Wisconsin Avenue, N.W.
Washington, DC 20016-2899
Telephone: (202) 752-3775
FAX (202) 752-3804

Library of Congress
Office of Contracts and Logistics
1701 Brightseat Road
Landover, MD 20785
Telephone: (202) 707-8612
FAX (202) 707-8611

Board for International Broadcasting
1201 Connecticut Avenue, N.W., Suite 400
Washington, DC 20036
Telephone: (202) 254-8040

Commission on Civil Rights
1121 Vermont Avenue, N.W., Room 500
Thomas Circle South
Washington, DC 20425
Telephone: (202) 523-5571

Commodity Futures Trading Commission
2033 K Street, N.W., Room 800B
Washington, DC 20581
Telephone: (202) 254-9735

Consumer Product Safety Commission
4330 East West Highway, Room 610
Bethesda, MD 20814-4408
Telephone: (301) 504-0570
FAX (301) 504-0359

Equal Employment Opportunity Commission
1801 L Street, N.W.
Washington, DC 20507
Telephone: (202) 663-4223

Federal Election Commission
999 E Street, S.W.
Washington, DC 20463
Telephone: (202) 376-5270

Federal Energy Regulation Commission
825 North Capital Street, N.E.
Washington, DC 20426
Telephone: (202) 357-8088

Federal Maritime Commission
800 N. Capital Street, Room 980
Washington, DC 20573
Telephone: (202) 523-5900

Federal Reserve System
20th and C Street, N.W.
Washington, DC 20551
Telephone: (202) 452-2631

Merit Systems Protection Board
Vermont Avenue Building
1120 Vermont Avenue, N.W., Room 884
Washington, DC 20419
Telephone: (202) 653-5806

National Capital Planning Commission
1325 G Street, N.W., 10th Floor
Washington, DC 20576
Telephone: (202) 724-0174

National Endowment for the Arts
1100 Pennsylvania Avenue, N.W.
Washington, DC 20506
Telephone: (202) 682-5482

National Endowment for the Humanities
1100 Pennsylvania Avenue, N.W.
Washington, DC 20506
Telephone: (202) 606-8233
FAX (202) 606-8243

National Transportation Safety Board
Federal Office Building 10A
800 Independence Avenue, S.W.
Washington, DC 20594
Telephone: (202) 832-6731

Occupational Safety and Health Review Commission
1825 K Street, N.W., Room 414
Washington, DC 20006
Telephone: (202) 634-6621

Securities and Exchange Commission
450 5th Street, N.W., Room 2111
Washington, DC 20549
Telephone: (202) 942-8945

Selective Service System
1023 31st Street, N.W.
Washington, DC 20435
Telephone: (202) 724-0846

U.S. Arms Control and Disarmament Agency
State Department Building
320 21st Street, N.W., Room 5840
Washington, DC 20451
Telephone: (202) 647-3708

U.S. Postal Service
475 L'Enfant Plaza, S.W., Room 3821
Washington, DC 20260-5616
Telephone: (202) 268-6578
FAX (202) 268-6573

United States Information Agency
400 6th Street, S.W., Room 1725
Washington, DC 20024
Telephone: (202) 205-5404/9662
FAX (202) 401-2410
SMALL BUSINESS INNOVATION RESEARCH REPRESENTATIVES (SBIR)

Department of Agriculture
Small Business Innovation Research Department
Department of Agriculture
Competitive Research Education Extension Service
AG Box 2243
Aerospace Building
Washington, DC 20250-2243
Telephone: (202) 401-4002

Department of Commerce
NOAA/ORTA
1315 East West Highway, Room 15342
Silver Spring, MD 20910
Telephone: (301) 713-3565

Department of Defense
Office of Small and Disadvantaged Business Utilization
3061 Defense Pentagon, Room 2A 338
Washington, DC 20301-3061
Telephone: (703) 697-1481

Department of Education
SBIR Program Coordinator
Office of Education Research and Improvement
Department of Education
Mail Stop 40
Washington, DC 20208
Telephone: (202) 219-2050

Department of Energy
SBIR Program
U.S. Department of Energy
ER-16
19901 Germantown Road
Germantown, MD 20874
Telephone: (301) 903-5867

Department of Health and Human Services
Office of Small and Disadvantaged Business Utilization
Department of Health and Human Services
200 Independence Avenue, S.W., Room 517D
Washington, DC 20201
Telephone: (202) 690-7300

Department of Transportation
SBIR Program Manager
Transportation Systems Center
Department of Transportation
Kendall Square
Cambridge, MA 02142
Telephone: (617) 494-2051

Environmental Protection Agency
Office of Research Program Management
Environmental Protection Agency
401 M Street, S.W.
Washington, DC 20460
Telephone: (202) 260-7473

National Aeronautics and Space Administration
SBIR Office - Code RB
300 E Street, S.W.
Washington, DC 20546
Telephone: (202) 358-4658

National Science Foundation
SBIR - 590
National Science Foundation
4201 Wilson Blvd.
Arlington, VA 22230
Telephone: (703) 306-1390

Nuclear Regulatory Commission
Office of Nuclear Regulatory Research
Nuclear Regulatory Commission
Two White Flint North Building
11545 Rockville Pike
Rockville, MD 20852
Telephone

DEFENSE LOGISTICS AGENCY (DLA) SERVICE CENTERS

The Defense Logistics Agency buys more than three million
different items for Department of Defense activities through the
contracting centers listed below. DLA is not responsible for the
introduction of new or improved items or for research and
development contracts. If you are interested in selling to the
military, call the appropriate small business or contracting
office listed below to obtain further information. Normally you
will be asked to complete Standard Form 129 -- a Bidder's Mailing
Application and other forms, if needed.

Defense Construction Supply Center
PO Box 3990
Columbus, OH 43216-5000
Telephone: (614) 692-3541
(800) 262-3272
FAX: (614) 692-4920

Defense Electronics Supply Center
1507 Wilmington Pike
Dayton, OH 45444-5000
Telephone: (513) 296-5231
(800) 225-9771
FAX: (513) 296-5038

Defense Fuel Supply Center
8725 John J. Kingman Street
Ft. Belvoir, VA 22060-6222
Telephone: (703) 767-9400
(800) 523-2601
(800) 468-8893 (Virginia only)
FAX: (703) 767-9452

Defense General Supply Center
8000 Jefferson Davis Hwy.
Richmond, VA 23297-5124
Telephone: (804) 279-3617/3287/3690
(800) 227-3603
(800) 544-5634 (Virginia only)
FAX: (804) 279-6615

Defense Industrial Supply Center
700 Robbins Avenue
Philadelphia, PA 19111-5096
Telephone: (215) 697-2747
(800) 831-1110
FAX: (215) 697-1043

Defense Personnel Support Center
2800 S. 20th Street
Philadelphia, PA 19101-8419
Telephone: (215) 737-2321
(800) 523-0705
FAX: (215) 737-7116

DLA ADP/T Contracting Office
8725 John J. Kingman Street
Ft. Belvoir, VA 22060-6222
Telephone: (703) 767-1191
FAX: (703) 274-6303

Defense Reutilization and Marketing Service Federal Center
74 N. Washington
Battle Creek, MI 49017-3092
Telephone: (616) 961-4762
FAX: (616) 961-4417

Defense Logistics Services Center
Federal Center
74 N. Washington
Battle Creek, MI 49017-3084
Telephone: (616) 961-4358
FAX: (616) 961-4528/4352/4265

Defense Subsistence Region Pacific
2155 Mariner Square Loop
Alameda, CA 94501-1022
Telephone: (510) 869-8054
FAX: (510) 869-8443

Defense National Stockpile Center
1745 Jefferson Davis Hwy., Suite 100
Arlington, VA 22202
Telephone: (703) 607-3235
FAX: (703) 607-3114

Defense Distribution Region West
Building S4, Sharpe Site
Lathrop, CA 95331-5108
Telephone: (209) 982-2435
FAX: (209) 982-2450

Defense Distribution Region East
Building 2001
New Cumberland, PA 17070
Telephone: (717) 770-6109/7186
FAX: (717) 770-5689

DEFENSE CONTRACT MANAGEMENT DISTRICTS (DCMDS) AND DEFENSE
CONTRACT
MANAGEMENT AREA OPERATIONS (DCMAOS)

These offices, also part of the Defense Logistics Agency, have
small business specialists assigned to them to respond to
inquiries and assist potential small business contractors.

DCMD South
805 Walker Street
Marietta, GA 30060-2789
Telephone: (404) 590-6196
(800) 331-6415
(800) 551-7801 (Georgia only)
FAX (404) 590-2612

DCMAO Atlanta
805 Walker Street
Marietta, GA 30060-2789
Telephone: (404) 590-6187
FAX (404) 590-2110

DCMAO Dallas
1200 Main Street, Room 640
PO Box 50500
Dallas, TX 75202-4399
Telephone: (214) 670-9205
(800) 255-8574
FAX (214) 573-2182

DCMAO Birmingham
2121 8th Avenue, N., Suite 104
Birmingham, AL 35203-2376
Telephone: (205) 226-4304
FAX (205) 251-5325

DCMAO Orlando
3555 Maguire Blvd.
Orlando, FL 32803-3726
Telephone: (407) 228-5113/5260
FAX (407) 228-5312

DCMAO San Antonio
15 E. Houston Street
PO Box 1040
San Antonio, TX 78294-1040
Telephone: (210) 229-4650
FAX (210) 229-6092

DCMAO Baltimore
200 Towsontown Blvd., W.
Towson, MD 21204-5299
Telephone: (410) 339-4809
FAX (410) 339-4990

DCMD Northeast
495 Summer Street, 8th Floor
Boston, MA 02210-2184
Telephone: (617) 753-4317/4318
(800) 321-1861
FAX (617) 753-3174

DCMAO Boston
495 Summer Street
Boston, MA 02210-2184
Telephone: (617) 753-4108/4109
FAX (617) 753-4005

DCMAO Garden City
605 Stewart Avenue
Garden City, Long Island, NY 11530-4761
Telephone: (516) 228-5722
FAX (516) 228-5938

DCMAO Stratford
550 Main Street
Stratford, CT 06497-7574
Telephone: (203) 385-4418
FAX (203) 385-4357

DCMAO Hartford
130 Darlin Street
E. Hartford, CT 06108-3234
Telephone: (203) 291-7715
FAX (203) 291-7992

DCMAO New York
Ft. Wadsworth
Staten Island, NY 10305
Telephone: (718) 390-1016
FAX (718) 390-1020

DCMAO Indianapolis
Building 1
Fort Benjamin Harrison, IN 46249-5701
Telephone: (317) 542-2015/2347
FAX (317) 542-2348

DCMAO Dayton
Gentile Station
1001 Hamilton Street
Dayton, OH 45444-5300
Telephone: (513) 296-5150
FAX (513) 296-5577

DCMAO Syracuse
615 Erie Blvd., W.
Syracuse, NY 13204-2408
Telephone: (315) 448-7897
FAX (315) 448-7914

DCMAO Grand Rapids
Riverview Center Building
678 Front Street, N.W.
Grand Rapids, MI 49504-5352
Telephone: (616) 456-2620/2971
FAX (616) 456-2646

DCMAO Detroit
905 McNamara Federal Building
477 Michigan Avenue
Detroit, MI 48226-2506
Telephone: (313) 226-5180
FAX (313) 226-5250

DCMAO Philadelphia
2800 S. 20th Street
PO Box 7699
Philadelphia, PA 19101-7478
Telephone: (215) 737-5818
FAX (215) 737-7046

DCMAO Reading
1125 Berkshire Blvd., Suite 160
Wyomissing, PA 19610-12494
Telephone: (610) 320-5012
FAX (610) 320-5075

DCMAO Pittsburgh
1629 William Moorhead Federal Building
1000 Liberty Avenue
Pittsburgh, PA 15222-4190
Telephone: (412) 644-5926
FAX (412) 644-5907

DCMAO Springfield
955 S. Springfield Avenue
Springfield, NJ 07081-3170
Telephone: (201) 564-7204
FAX (201) 467-5232

DCMAO Cleveland
1240 E. 9th Street
Cleveland, OH 44199-2064
Telephone: (216) 522-5446
FAX (216) 522-5387

DCMD West
222 N. Sepulveda Blvd.
El Segundo, CA 90245-4394
Telephone: (310) 335-3260/3262/3265/3285
(800) 624-7372
(800) 233-6521 (California only)
FAX (310) 335-4443

DCMAO Chicago
O'Hare International Airport
PO Box 66911
Chicago, IL 60666-0911
Telephone: (312) 825-5210
(800) 637-3848
FAX (617) 451-4005

DCMAO San Diego
7675 Dagget Street
Suite 200
San Diego, CA 92111-2241
Telephone: (619) 637-4922
FAX (619) 495-7660

DCMAO Denver
Orchard Place 2, Suite 200
5975 Greenwood Plaza Blvd.
Englewood, CO 80110-4715
Telephone: (303) 843-4381
(800) 722-8975
FAX (303) 843-4334

DCMAO San Francisco
1265 Borregas Avenue
Sunnyvale, CA 94089
Telephone: (408) 541-7041/7042
FAX (408) 541-7084

DCMAO Santa Ana
34 Civic Center Plaza
PO Box C-12700
Santa Ana, CA 92712-2700
Telephone: (714) 836-2912, x661
FAX (714) 836-2358

DCMAO St. Louis
1222 Spruce Street
St. Louis, MO 63103-2811
Telephone: (314) 331-5392
(800) 325-3419
FAX (314) 325-3419

DCMAO Van Nuys
6230 Van Nuys Blvd.
Van Nuys, CA 91401-2713
Telephone: (818) 904-6158
FAX (818) 904-6499

DCMAO Seattle
3009 112th Avenue, N.E., Suite 200
Bellevue, WA 98004-8019
Telephone: (206) 889-7317/7318
FAX (206) 889-7252

DCMAO Twin Cities
3001 Metro Drive, Suite 200
Bloomington, MN 55425-1573
Telephone: (612) 335-2003
FAX (612) 335-2054

DCMAO Wichita
U.S. Courthouse, Suite D-34
401 N. Market Street
Wichita, KS 67202-2095
Telephone: (316) 269-7137/7048
FAX (316) 269-7152

DCMAO Phoenix
The Monroe School Building
215 N. 7th Street
Phoenix, AZ 85034-1012
Telephone: (602) 379-6170, x231
FAX (602) 379-6409

U.S. GOVERNMENT BOOKSTORES

The Government Printing Office (GPO) operates U.S. government
bookstores in many areas of the country. These stores do not
stock all of the more than 12,000 titles in the GPO inventory,
but they do carry the ones you would be most likely to seek. GPO
will also order and send to you any of its publications. These
bookstores accept VISA, Mastercard and Superintendent of
Documents deposit account orders.

GPO also publishes catalogs of new publications, a U.S.
Government Information Catalog which lists publications,
periodicals and electronic products and a U.S. Government
Subscription Catalog. You can also request specific subject
bibliographies, i.e., business, small business, procurement,
etc., which are available free of charge. All of these
publications are updated on a timely basis.

Alabama
U.S. Government Bookstore
O'Neill Building
2021 Third Avenue, N.
Birmingham, AL 35203
Telephone: (205) 731-1056
FAX (205) 731-3444

California
U.S. Government Bookstore
ARCO Plaza, C-Level
505 S. Flower Street
Los Angeles, CA 90071
Telephone: (213) 239-9844
FAX (213) 239-9848

U.S. Government Bookstore
Marathon Plaza, Room 141-S
303 2nd Street
San Francisco, CA 94107
Telephone: (415) 512-2270
FAX (415) 512-2276

Colorado
U.S. Government Bookstore
Federal Building, Room 117
1961 Stout Street
Denver, CO 80294
Telephone: (303) 844-3964
FAX (303) 844-4000

U.S. Government Bookstore
Norwest Banks Building
201 W. 8th Street
Pueblo, CO 81003
Telephone: (719) 544-3142
FAX (719) 544-6719

District of Columbia
U.S. Government Bookstore
U.S. Government Printing Office
710 N. Capitol Street, N.W.
Washington, DC 20401
Telephone: (202) 512-0132
FAX (202) 512-1355

U.S. Government Bookstore
1510 H Street, N.W.
Washington, DC 20005
Telephone: (202) 653-5075
FAX (205) 376-5055

Florida
U.S. Government Bookstore
100 W. Bay Street, Suite 100
Jacksonville, FL 32202
Telephone: (904) 353-0569
FAX (904) 353-1280

Georgia
U.S. Government Bookstore
First Union Plaza
999 Peachtreet Street, N.E., Suite 120
Atlanta, GA 30309-3964
Telephone: (404) 347-1900
FAX (404) 347-1897

Illinois
U.S. Government Bookstore
One Congress Center
401 S. State Street, Suite 124
Chicago, IL 60605
Telephone: (312) 353-5133
FAX (312) 353-1590

Maryland
U.S. Government Bookstore
U.S. Government Printing Office
Warehouse Sales Outlet
8660 Cherry Lane
Laurel, MD 20707
Telephone: (301) 953-7974
(301) 792-0262
FAX (301) 498-8995

Massachusetts
U.S. Government Bookstore
Thomas P. O'Neill Building
10 Causeway Street, Room 169
Boston, MA 02222
Telephone: (617) 720-4180
FAX (617) 720-5753

Michigan
U.S. Government Bookstore
Federal Building, Suite 160
477 Michigan Avenue
Detroit, MI 48226
Telephone: (313) 226-7816
FAX (313) 226-4698

Missouri
U.S. Government Bookstore
120 Bannister Mall
5600 E. Bannister Road
Kansas City, MO 64137
Telephone: (816) 765-2256
FAX (816) 767-8233

New York
U.S. Government Bookstore
Federal Building, Room 110
26 Federal Plaza
New York, NY 10278
Telephone: (212) 264-3825
FAX (205) 264-9318

Ohio
U.S. Government Bookstore
Federal Building, Room 1653
1240 E. 9th Street
Cleveland, OH 44199
Telephone: (216) 522-4922
FAX (216) 522-4714

U.S. Government Bookstore
Federal Building, Room 207
200 N. High Street
Columbus, OH 43215
Telephone: (614) 469-6956
FAX (614) 469-5374

Oregon
U.S. Government Bookstore
1305 S.W. 1st Avenue
Portland, OR 97201-5801
Telephone: (503) 221-6217
FAX (503) 225-0563

Pennsylvania
U.S. Government Bookstore
Robert Morris Building
100 N. 17th Street
Philadelphia, PA 19103
Telephone: (215) 636-1900
FAX (215) 636-1903

U.S. Government Bookstore
Federal Building, Room 118
1000 Liberty Avenue
Pittsburgh, PA 15222
Telephone: (412) 644-2721
FAX (412) 644-4547

Texas
U.S. Government Bookstore
Federal Building, Room 1C50
1100 Commerce Street
Dallas, TX 75242
Telephone: (214) 767-0076
FAX (214) 767-3239

U.S. Government Bookstore
Texas Crude Building
801 Travis Street, Suite 120
Houston, TX 77002
Telephone: (713) 228-1187
FAX (713) 228-1186

Washington
U.S. Government Bookstore
Federal Building, Room 194
915 2nd Avenue
Seattle, WA 98174
Telephone: (206) 553-4270
FAX (206) 553-6717

Wisconsin
U.S. Government Bookstore
Reuss Federal Plaza, Suite 150
310 W. Wisconsin Avenue
Milwaukee, WI 53203
Telephone: (414) 297-1304
FAX (414) 297-1300
All stores are open Monday through Friday. Kansas City is open 7
days a week.
_________________________________________________________________

APPENDIX 3. RESOURCE BIBLIOGRAPHY

Resource Bibliography

All publications, unless otherwise indicated, can be obtained
from the Office of Small & Disadvantaged Business Utilization in
each respective department or agency (see Appendix 2).

U.S. Agency for International Development
Office of Small and Disadvantaged Business Utilization,
Guide to Doing Business with the Agency For International
Development, 1994. Cost: Free

U.S. Department of Agriculture
Office of the Secretary, Selling to The USDA, 1994. Cost: Free

U.S. Department of Commerce
Office of the Secretary, Ask OSDBU, 1991. Cost: Free

U.S. Department of Commerce
How to Sell to The United States Department of Commerce.
Includes sections on: Mission and functions of the Department of
Commerce; Getting started in federal government contracting;
OSDBU programs; What does Commerce buy?; The Small Business
Administration; Telephone directories and contacts; Useful
government publications; Glossary of procurement terms; and
Application forms, 1993. GPO 003-000-00673-5 Cost: $3.50

U.S. Department of Commerce
A Basic Guide to Exporting, 1992. Cost: $9.50.

U.S. Department of Commerce
Minority Business Development Agency, Franchise Opportunities
Handbook, 1994. Cost: $21.00.

U.S. Department of Commerce
Office of the Secretary, Sub Contracting Directory of Prime
Contractors, 1994. Cost: Free.

U.S. Department of Commerce
1995 Forecast of Contract Opportunities. Cost: Free.

U.S. Department of Defense
Directorate of Small and Disadvantaged Business Utilization,
Office of the Secretary, Selling to The Military. Covers Army,
Navy, Air Force, Defense Logistics Agency, and other Defense
agencies. Provides general information about items purchased by
the military. Also gives the locations of military purchasing
offices, 1992. Cost: $8.50

U.S. Department of Defense
Directorate of Small and Disadvantaged Business Utilization,
Office of the Secretary, Small Business Specialists, 1993. Cost:
$5.00

U.S. Department of Defense
Directorate of Small and Disadvantaged Business Utilization,
Office of the Secretary, Guide to The Defense Acquisition
Regulation for Small Business, Small Disadvantaged Business,
Women-Owned Business, 1988. Cost: $2.00

U.S. Department of Defense
DoD Electronic Commerce (EC)/Electronic Data Interchange (EDI) in
Contracting Report. Assesses the capabilities of the Electronic
Commerce (EC)/Electronic Data Interchange (EDI) infrastructure
that exists today in the Department of Defense. Sets forth a
plan for implementing an electronic commerce approach for
contracting and procurement functions, a planning estimate for
both the resources and schedule required, and an identification
of relevant policy issues. This book contains Volumes 1 and 2.
1993. GPO 008-000-00643-1. Cost: $20.00

U.S. Department of Defense
Directorate of Small and Disadvantaged Business Utilization,
Office of the Secretary, Subcontracting Opportunities with DoD
Major Prime Contractors, 1994. GPO 008-040-00201-2. Cost:
$15.00

U.S. Department of Defense
Guide to Defense Contract Finance Regulations for Small Business,
Small Disadvantaged Business, Women-Owned Small Business.
Provides useful information about DoD contracts. Includes
sections on: pre-award surveys; policies related to financing
DoD contracts; and progress payments and invoice processing.
Includes blank copies of related forms, 1988. GPO
008-000-00503-6. Cost: $2.00

U.S. Department of Energy
Office of Small and Disadvantaged Business Utilization, Doing
Business with The Department of Energy, 1994. Cost: Free

U.S. Department of Energy
Office of Procurement and Assistance Management Directorate,
Guide for The Submission of Unsolicited Proposals, 1994. Cost:
Free

U.S. Environmental Protection Agency
Office of Small and Disadvantaged Business Utilization,
Information for Prospective EPA Contractors, 1983. Cost: Free

U.S. General Services Administration
Business Service Center, Doing Business With GSA. Explains GSA
procurement programs, the products and services GSA purchases and
how to go about marketing them to GSA, 1994. Cost: Free

U.S. General Services Administration
Business Service Center. Contracting Opportunities with GSA.
Summarizes how to bid on GSA procurements and how to market goods
and services to GSA, 1994. Cost: Free

U.S. General Services Administration
Business Service Center, GSA Subcontracting Directory, Winter-
Spring, 1995. Prepared as an aid to small business and small
disadvantaged business concerns seeking subcontracting
opportunities with General Services Administration (GSA) prime
contractors. Lists the GSA contractors who have subcontracting
plans and goals. Arranged alphabetically by name of company
within each of the GSA regions, 1995. GPO 022-003-1184-6. Cost:
$3.00

U.S. Department of Health and Human Services
Office of Small and Disadvantaged Business Utilization, Doing
Business With The Department of Health and Human Services, 1993.
Cost: Free

U.S. Department of Housing and Urban Development
Office of the Secretary, Procurement Opportunity Program Guide to
Doing Business with HUD, 1984. Cost: Free

U.S. Department of Interior, Introduction to Interior
Acquisitions, 1993. Cost: Free

U.S. Department of Interior
Office of the Secretary, Forecast of Interior Acquisitions,
Guide for Small Business Fiscal Year 1995. Cost: Free

U.S. Department of Labor
Office of Small and Disadvantaged Business Utilization, What The
U.S. Department of Labor Buys, 1994. Cost: Free

U.S. Department of Labor
Small Business Handbook: Laws, Legislation & Technical
Assistance Services, 1983. Cost: Free. Contact: Consumer
Information Center, Department 6292, Pueblo, CO, 81009

U.S. Department of Labor
U.S. Department of Education
Choosing the Right Training Program; A Guidebook for Small
Business, 1994. Cost: $3.25.

U.S. National Aeronautics and Space Administration
Office of Small and Disadvantaged Business Utilization, Doing
Business with NASA, 1994. Cost: Free

U.S. National Aeronautics and Space Administration
Office of Procurement, Guidance for The Preparation and
Submission of Unsolicited Proposals, 1988. Cost: Free

U.S. National Aeronautics and Space Administration
Office of Procurement, Annual Procurement Reports, 1994. Cost:
Free

U.S. National Aeronautics and Space Administration
Office of Procurement, How to Compete for NASA Contracts, 1989.
Cost: Free

U.S. Small Business Administration
Office of Procurement Assistance, Procurement Assistance, 1992.
Cost: Free

U.S. Small Business Administration
Office of Procurement Assistance, Small Business Subcontracting
Directory, 1992. Cost: Free

U.S. Small Business Administration, U.S. Government Purchasing
and Sales Directory, 1994. Lists in alphabetical order nearly
4,000 products and services bought by the Federal Government's
major military and civilian agencies. Includes an overview of
how the government purchases goods and services as well as an
explanation of the ways in which the Small Business
Administration (SBA) can provide assistance to small firms
interested in government contracting and subcontracting
opportunities, 1994. GPO 045-000-00272-1. Cost: $24.00

U.S. Small Business Administration
Certificate of Competency: Help for Small Business Bidders.
Cost: Free.

U.S. Small Business Administration
Starting and Managing a Business From Your Home, 1986. GPO 045-
000-00232-2. Cost: $1.75.

U.S. Small Business Administration
Exporter's Guide to Federal Resources for Small Business.
Describes the major federal programs designed to assist small
business owners in exporting their goods and services. Also
identifies people in various government agencies who are able to
provide technical assistance and support to small business owners
interested in international trade. Contains: Summaries of
agency programs; Agency contacts for international trade; Talking
points of international trade; Speakers bureau; and bibliography
of major agency publications on international trade, 1992. Cost:
$4.75

U.S. Department of State
Bureau of Management, Guide to Doing Business With The Department
of State. Provides small, minority and female-owned firms with
information about the State Department's procurement program.
Also describes the State Department's acquisitions under the
Diplomatic Security and Antiterrorism Act of 1966; a list of
user office contacts; a vendor survey form; a list of federal
Offices of Small and Disadvantaged Business Utilization; a list
of subcontracting opportunities; and other information, 1994.
GPO 044-000-02421-7. Cost: $3.25

U.S. Tennessee Valley Authority
Office of Minority and Small Business Services, Doing Business
with TVA, 1993. Cost: Free

U.S. Tennessee Valley Authority
TVA Potential Suppliers Profile, 1994. Cost: Free.

U.S. Tennessee Valley Authority
The Qual-Link Partnership TVA Suppliers Handbook. Cost: Free.

U.S. Department of Transportation
Office of the Secretary, U.S. Department of Transportation
Marketing Information Package, 1994.. Cost: Free

U.S. Department of the Treasury
Office of the Secretary, Forecast of Contracting Opportunities,
1995. Cost: Free

U.S. Department of the Treasury
Office of the Secretary, What Treasury Buys, 1994. Cost: Free

U.S. Department of the Treasury
Office of Small and Disadvantaged Business Utilization, Small
Business Subcontracting Opportunities, 1994. Cost: Free

U.S. Department of the Treasury
U.S. Customs Service
Importing into the U.S., 1994. Cost: Free.

U.S. Department of Veterans Affairs
Veterans Marketing Center, Doing Business With the Department of
Veterans Affairs. Discusses doing business with: an individual
VA medical center; the VA central office; the National
Acquisition Center; and the Denver Distribution Center. Also
contains sections on: small business programs, and addresses of
VA contracting activities, 1993. GPO 051-000-00203-2. Cost:
$2.00.

National Science Foundation
Office of Small Business Research and Development, Small Business
Guide to Federal Research and Development.

Commanding Officer
Naval Publications and Form Centers
5801 Tabor Avenue
Philadelphia, PA 19120
Military Specifications and Standards

Defense Logistics Agency
Ft. Belvoir, VA
Cataloging Handbook H2-1, GPO 008-007-03261-5. Cost: $2.50

U.S. General Accounting Office
PO Box 6017
Washington, DC 20548
Bid Protest and GAO: A Descriptive Guide, 1983.

GOVERNMENT WIDE RESOURCES

All publications, unless otherwise indicated, can be obtained
from the Superintendent of Documents, U.S. Government Printing
Office, North Capitol and H Street, N.W., Washington, DC
20402-9371. Index of Federal Specifications and Standards and
Commercial Item Descriptions. Alphabetic, numeric and federal
supply classification indexes, 1994. Cost: $40.00. Individuals
should pay by money order, companies may pay by check, made
payable to Federal Supply Service Bureau.

Standard Industrial Classification Manual, 1987. GPO 041-001-
00214-2. Cost: $30.00.

Federal Register (daily Monday through Friday, except federal
holidays), GPO 022-003-800001-8. Cost: 6 months: Domestic -
$150.00; Foreign - $187.00; Year subscription price: Domestic: -
$300.00; Foreign - $375.00; Single copy: Domestic - $1.50;
Foreign- $1.90

Federal Register Index, monthly, GPO 022-003-80004-2. Cost:
Domestic - $21.00; Foreign -$26.25; no single copies.

Federal Register, What it is and How to Use It: A Guide for the
User of the Federal Register. Code of Federal Regulations
System, 1992. GPO 022-003-01041-6. Cost: $7.00

Commerce Business Daily, published by the Department of Commerce.

A synopsis of U.S. government proposed government sales and
contract awards. Issued daily, Monday-Friday. Subscription
price: Domestic - $275.00 a year; $324.00 a year (first class).
GPO 703-013-00000-7.

Source:
http://www.sba.gov/gopher/Government-Contracting/Sell/sellall.txt

Provisional Application for Patent

Since June 8, 1995, the United States Patent and Trademark Office (USPTO) has offered inventors the option of filing a provisional application for patent which was designed to provide a lower-cost first patent filing in the United States. Applicants are entitled to claim the benefit of a provisional application in a corresponding non-provisional application filed not later than 12 months after the provisional application filing date. Under the provisions of 35 U.S.C. § 119(e), the corresponding non-provisional application would benefit in three ways: (1) patentability would be evaluated as though filed on the earlier provisional application filing date, (2) the resulting publication or patent would be treated as a reference under 35 U.S.C. § 102(e) as of the earlier provisional application filing date, and (3) the twenty-year patent term would be measured from the later non-provisional application filing date. Thus, domestic applicants are placed on equal footing with foreign applicants with respect to the patent term. Inventors may file U.S. provisional applications regardless of citizenship. Note that provisional applications cannot claim the benefit of a previously filed application, either foreign or domestic. Note also that 35 U.S.C. § 112 must be complied with as discussed in the paragraph below in order to receive the benefit under 35 U.S.C. § 119(e).

The later-filed non-provisional application claiming the benefit of the provisional application must include at least one claim particularly pointing out and distinctly claiming the subject matter, which the applicant regards as the invention. See 35 U.S.C. § 112, 2nd paragraph. Although a claim is not required in a provisional application, the written description and any drawing(s) of the provisional application must adequately support the subject matter claimed in the later-filed non-provisional application in order for the later-filed non-provisional application to benefit from the provisional application filing date. Therefore, care should be taken to ensure that the disclosure filed as the provisional application adequately provides a written description of the full scope of the subject matter regarded as the invention and desired to be claimed in the later filed non-provisional application. There is no requirement that the written description and any drawings filed in a provisional application and a later-filed non-provisional application be identical, however, the later-filed non-provisional application is only entitled to the benefit of the common subject matter disclosed in the corresponding non-provisional application filed not later than 12 months after the provisional application filing date. Additionally the specification shall disclose the manner and process of making and using the invention, in such full, clear, concise and exact terms as to enable any person skilled in the art to which the invention pertains to make and use the invention and set forth the best mode contemplated for carrying out the invention. See 35 U.S.C. § 112, 1st paragraph.

A provisional application for patent is a U. S. national application for patent filed in the USPTO under 35 U.S.C. § 111(b). It allows filing without a formal patent claim, oath or declaration, or any information disclosure (prior art) statement. It provides the means to establish an early effective filing date in a non-provisional patent application filed under 35 U.S.C. § 111(a). It also allows the term "Patent Pending" to be applied.

A provisional application for patent (provisional application) has a pendency lasting 12 months from the date the provisional application is filed. The 12-month pendency period cannot be extended. Therefore, an applicant who files a provisional application must file a corresponding non-provisional application for patent (non-provisional application) during the 12-month pendency period of the provisional application in order to benefit from the earlier filing of the provisional application. In accordance with 35 U.S.C. § 119(e), the corresponding non-provisional application must contain or be amended to contain a specific reference to the provisional application within the time period and in the manner required by 37 CFR 1.78.

Once a provisional application is filed, an alternative to filing a corresponding non-provisional application is to convert the provisional application to a non-provisional application by filing a grantable petition under 37 CFR § 1.53(c)(3) requesting such a conversion within 12 months of the provisional application filing date.

However, converting a provisional application to a non-provisional application (versus filing a non-provisional application claiming the benefit of the provisional application) will have a negative impact on patent term. The term of a patent issuing from a non-provisional application resulting from the conversion of a provisional application will be measured from the original filing date of the provisional application.

By filing a provisional application first, and then filing a corresponding non-provisional application that references the provisional application within the 12-month provisional application pendency period, a patent term endpoint may be extended by as much as 12 months.

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Provisional Application for Patent Filing Date Requirements

The provisional application must be made in the name(s) of all of the inventor(s). It can be filed up to one year following the date of first sale, offer for sale, public use, or publication of the invention. (These pre-filing disclosures, although protected in the United States, may preclude patenting in foreign countries.)

A filing date will be accorded to a provisional application only when it contains:

* a written description of the invention, complying with all requirements of 35 U.S.C. §112 1st paragraph and
* any drawings necessary to understand the invention, complying with 35 U.S.C. §113.

If either of these items are missing or incomplete, no filing date will be accorded to the provisional application.

To be complete, a provisional application must also include the filing fee and a cover sheet identifying:

* the application as a provisional application for patent;
* the name(s) of all inventors;
* inventor residence(s);
* title of the invention;
* name and registration number of attorney or agent and docket number (if applicable);
* correspondence address; and
* any US Government agency that has a property interest in the application.

Form PTO/SB/16, available on the printable forms page of the USPTO website at http://www.uspto.gov/web/forms/index.html may be used as the cover sheet for a provisional application.
Filing Fee

Fees are subject to change. The current fee for a provisional application for patent can be found on the fee page. USPTO Contact Center (UCC) customer service representatives are available Monday through Friday (except Federal holidays) at 800-786-9199 to provide fee information. Payment by check or money order must be made payable to "Director of the U.S. Patent and Trademark Office".

Mail the provisional application and filing fee to:

Commissioner for Patents
P. O. Box 1450
Alexandria, VA 22313-1450

This information is general in nature and is not meant to substitute for advice provided by a patent practitioner. Applicants unfamiliar with the requirements of US patent law and procedures should consult an attorney or agent registered to practice before the USPTO.

The USPTO maintains a directory of registered patent attorneys and agents at http://www.uspto.gov/web/offices/dcom/olia/oed/roster/index.html.
Cautions

* Provisional applications are not examined on their merits.
* The benefits of the provisional application cannot be claimed if the one-year deadline for filing a non-provisional application has expired.
* Provisional applications cannot claim the benefit of a previously-filed application, either foreign or domestic.
* It is recommended that the disclosure of the invention in the provisional application be as complete as possible. In order to obtain the benefit of the filing date of a provisional application the claimed subject matter in the later filed non-provisional application must have support in the provisional application.
* If there are multiple inventors, each inventor must be named in the application.
* The inventor(s) named in the provisional application must have made a contribution to the invention as described. If multiple inventors are named, each inventor named must have made a contribution individually or jointly to the subject matter disclosed in the application.
* The non-provisional application must have one inventor in common with the inventor(s) named in the provisional application to claim benefit of the provisional application filing date.
* A provisional application must be entitled to a filing date and include the basic filing fee in order for a non-provisional application to claim benefit of that provisional application.
* There is a surcharge for filing the basic filing fee or the cover sheet on a date later than filing the provisional application.
* Provisional applications for patent may not be filed for design inventions.
* Amendments are not permitted in provisional applications after filing, other than those to make the provisional application comply with applicable regulations.
* No information disclosure statement may be filed in a provisional application.
* A provisional application cannot result in a U. S. patent unless one of the following two events occur within 12 months of the provisional application filing date:
1. a corresponding non-provisional application for patent entitled to a filing date is filed that claims the benefit of the earlier filed provisional application; or
2. a grantable petition under 37 CFR 1.53(c)(3) to convert the provisional application into a non-provisional application is filed.

Features

* provides simplified filing with a lower initial investment with one full year to assess the invention’s commercial potential before committing to the higher cost of filing and prosecuting a non-provisional application for patent;
* establishes an official United States patent application filing date for the invention;
* permits one year’s authorization to use "Patent Pending" notice in connection with the invention;
* begins the Paris Convention priority year;
* enables immediate commercial promotion of the invention with greater security against having the invention stolen;
* preserves application in confidence without publication in accordance with 35 U.S.C. 122(b), effective November 29, 2000;
* permits applicant to obtain USPTO certified copies;
* allows for the filing of multiple provisional applications for patent and for consolidating them in a single §111(a) non-provisional application for patent;
* provides for submission of additional inventor names by petition if omission occurred without deceptive intent (deletions are also possible by petition).

WARNINGS

A provisional application automatically becomes abandoned when its pendency expires 12 months after the provisional application filing date by operation of law. Applicants must file a non-provisional application claiming benefit of the earlier provisional application filing date in the USPTO before the provisional application pendency period expires in order to preserve any benefit from the provisional-application filing.

Beware that an applicant whose invention is "in use" or "on sale" (see 35 U.S.C. §102(b)) in the United States during the one-year provisional-application pendency period may lose more than the benefit of the provisional application filing date if the one-year provisional-application pendency period expires before a corresponding non-provisional application is filed. Such an applicant may also lose the right to ever patent the invention (see 35 U.S.C. §102(b)).

Effective November 29, 2000, a claim under 35 U.S.C. 119(e) for the benefit of a prior provisional application must be filed during the pendency of the non-provisional application, and within four months of the non-provisional application filing date or within sixteen months of the provisional application filing date (whichever is later). See 37 CFR 1.78 as amended effective November 29, 2000.

Independent inventors should fully understand that a provisional application will not mature into a granted patent without further submissions by the inventor. Some invention promotion firms misuse the provisional application process leaving the inventor with no patent. Back to Top
Contacts

Direct questions regarding regulations or procedures to the Office of the Deputy Commissioner for Patent Examination Policy.

Telephone: 571-272-8800
Fax: 571-273-0125

Direct questions regarding legislative changes to the Office of Congressional Relations and the Office of International Relations.

Telephone: 571-272-9300
Fax: 571-273-0085

The Inventors Assistance Center (IAC) provides patent information and services to the public. The IAC is staffed by former Supervisory Patent Examiners and experienced Primary Examiners who answer general questions concerning patent examining policy and procedure. Send e-mail to: independentinventor@uspto.gov.

For additional copies of this brochure, or for further information, contact the USPTO Contact Center.

Telephone: 800-786-9199
E-mail: usptoinfo@uspto.gov
or access USPTO's Internet site at www.uspto.gov.

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What is a plant patent?

A plant patent is granted by the Government to an inventor (or the inventor's heirs or assigns) who has invented or discovered and asexually reproduced a distinct and new variety of plant, other than a tuber propagated plant or a plant found in an uncultivated state. The grant, which lasts for 20 years from the date of filing the application, protects the inventor's right to exclude others from asexually reproducing, selling, or using the plant so reproduced. This protection is limited to a plant in its ordinary meaning:

* A living plant organism which expresses a set of characteristics determined by its single, genetic makeup or genotype, which can be duplicated through asexual reproduction, but which can not otherwise be "made" or "manufactured."
* Sports, mutants, hybrids, and transformed plants are comprehended; sports or mutants may be spontaneous or induced. Hybrids may be natural, from a planned breeding program, or somatic in source. While natural plant mutants might have naturally occurred, they must have been discovered in a cultivated area.
* Algae and macro fungi are regarded as plants, but bacteria are not.

The information presented in this publication is tailored to apply to and is limited to patents on asexually reproduced plants. While the United States Patent and Trademark Office (USPTO) does accept utility applications having claims to plants, seed, genes, etc., such practice is beyond the scope of this publication. General information regarding utility practice can be obtained by calling PTO Information Services Division at 1-800-786-9199, or from a registered patent attorney. Intellectual property protection for true breeding seed reproduced plant varieties is offered through the Plant Variety Protection Office, Beltsville, Md., which should be contacted for information regarding intellectual property protection for such crops.

Provisions and Limitations

Patents to plants which are stable and reproduced by asexual reproduction, and not a potato or other edible tuber reproduced plant, are provided for by Title 35 United States Code, Section 161 which states:

Whoever invents or discovers and asexually reproduces any distinct and new variety of plant, including cultivated sports, mutants, hybrids, and newly found seedlings, other than a tuber propagated plant or a plant found in an uncultivated state, may obtain a patent therefor, subject to the conditions and requirements of title. (Amended September 3, 1954, 68 Stat. 1190).

The provisions of this title relating to patents for inventions shall apply to patents for plants, except as otherwise provided.

As noted in the last paragraph of the statute, the plant patent must also satisfy the general requirements of patentability. The subject matter of the application would be a plant which developed or discovered by applicant, and which has been found stable by asexual reproduction. To be patentable, it would also be required:

* That the plant was invented or discovered and, if discovered, that the discovery was made in a cultivated area.
* That the plant is not a plant which is excluded by statute, where the part of the plant used for asexual reproduction is not a tuber food part, as with potato or Jerusalem artichoke.
* That the person or persons filing the application are those who actually invented the claimed plant; i.e., discovered or developed and identified or isolated the plant, and asexually reproduced the plant.
* That the plant has not been sold or released in the United States of America more than one year prior to the date of the application.
* That the plant has not been enabled to the public, i.e., by description in a printed publication in this country more than one year before the application for patent with an offer to sale; or by release or sale of the plant more than one year prior to application for patent.
* That the plant be shown to differ from known, related plants by at least one distinguishing characteristic, which is more than a difference caused by growing conditions or fertility levels, etc.
* The invention would not have been obvious to one skilled in the art at the time of invention by applicant.

Where doubt exists as to the patentability of a specific plant, a qualified legal authority should be consulted prior to applying to assure that the plant satisfies statutory requirements and is not exempted from plant patent protection.

Inventorship
Because there are two steps which constitute invention in plant applications, there may be more than one inventor. An inventor is any person who contributed to either step of invention. For example, if one person discovers a new and distinct plant and asexually reproduces the plant, such person would be a sole inventor. If one person discovered or selected a new and distinct plant, and a second person asexually reproduced the plant and ascertained that the clone(s) of the plant were identical to the original plant in every distinguishing characteristic, the second person would properly be considered a co-inventor. If either step is performed by a staff, every member of the staff who performed or contributed to the performance of either step could properly be considered a co-inventor. Thus, a plant patent may have a plurality of inventors. However, an inventor can direct that the step of asexual reproduction be performed by a custom propagation service or tissue culture enterprise and those performing the service would not be considered co-inventors.

Asexual Reproduction

Asexual reproduction is the propagation of a plant to multiply the plant without the use of genetic seeds to assure an exact genetic copy of the plant being reproduced. Any known method of asexual reproduction which renders a true genetic copy of the plant may be employed. Acceptable modes of asexual reproduction would include but may not be limited to:
Rooting Cuttings Grafting and Budding
Apomictic Seeds Bulbs
Division Slips
Layering Rhizomes
Runners Corms
Tissue Culture Nucellar Embryos

The purpose of asexual reproduction is to establish the stability of the plant. This second step of the invention must be performed with sufficient time prior to application for patent rights to allow the thorough evaluation of propagules or clones of the claimed plant for stability thus assuring that such specimens retain the identical distinguishing characteristics of the original plant.

Rights Conveyed by a Plant Patent

Grant of a patent for a plant precludes others from asexually reproducing or selling or using the patented plant. A plant patent is regarded as limited to one plant, or genome. A sport or mutant of a patented plant would not be considered to be of the same genotype, would not be covered by the plant patent to the parent plant, and would, itself, be separately patentable, subject to meeting the requirements of patentability. A plant patent expires 20 years from the filing date of the patent application. As with utility applications, when the plant patent expires, the subject matter of the patent becomes public domain.

The Application

While the formal requirements of an application for plant patent will be outlined below, anyone seeking a patent should contact the USPTO just before filing of an application, to ensure that new requirements have not been made, and that the fees filed with the application are sufficient, as such are subject to change. Filing an application without sufficient fees may result in loss of filing date and/or having to pay an additional fee (a surcharge) to reactivate the application. Filing an application which is not complete may result in the application not being accepted by the PTO, and thus may result in the loss of intellectual property rights by the applicants. Applications which are not formal when filed may also result in loss of rights. Current filing, search, and examination fees for 35 U.S.C. 161 Plant Patent Applications may be found at: http://www.uspto.gov/web/offices/ac/qs/ope/fees.htm. (Fees are subject to change.)

Legal Representation
Those seeking a plant patent should be aware that they may prosecute their applications through the services of a registered patent attorney/agent. While the PTO will not help in the selection of an attorney/agent, one seeking a plant patent should select an attorney/agent who is registered to practice before the PTO.

The USPTO maintains a directory of registered patent attorneys and agents at http://www.uspto.gov/web/offices/dcom/olia/oed/roster/index.html.

Content and Arrangement

With some exceptions, a patent application for a plant is subject to the same requirements as a utility application. Title 37 of the Code of Federal Regulations, Section 1.163(a)) requires that the specification must contain as full and complete a botanical description as reasonably possible of the plant and the characteristics which distinguish that plant over known, related plants. The components of a plant application are similar to those of a utility application and are covered by the following guidelines which illustrate the preferred layout and content for patent applications. These guidelines are suggested for use by one filing a plant patent application:

Arrangement of the Specification

The following arrangement is preferred in framing the specification and, except for the title of the invention, each of the lettered items should be preceded by the headings indicated below as tailored for application for a plant filed under 35 U.S.C. 161:
(a) Title of the Invention. The title of the invention may include an introductory portion stating the name, citizenship, and residence of the applicant.

(b) Cross­Reference to Related Applications (if any, unless included in an application data sheet). Related applications include:

* A utility application from which the claimed plant is the subject of a divisional application.
* A continuation (co-pending, newly filed application) to the same plant filed when a parent application has not been allowed to a sibling cultivar.
* An application not co-pending with an original application which was not allowed.
* Copending applications to siblings or similar plants developed by the same breeding program, etc.

(c)Statement regarding Federally-sponsored research and development (if any).

(d)Latin name of the genus and species of the plant claimed.

(e)Variety denomination.
(f) Background of the invention.

1. Field of the Invention. The field of the invention is intended to identify the botanical and market class of the invention, and to reflect how the plant will be used. This section should indicate the botanical name of the plant by genus and species, and should state the market class of the plant.

2. Description of relevant prior art including information disclosed under 37 CFR 1.97 and 1.99. Here, the parents of the claimed plant, or the known plants to which the claimed plant is related are discussed. Frequently the parent plant or plants are identified in this section and are described as to their most important or distinguishing characteristics. The claimed plant may be compared to the parent plant or plants in this section. If the parent plants are not known,the probable parent plants may be indicated. It is appropriate in this section to indicate how the plant was attained and to detail the necessary averments to how and where the plant has been asexually reproduced. This section must also include a positive statement that the clones or propagules of the claimed plant are identical to the original plant in all distinguishing characteristics so as to establish that the claimed plant is stable.

(g) Summary of the Invention. In the Summary section, the major characteristics of the plant are set forth, and they may be presented as a list of novel characteristics, or by a narrative description of the trait or traits of the plant which set the plant apart from all other plants of the botanical class and the market class of plant.

(h) Brief Description of the Drawing. Under this heading a separate brief description should be presented to describe the contents of each view or figure of the drawing. The drawing in a plant patent must show the plant with the most distinguishing characteristics of the plant in sufficient scale to be identifiable when reduced by as much as 50%. Drawings should be photographic, and must be in color where coloration is a distinguishing characteristic. Where characteristics of foliage, bark, flowers and/or fruit are distinguishing, such plant parts should be clearly depicted in one or more figures of drawing. Figures of the drawing need not be numbered unless specifically required by the examiner. Drawings must be mounted to satisfy the same requirements as drawings in a utility application.
(i) Detailed Botanical Description of the Plant. This section should be a complete botanical description of the claimed plant. Specification of the genus, species and market class may begin this section, and the parents of the claimed plant may be specified in the initial part of this section. The growth habit of the plant should be described as to the shape of the plant at maturity, and branching habit. The characteristics of the plant in winter dormancy should be completely described, if appropriate. A complete botanical description of bark, buds, blossoms, leaves, and fruit should be a part of the disclosure. Plant characteristics which are not capable of definitive, written description or which cannot be clearly shown must be given substantive attention in this portion of the application. These would include, but not are not be limited to, fragrance, taste, disease resistances, productivity, precocity, and vigor. Even if the characteristics are well depicted, the botanical characteristics must be substantively described. The descriptions in this section should be botanical in nature and should be in terms of the art of the plant. The detail of this section should be sufficient to prevent others from attempting to patent the same plant at a later date by simply describing the plant in more detail and with the allegation that the original patent did not state the characteristics being further described.
(j) Claim. A plant patent is limited to one claim. The claim shall be in formal terms to the plant as shown and described, as the claim is statutorily drawn to the plant as a whole. The claim may also make reference to one or more of the unusual characteristics of the plant, but may not claim parts or products of the plant. The claim must be in single sentence form.

(k) Abstract of the Disclosure. The abstract is a brief description of the plant and of the most notable or novel and important characteristics of the claimed plant. Preferably, the description of the plant will be a condensed review or presentation of the most distinguishing characteristics of the plant.

Preparation of the Application
While background information for specific classes of plants may be readily available, one seeking to file a plant patent application should be thoroughly familiar with the characteristics of the plant, and must assure that the plant is stable. Invention for purposes of a plant patent is a two step process:

* The first step is the discovery step which involves the identification of a novel plant. This step could be performed in any cultivated area. It could involve the identification or recognition of an off­type plant in a monoculture of a known variety or the identification of a desirable mutant which was either spontaneous or induced. Or, it could result from the identification or recognition of an outstanding individual within the progeny of a cross made in a planned breeding program.
* The second step, which consists of asexual reproduction, tests the stability of the claimed plant to assure that the plant's unique characteristics are not due to disease, infection, or exposure to agents which cause a change in the plant's appearance which is transitory and not due to a change in the genotype of the plant.

It is important that each of the above steps is satisfied before an application is filed. The inventor of a plant must have discovered or identified the novel plant, and must have asexually reproduced the plant and observed the clones so produced for a sufficient amount of time to have concluded that the clones are identical to the parent plant in all characteristics. It would be inappropriate to file an application before the second step of invention had been completed. Filing of an application before the second step of invention has been completed will result in rejection of the claim as being premature and non­statutory.

Oath or Declaration
The applicant (or applicants) for a plant patent must be the person (or persons) who has (or have) invented or discovered and asexually reproduced the new and distinct variety of plant for which the patent is sought. In addition to the averments required for a utility application's oath or declaration, those applying for a plant patent must also state that applicant(s) has or have asexually reproduced the plant. If the plant is a newly found plant, the oath or declaration must also state that the plant was found in a cultivated area.

The Drawing
Plant drawings are normally photographic, but may be presented in other mediums, such as in permanent water color renderings, which faithfully present the appearance of the plant. Such drawings are not mechanical drawings and should be artistic and competent in their execution. Figure numbers and reference characters need not be used unless specifically required by the examiner. The drawing must disclose all of the distinctive characteristics of the plant which are capable of visual representation.
Drawings may be in color. Where color is a distinguishing characteristic of the new plant, the drawing must be in color. The colors depicted must correspond with their respective color designations set forth in the specifications defined in a recognized color dictionary which is specifically identified in the specification. Two copies of color drawings must be submitted. Color drawings may be made either in permanent water color or oil. Photographs or permanently mounted color photographs are acceptable. The paper used in mounting plant drawings, in any case, must correspond in sizes, weight and quality to the paper required for other drawings, i.e., in a utility application. The margin requirements of drawings are also the same as with other patent drawings.

Drawings requirements will be strictly adhered to because the claim incorporates the drawing by reference.

Final Preparation and Assembly
Before an application is filed, the (clones of the) plant must have been carefully observed during the testing process. Because the botanical description of the plant must be reasonably complete, it would not suffice to describe just the fruit, or flower, or bark, or leaves of any specific plant, even if these plant parts were the valuable substance of the plant in commerce or the only parts seem to be distinctive or different. It would be inappropriate to describe just the bark, roots and juvenile growth of a rootstock, even if only these parts would normally would be seen by or important to the consumer who was to purchase the plant.
In preparation of a plant patent disclosure, all parts of the plant should be carefully observed through at least one growth cycle and such observations should be recorded in detail. Because many plants (like pine trees of the same species, asparagus plants, bluegrass plants, etc.) may look very similar, it may take the collective differences in a number of traits to distinguish a new cultivar. Failure to record characteristics and differences at their time of availability in the growing season could result in applicant not being able to adequately botanically describe the claimed plant when the specification is drafted. Incomplete records of a claimed plant may render it impossible to overcome defects identified in an examiner's rejection or at the very least prolong prosecution of the application.
Among the factors which must be ascertained for a reasonably complete botanical description for the claimed plant are:

* Genus and species
* Habit of growth
* Cultivar name
* Vigor
* Productivity
* Precocity (if applicable)
* Botanical characteristics of plant structures (i.e. buds, bark, foliage, flowers, fruit, etc.)
* Fertility (Fecundity)
* Other characteristics which distinguish the plant such as resistance(s) to disease, drought, cold, dampness, etc., fragrance, coloration, regularity and time of bearing, quantity or quality of extracts, rooting ability, timing or duration of flowering season, etc.

The amount of detail required in a plant patent application is determined on a case­by­case basis, and is determined by the similarity of the prior art plants to the plant being claimed. The examiner will evaluate the completeness of the application. The examiner's judgment may be tempered by the level of activity in a specific market class. The botanical description of a plant in a market class with a high level of commercial activity may require greater detail, substance and specificity than that for a plant in a market class of little activity.

The Examination
Upon filing, the application is reviewed for formalities in the USPTO Initial Processing Branch where it is assigned a serial number, assembled into a file jacket, and reviewed by application examiners for formal requirements. If found in compliance, the application is then forwarded to the examining group, where it is classified and assigned to a patent examiner. The application is then filed in chronological order, by serial number, to await examination on the merits.
When the application is taken up by the examiner, it is again examined for formalities. Points of concern in this portion of the examination include:

* Title. The title must include the market name of the plant. The name of the plant is searched to assure that it has not previously been used to describe a plant of the same botanical or market class, or is confusingly similar to an existing plant sharing the same botanical or market class.
* Oath or declaration. The oath or declaration is reviewed to assure that it is of the proper plant format noted above, that it is properly signed and dated, and it includes applicant's address.
* Presence of an Abstract. The abstract is reviewed for length and content. An abstract must be present, and should be on a separate page.
* Arrangement of the components of the specification. The application will be reviewed to ensure that each required component of the application is present, that proper headings are presented, and that each component is within the preferred arrangement presented above.

When satisfied that the application is complete and formal, the examiner will examine the disclosure on the merits. This examination will typically include assessment of:

* Completeness of botanical description. The description of the plant must be complete to the point of reasonably distinguishing the claimed plant from the most closely related plants, both patented and unpatented. If the claimed plant is of a species which has not been previously patented, the details of the specification will be compared with available descriptions of the species to assure that the specification describes at least one clearly distinguishing trait not previously described as characteristic of the species,or a combination of characteristics which are unusual within the species. If applicant's description is broad or brief, and such description falls within general descriptions of the species of claimed plant, this will form a bonafide basis of rejection. If major characteristics of the plant have not been botanically described, the disclosure will be objected to (and the claim rejected) by the examiner as incomplete with the reasoning of the examiner forming a basis for objection/rejection.

* Novelty of the claimed plant. The description of the claimed plant will be compared with the closest available prior art. Prior art constitutes those plants known and available to the skilled artisan at the time of applicant's invention. If the disclosure of the application does not distinguish the claimed plant over such previously known and available plants (either patented or unpatented) the claim will be rejected as failing to distinguish the claimed plant over the known plant. A plant patent or published botanical description of the prior art plant will be cited to establish the existence of the referenced plant. Should such a rejection be extended, it becomes incumbent on the applicant to amend the disclosure to include further botanical description of the claimed plant to distinguish over the known plant, if such is possible. Alternatively, or in addition, the applicant may argue how and why the originally filed disclosure factually distinguishes the inventive plant over the plant of the reference.

* Obviousness. The plant will be examined based on the standard statutory and court determined tests of obviousness. The factual inquiries that are applied for establishing a background for determining obviousness under Title 35 United States Code, Section 103 include:

Determining the scope and contents of the prior art;
Ascertaining any differences between the prior art and the claim at issue and if there are any in fact;
and Resolving the level of ordinary skill in the pertinent art.

The claimed plant must be indicated to have been suggested by the prior art relied on by the examiner, and must be shown to have been reasonably expected by the reference or references relied on by the examiner before such a rejection can be seen as constituting a prima facie case of obviousness. Normally, if a reasonable prima facie case of obviousness cannot be developed by the examiner, a rejection based on obviousness will not extended. Such a rejection may be extended where the prior art indicates that a known method of breeding, such as mutation induction breeding, using known and effective mutagens in dosages known to work, would reasonably be expected to result in mutation in a specific direction and of a specific magnitude, or where the prior art might suggest reasonable results after attempts to alter a plant through known processes. Examples include the tissue culture of diverse genotypes of a chimera to separate the different genotypes, or the application of colchicine to plant cells to double chromosome numbers.

If the application is formal, complete and determined by the examiner to be drawn to a plant which was both novel and unobvious, the application will be allowed by the examiner and a notice of allowance forwarded to the applicant.

Once allowed by the examiner, the application will be forwarded to the USPTO Issue Branch, where it will await payment of the issue fee by applicant. Upon payment of the issue fee, the application will be published in due course.
Helpful Hints

* Make every attempt not to present a name for the plant which has already been used or is confusingly similar to a plant of the same market or botanical class. Search old catalogs and available international register listings before assigning a name to a plant.
* File all drawings in duplicate. Be sure that two formally mounted sets of drawings accompany the application when filed, and that these are of reasonable fidelity to the specified colors of the plant. Be sure that the scale and clarity of the drawings are appropriate to allow for adequate reproduction even if reduced in scale upon publishing. Include a transmittal sheet which itemizes the contents of the application as filed.
* File each individual application in a separate envelope, and be sure to include all of the parts of each application in the same envelope. Include a self-addressed postcard itemizing all of the components of the application (see MPEP § 503) for return to applicant with a preliminary indication of the serial number of the application.
* Model the application after a patent of acceptable format and content which describes a plant which is related to or in the same market class as the claimed plant, if one is available.
* Check that the oath or declaration is that required for a plant patent application. Ensure that the oath or declaration has been signed and permanent ink or its equivalent, and is signed no earlier than three months prior to the filing of the application. Check that the mailing address of the inventor(s) is/are correct and complete.
* Where color is a distinguishing characteristic of the plant, specify the color of the plant as defined by reference to an established color dictionary which is recognized in this country.
* Be sure that drawings filed are complete, correctly mounted, and reasonably correspond with the colors of the plant which are specified and to the true and characteristic plant coloration.
* Include the appropriate filing fee, search fee, and examination fee with the application to avoid processing delays.
* Direct pre­examination questions concerning the application to the Examiner, by telephone,to expedite prosecution. Include a current telephone number with all correspondence with the USPTO.

Correspondence

New patent applications should be mailed to:

Commisioner for Patents
P.O. Box 1450
Alexandria, VA 22313-1450

Telephone Inquiry Contacts

Any inquiry concerning this publication may be extended to Primary Examiner Howard J. Locker at (571) 272-0980, Examiner Kent Bell at (571) 272-0973 or Bruce Campell at (571) 272-0974.

Guide To Filing A Design Patent Application

U.S. Department of Commerce
Patent and Trademark Office
Mail Stop Comments--Patents

Commissioner for Patents

P.O. Box 1450

Alexandria, VA 22313-1450

Definition of a Design

A design consists of the visual ornamental characteristics embodied in, or applied to, an article of manufacture. Since a design is manifested in appearance, the subject matter of a design patent application may relate to the configuration or shape of an article, to the surface ornamentation applied to an article, or to the combination of configuration and surface ornamentation. A design for surface ornamentation is inseparable from the article to which it is applied and cannot exist alone. It must be a definite pattern of surface ornamentation, applied to an article of manufacture.

In discharging its patent-related duties, the United States Patent and Trademark Office (USPTO or Office) examines applications and grants patents on inventions when applicants are entitled to them. The patent law provides for the granting of design patents to any person who has invented any new, original and ornamental design for an article of manufacture. A design patent protects only the appearance of the article and not structural or utilitarian features. The principal statutes (United States Code) governing design patents are:

35 U.S.C. 171
35 U.S.C. 172
35 U.S.C. 173
35 U.S.C. 102
35 U.S.C. 103
35 U.S.C. 112
35 U.S.C. 132

The rules (Code of Federal Regulations) pertaining to the drawing disclosure of a design patent application are:

37 CFR § 1.84
37 CFR § 1.152
37 CFR § 1.121

The following additional rules have been referred to in this guide:

37 CFR § 1.3
37 CFR § 1.63
37 CFR § 1.76
37 CFR § 1.153
37 CFR § 1.154
37 CFR § 1.155

A copy of these laws and rules is included at the end of this guide.

The practice and procedures relating to design applications are set forth in chapter 1500 of the Manual of Patent Examining Procedure (MPEP). Inquiries relating to the sale of the MPEP should be directed to the Superintendent of Documents, United States Government Printing Office, Washington, D.C. 20402. Telephone: 202.512.1800.

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Types of Designs and Modified Forms

An ornamental design may be embodied in an entire article or only a portion of an article, or may be ornamentation applied to an article. If a design is directed to just surface ornamentation, it must be shown applied to an article in the drawings, and the article must be shown in broken lines, as it forms no part of the claimed design.

A design patent application may only have a single claim (37 CFR § 1.153). Designs that are independent and distinct must be filed in separate applications since they cannot be supported by a single claim. Designs are independent if there is no apparent relationship between two or more articles. For example, a pair of eyeglasses and a door handle are independent articles and must be claimed in separate applications. Designs are considered distinct if they have different shapes and appearances even though they are related articles. For example, two vases having different surface ornamentation creating distinct appearances must be claimed in separate applications. However, modified forms, or embodiments of a single design concept may be filed in one application. For example, vases with only minimal configuration differences may be considered a single design concept and both embodiments may be included in a single application.

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The Difference Between Design and Utility Patents

In general terms, a “utility patent” protects the way an article is used and works (35 U.S.C. 101), while a "design patent" protects the way an article looks (35 U.S.C. 171). Both design and utility patents may be obtained on an article if invention resides both in its utility and ornamental appearance. While utility and design patents afford legally separate protection, the utility and ornamentality of an article are not easily separable. Articles of manufacture may possess both functional and ornamental characteristics.

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Improper Subject Matter for Design Patents

A design for an article of manufacture that is dictated primarily by the function of the article lacks ornamentality and is not proper statutory subject matter under 35 U.S.C. 171. Specifically, if at the time the design was created, there was no unique or distinctive shape or appearance to the article not dictated by the function that it performs, the design lacks ornamentality and is not proper subject matter. In addition, 35 U.S.C. 171 requires that a design to be patentable must be “original.” Clearly a design that simulates a well-known or naturally occurring object or person is not original as required by the statute. Furthermore, subject matter that could be considered offensive to any race, religion, sex, ethnic group, or nationality is not proper subject matter for a design patent application (35 U.S.C. 171 and 37 CFR § 1.3).

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Invention Development Organizations

Invention Development Organizations (IDO) are private and public consulting and marketing businesses that exist to help inventors bring their inventions to market, or to otherwise profit from their ideas. While many of these organizations are legitimate, some are not. Be wary of any IDO that is willing to promote your invention or product without making a detailed inquiry into the merits of your idea and giving you a full range of options which may or may not include the pursuit of patent protection. Some IDOs will automatically recommend that you pursue patent protection for your idea with little regard for the value of any patent that may ultimately issue. For example, an IDO may recommend that you add ornamentation to your product in order to render it eligible for a design patent, but not really explain to you the purpose or effect of such a change. Because design patents protect only the appearance of an article of manufacture, it is possible that minimal differences between similar designs can render each patentable. Therefore, even though you may ultimately receive a design patent for your product, the protection afforded by such a patent may be somewhat limited. Finally, you should also be aware of the broad distinction between utility and design patents, and realize that a design patent may not give you the protection desired.

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Elements of a Design Patent Application

The elements of a design patent application should include the following:

(1) Preamble, stating name of the applicant, title of the design, and a brief description of the nature and intended use of the article in which the design is embodied;

(2) Cross-reference to related applications (unless included in the application data sheet).

(3) Statement regarding federally sponsored research or development.

(4) Description of the figure(s) of the drawing;

(5) Feature description;

(6) A single claim;

(7) Drawings or photographs;

(8) Executed oath or declaration.

In addition, the filing fee, search fee, and examination fee are also required. If applicant is a small entity, (an independent inventor, a small business concern, or a non-profit organization), these fees are reduced by half.

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The Preamble

The Preamble, if included, should state the name of the applicant, the title of the design, and a brief description of the nature and intended use of the article in which the design is embodied. All information contained in the preamble will be printed on the patent, should the claimed design be deemed patentable.

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The Title

The Title of the design must identify the article in which the design is embodied by the name generally known and used by the public. Marketing designations are improper as titles and should not be used. A title descriptive of the actual article aids the examiner in developing a complete field of search of the prior art. It further aids in the proper assignment of new applications to the appropriate class, subclass, and patent examiner, as well as the proper classification of the patent upon allowance of the application. It also helps the public in understanding the nature and use of the article embodying the design after the patent has been published. Thus, applicants are encouraged to provide a specific and descriptive title.

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The Figure Descriptions

The Figure Descriptions indicate what each view of the drawings represents, i.e., front elevation, top plan, perspective view, etc.

Any description of the design in the specification, other than a brief description of the drawing, is generally not necessary since, as a general rule, the drawing is the design's best description. However, while not required, a special description is not prohibited.

In addition to the figure descriptions, the following types of statements are permissible in the specification:

1. A description of the appearance of portions of the claimed design which are not illustrated in the drawing disclosure (i.e., “the right side elevational view is a mirror image of the left side”).

2. Description disclaiming portions of the article not shown, that form no part of the claimed design.

3.Statement indicating that any broken line illustration of environmental structure in the drawing is not part of the design sought to be patented.

4.Description denoting the nature and environmental use of the claimed design, if not included in the preamble.

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A Single Claim

A design patent application may only include a single claim. The claim defines the design which applicant wishes to patent, in terms of the article in which it is embodied or applied. The claim must be in formal terms to “The ornamental design for (the article which embodies the design or to which it is applied) as shown.” The description of the article in the claim should be consistent in terminology with the title of the invention.

When there is a properly included special description of the design in the specification, or a proper showing of modified forms of the design, or other descriptive matter has been included in the specification, the words “and described” should be added to the claim following the term “shown.” The claim should then read “The ornamental design for (the article which embodies the design or to which it is applied) as shown and described.”

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Drawings or Black and White Photographs

The drawing disclosure is the most important element of the application. Every design patent application must include either a drawing or a black and white photograph of the claimed design. As the drawing or photograph constitutes the entire visual disclosure of the claim, it is of utmost importance that the drawing or photograph be clear and complete, that nothing regarding the design sought to be patented is left to conjecture. The design drawing or photograph must comply with the disclosure requirements of 35 U.S.C. 112, first paragraph. To meet the requirements of 35 U.S.C. 112, the drawings or photographs must include a sufficient number of views to constitute a complete disclosure of the appearance of the design claimed.

Drawings are normally required to be in black ink on white paper. Black and white photographs, in lieu of drawings, are permitted subject to the requirements of 37 CFR §1.84(b)(1) and §1.152. Applicant should refer to these rules, included at the end of this guide. These rules set forth in detail the requirements for proper drawings in a design patent application.

Black and white photographs submitted on double weight photographic paper must have the drawing figure number entered on the face of the photograph. Photographs mounted on Bristol board may have the figure number shown in black ink on the Bristol board, proximate the corresponding photograph.

Black and white photographs and ink drawings must not be combined in a formal submission of the visual disclosure of the claimed design in one application. The introduction of both photographs and ink drawings in a design application would result in a high probability of inconsistencies between corresponding elements on the ink drawings as compared with the photographs. Photographs submitted in lieu of ink drawings must not disclose environmental structure but must be limited to the claimed design itself.

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Color Drawings or Color Photographs

The Office will accept color drawings or photographs in design patent applications only after the granting of a petition filed under 37 CFR §1.84(a)(2), explaining why the color drawings or photographs are necessary. Any such petition must include the fee set forth in 37 CFR § 1.17(h), three sets of color drawings or photographs, and the specification must contain the following language before the description of the drawings:

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

If color photographs are submitted as informal drawings and the applicant does not consider the color to be part of the claimed design, a disclaimer should be added to the specification as follows: “The color shown on the claimed design forms no part thereof.” Color will be considered an integral part of the disclosed and claimed design in the absence of a disclaimer filed with the original application. A disclaimer may only be used when filing color photographs as informal drawings, as 37 CFR §1.152 requires that the disclosure in formal photographs be limited to the design for the article claimed.

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The Views

The drawings or photographs should contain a sufficient number of views to completely disclose the appearance of the claimed design, i.e., front, rear, right and left sides, top and bottom. While not required, it is suggested that perspective views be submitted to clearly show the appearance and shape of three-dimensional designs. If a perspective view is submitted, the surfaces shown would normally not be required to be illustrated in other views if these surfaces are clearly understood and fully disclosed in the perspective.

Views that are merely duplicates of other views of the design or that are merely flat and include no ornamentality may be omitted from the drawing if the specification makes this explicitly clear. For example, if the left and right sides of a design are identical or a mirror image, a view should be provided of one side and a statement made in the drawing description that the other side is identical or a mirror image. If the bottom of the design is flat, a view of the bottom may be omitted if the figure descriptions include a statement that the bottom is flat and unornamented. The term "unornamented" should not be used to describe visible surfaces that include structure that is clearly not flat. In some cases, the claim may be directed to an entire article, but because all sides of the article may not be visible during normal use, it is not necessary to disclose them. A sectional view which more clearly brings out elements of the design is permissible, however a sectional view presented to show functional features, or interior structure not forming part of the claimed design, is neither required nor permitted.

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Surface Shading

The drawing should be provided with appropriate surface shading which shows clearly the character and contour of all surfaces of any three-dimensional aspects of the design. Surface shading is also necessary to distinguish between any open and solid areas of the design. Solid black surface shading is not permitted except when used to represent the color black as well as color contrast. Lack of appropriate surface shading in the drawing as filed may render the shape and contour of the design nonenabling under 35 U.S.C. 112, first paragraph. Additionally, if the shape of the design is not evident from the disclosure as filed, addition of surface shading after filing may be viewed as new matter. New matter is anything that is added to, or from, the claim, drawings or specification, that was neither shown nor suggested in the original application (see 35 U.S.C. 132 and 37 CFR § 1.121, at the end of this guide).

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Broken Lines

A broken line disclosure is understood to be for illustrative purposes only and forms no part of the claimed design. Structure that is not part of the claimed design, but is considered necessary to show the environment in which the design is used, may be represented in the drawing by broken lines. This includes any portion of an article in which the design is embodied or applied to that is not considered part of the claimed design. When the claim is directed to just surface ornamentation for an article, the article in which it is embodied must be shown in broken lines.

In general, when broken lines are used, they should not intrude upon or cross the showing of the claimed design and should not be of heavier weight than the lines used in depicting the claimed design. Where a broken line showing of environmental structure must necessarily cross or intrude upon the representation of the claimed design and obscures a clear understanding of the design, such an illustration should be included as a separate figure in addition to the other figures which fully disclose the subject matter of the design.

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The Oath or Declaration

The oath or declaration required of the applicant must comply with the requirements set forth in 37 CFR §1.63.

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Disclosure Examples

So that the applicant will better understand what constitutes a complete disclosure, examples of drawing disclosures and their accompanying specifications are provided on the following pages.

Disclosure Examples

Example 1-Disclosure Of The Entire Article

I, John Doe, have invented a new design for a jewelry cabinet, as set forth in the following specification. The claimed jewelry cabinet is used to store jewelry and could sit on a bureau.

Fig. 1 is a front elevational view of a jewelry cabinet showing my new design;

Fig. 2 is a rear elevational view thereof;

Fig. 3 is a left side elevational view thereof;

Fig. 4 is a right side elevational view thereof;

Fig. 5 is a top plan view thereof; and

Fig. 6 is a bottom plan view thereof.

I claim: the ornamental design for a jewelry cabinet as shown.

Specification

Drawing Disclosure

Disclosure Examples

Example 2-Disclosure of only the surfaces of an article that are visible during use (no bottom view or description necessary)

I, John Doe, have invented a new design for a jewelry cabinet, as set forth in the following specification. The claimed jewelry cabinet is used for storing jewelry and could sit on a bureau.

Fig. 1 is a front elevational view of a jewelry cabinet showing my new design;

Fig. 2 is a rear elevational view thereof;

Fig. 3 is a left side elevational view thereof;

Fig. 4 is a right side elevational view thereof;

Fig. 5 is a top plan view thereof.

I claim: the ornamental design for a jewelry cabinet as shown.

Specification

Drawing Disclosure

Disclosure Examples

Example 3-Disclosure of only the surfaces of an article that are visible during use - The rear view disclosed by description

I, John Doe, have invented a new design for a jewelry cabinet, as set forth in the following specification. The claimed jewelry cabinet is used for storing jewelry and could sit on a bureau.

Fig. 1 is a front elevational view of a jewelry cabinet showing my new design;

Fig. 2 is a left side elevational view thereof;

Fig. 3 is a right side elevational view thereof; and

Fig. 4 is a top plan view thereof.

The rear of the jewelry cabinet is flat and unornamented.

I claim: the ornamental design for a jewelry cabinet as shown and described.

Specification

Drawing Disclosure

Disclosure Examples

Example 4-Disclosure of a surface pattern as claimed design, applied to an article

I, John Doe, have invented a new design for a surface pattern applied to a jewelry cabinet, as set forth in the following specification.

Fig. 1 is a front elevational view of a surface pattern applied to a jewelry cabinet showing my new design;

Fig. 2 is a left side elevational view thereof, the right side being a mirror image.

The jewelry cabinet is shown in broken lines for illustrative purposes only and forms no part of the claimed design.

I claim: the ornamental design for a surface pattern applied to a jewelry cabinet as shown and described.

Specification

Drawing Disclosure

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The Design Patent Application Process

The preparation of a design patent application and the conducting of the proceedings in the USPTO to obtain the patent is an undertaking requiring the knowledge of patent law and rules and Patent and Trademark Office practice and procedures. A patent attorney or agent specially trained in this field is best able to secure the greatest patent protection to which applicant is entitled. It would be prudent to seek the services of a registered patent attorney or agent. Representation, however, is not required. A knowledgeable applicant may successfully prosecute his or her own application. However, while persons not skilled in this work may obtain a patent in many cases, there is no assurance that the patent obtained would adequately protect the particular design.

Of primary importance in a design patent application is the drawing disclosure, which illustrates the design being claimed. Unlike a utility application, where the "claim" describes the invention in a lengthy written explanation, the claim in a design patent application protects the overall visual appearance of the design, “described” in the drawings. It is essential that the applicant present a set of drawings (or photographs) of the highest quality which conform to the rules and standards which are reproduced in this guide. Changes to these drawings after the application has been filed, may introduce new matter, which is not permitted by law (35 U.S.C. 132). It is in applicant's best interest to ensure that the drawing disclosure is clear and complete prior to filing the application, since an incomplete or poorly prepared drawing may result in a fatally defective disclosure which cannot become a patent. It is recommended that applicant retain the services of a professional draftsperson who specializes in preparing design patent drawings. Examples of acceptable drawings and drawing disclosures are included in this Guide so that applicant will have some idea of what is required and can prepare the drawings accordingly.

Filing An Application

In addition to the drawing disclosure, certain other information is necessary. While no specific format is required, it is strongly suggested that applicant follow the formats presented to ensure that the application is complete.

When a complete design patent application, along with the appropriate filing fee, is received by the Office, it is assigned an Application Number and a Filing Date. A "Filing Receipt" containing this information is sent to the applicant. The application is then assigned to an examiner. Applications are examined in order of their filing date.

Examination

The actual “examination” entails checking for compliance with formalities, ensuring completeness of the drawing disclosure and a comparison of the claimed subject matter with the “prior art.” “Prior art” consists of issued patents and published materials. If the claimed subject matter is found to be patentable, the application will be “allowed,” and instructions will be provided to applicant for completing the process to permit issuance as a patent.

The examiner may reject the claim in the application if the disclosure cannot be understood or is incomplete, or if a reference or combination of references found in the prior art, shows the claimed design to be unpatentable. The examiner will then issue an Office action detailing the rejection and addressing the substantive matters which effect patentability.

This Office action may also contain suggestions by the examiner for amendments to the application. Applicant should keep this Office action for his or her files, and not send it back to the Office.

Response

If, after receiving an Office action, applicant elects to continue prosecution of the application, a timely reply to the action must be submitted. This reply should include a request for reconsideration or further examination of the claim, along with any amendments desired by the applicant, and must be in writing. The reply must distinctly and specifically point out the supposed errors in the Office action and must address every objection and/or rejection in the action. If the examiner has rejected the claim over prior art, a general statement by the applicant that the claim is patentable, without specifically pointing out how the design is patentable over the prior art, does not comply with the rules.

In all cases where the examiner has said that a reply to a requirement is necessary, or where the examiner has indicated patentable subject matter, the reply must comply with the requirements set forth by the examiner, or specifically argue each requirement as to why compliance should not be required.

In any communication with the Office, applicant should include the following items:

1. Application number (checked for accuracy).

2. Group art unit number (copied from filing receipt or the most recent Office action).

3. Filing date.

4. Name of the examiner who prepared the most recent Office action.

5. Title of invention.

It is applicant's responsibility to make sure that the reply is received by the Office prior to the expiration of the designated time period set for reply. This time period is set to run from the “Date Mailed,” which is indicated on the first page of the Office action. If the reply is not received within the designated time period, the application will be considered abandoned. In the event that applicant is unable to reply within the time period set in the Office action, abandonment may be prevented if a reply is filed within six months from the mail date of the Office action provided a petition for extension of time and the fee set forth in 37 CFR § 1.17(a) are filed. The fee is determined by the amount of time requested, and increases as the length of time increases. These fees are set by Rule and could change at any time. An “Extension of Time” does not have to be obtained prior to the submission of a reply to an Office action; it may be mailed along with the reply. See insert for schedule of current fees. Note: an extension of time cannot be obtained when responding to a “Notice of Allowance and Fee(s) Due.”

To ensure that a time period set for reply to an Office action is not missed; a “Certificate of Mailing” should be attached to the reply. This “Certificate” establishes that the reply is being mailed on a given date. It also establishes that the reply is timely, if it was mailed before the period for reply had expired, and if it is mailed with the United States Postal Service. A “Certificate of Mailing” is not the same as “Certified Mail.” A suggested format for a Certificate of Mailing is as follows:

“I hereby certify that this correspondence is being deposited with the United States Postal Service as first class mail in an envelope addressed to: Commissioner for Patents, PO Box 1450, Alexandria, Virginia 22313-1450, on (DATE MAILED)”

(Name - Typed or Printed)

––––––––––––––––––––––––––––––––––––––––––

Signature__________________________________

Date______________________________________

If a receipt for any paper filed in the USPTO is desired, applicant should include a stamped, self-addressed postcard, which lists, on the message side applicant's name and address, the application number, and filing date, the types of papers submitted with the reply (i.e., 1 sheet of drawings, 2 pages of amendments, 1 page of an oath/declaration, etc.) This postcard will be stamped with the date of receipt by the mailroom and returned to applicant. This postcard will be applicant's evidence that the reply was received by the Office on that date.

If applicant changes his or her mailing address after filing an application, the Office must be notified in writing of the new address. Failure to do so will result in future communications being mailed to the old address, and there is no guarantee that these communications will be forwarded to applicant's new address. Applicant's failure to receive, and properly reply to these Office communications will result in the application being held abandoned. Notification of “Change of Address” should be made by separate letter, and a separate notification should be filed for each application.

Reconsideration

Upon submission of a reply to an Office action, the application will be reconsidered and further examined in view of applicant's remarks and any amendments included with the reply. The examiner will then either withdraw the rejection and allow the application or, if not persuaded by the remarks and/or amendments submitted, repeat the rejection and make it Final. Applicant may file an appeal with the Board of Patent Appeals and Interferences after given a final rejection or after the claim has been rejected twice. Applicant may also file a new application prior to the abandonment of the original application, claiming benefit of the earlier filing date. This will allow continued prosecution of the claim.

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Drawing Examples

The two types of shading commonly employed in design patent application drawings are straight-line surface shading and stippling. Individually or in combination, they can effectively represent the character and contour of most surfaces.

Straight-line Surface Shading

Stippling

Combination of Straight Line Shading and Stippling

Note that both stippling and straight-line surface shading, while permissible on the same object to show surface contrast, should not be used together on the same surface.

Transparent Materials

Note that elements visible behind transparent surfaces should be shown in light, full lines, not broken lines.

Broken Line Disclosure

Broken lines may be used to show environment and boundaries that form no part of the claimed design.

Exploded View

An exploded view is only supplementary to a fully assembled view. A bracket must be employed to show the association of elements.

Set of Game Components- Fully Assembled View

Alternate Positions

The alternate positions of a design, or an element of the design, must be shown in separate views.

Indeterminate Length

Note the use of a separation and a bracket to indicate that, for ease of illustration, the precise length of the molding is not claimed.

Cross-sectional View

Cross-sections may be employed to clarify the disclosure and to minimize the number of views.

Multiple Embodiments

Multiple embodiments of a single concept may be filed in one design application, so long as their appearance and shape are similar, as shown below.

Symbols for Draftsmen

Graphical symbols for conventional elements may be used on the drawing when appropriate, subject to approval by the Office.

NOTES: In general, in lieu of a symbol, a conventional element, combination or circuit may be shown by an appropriately labeled rectangle, square or circle; abbreviations should not be used unless their meaning is evident and not confusing with the abbreviations used in the suggested symbols.

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Patent Laws That Apply to Design Patent Applications

35 U.S.C. 102 Conditions for patentability; novelty and loss of right to patent

A person shall be entitled to a patent unless -

(a) the invention was known or used by others in this country, or patented or described in a printed publication in this or a foreign country, before the invention thereof by the applicant for patent, or

(b) the invention was patented or described in a printed publication in this or a foreign country or in public use or on sale in this country, more than one year prior to the date of the application for patent in the United States,

or

(c) he has abandoned the invention,

or

(d) the invention was first patented or caused to be patented, or was the subject of an inventor's certificate, by the applicant or his legal representatives or assigns in a foreign country prior to the date of the application for patent in this country on an application for patent or inventor's certificate filed more than twelve months before the filing of the application in the United States,

or

(e) the invention was described in — (1) an application for patent, published under section 122(b), by another filed in the United States before the invention by the applicant for patent or (2) a patent granted on an application for patent by another filed in the United States before the invention by the applicant for patent, except that an international application filed under the treaty defined in section 351(a) shall have the effects for the purposes of this subsection of an application filed in the United States only if the international application designated the United States and was published under Article 21(2) of such treaty in the English language; or

(f) he did not himself invent the subject matter sought to be patented,

or

(g) (1) during the course of an interference conducted under section 135 or section 291, another inventor involved therein establishes, to the extent permitted in section 104, that before such person's invention thereof the invention was made by such other inventor and not abandoned, suppressed, or concealed, or (2) before such person's invention thereof, the invention was made in this country by another inventor who had not abandoned, suppressed, or concealed it. In determining priority of invention under this subsection, there shall be considered not only the respective dates of conception and reduction to practice of the invention, but also the reasonable diligence of one who was first to conceive and last to reduce to practice, from a time prior to conception by the other.

35 U.S.C. 103 Conditions for patentability; non-obvious subject matter

(a) A patent may not be obtained though the invention is not identically disclosed or described as set forth in section 102 of this title, if the differences between the subject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a person having ordinary skill in the art to which said subject matter pertains. Patentability shall not be negatived by the manner in which the invention was made.

(b) (1) Notwithstanding subsection (a), and upon timely election by the applicant for patent to proceed under this subsection, a biotechnological process using or resulting in a composition of matter that is novel under section 102 and nonobvious under subsection (a) of this section shall be considered nonobvious if-

(A) claims to the process and the composition of matter are contained in either the same application for patent or in separate applications having the same effective filing date;

and

(B) the composition of matter, and the process at the time it was invented, were owned by the same person or subject to an obligation of assignment to the same person.

(2) A patent issued on a process under paragraph (1)-

(A) shall also contain the claims to the composition of matter used in or made by that process,

or

(B) shall, if such composition of matter is claimed in another patent, be set to expire on the same date as such other patent, notwithstanding section 154.

(3) For purposes of paragraph (1), the term “biotechnological process” means-

(A) a process of genetically altering or otherwise inducing a single- or multi-celled organism to-

(i) express an exogenous nucleotide sequence,

(ii) inhibit, eliminate, augment, or alter expression of an endogenous nucleotide sequence,

or

(iii) express a specific physiological characteristic not naturally associated with said organism;

(B) cell fusion procedures yielding a cell line that expresses a specific protein, such as a monoclonal antibody;

and

(C) a method of using a product produced by a process defined by subparagraph (A) or (B), or a combination of subparagraphs (A) and (B).

(c)(1) Subject matter developed by another person, which qualifies as prior art only under one or more of subsections (e), (f), and (g) of section 102 of this title, shall not preclude patentability under this section where the subject matter and the claimed invention were, at the time the invention was made, owned by the same person or subject to an obligation of assignment to the same person.

(2) For purposes of this subsection, subject matter developed by another person and a claimed invention shall be deemed to have been owned by the same person or subject to an obligation of assignment to the same person if—

(A) the claimed invention was made by or on behalf of parties to a joint research agreement that was in effect on or before the date the claimed invention was made;

(B) the claimed invention was made as a result of activities undertaken within the scope of the joint research agreement; and

(C) the application for patent for the claimed invention discloses or is amended to disclose the names of the parties to the joint research agreement.

(3) For purposes of paragraph (2), the term “joint research agreement”means a written contract, grant, or cooperative agreement entered into by two or more persons or entities for the performance of experimental, developmental, or research work in the field of the claimed invention.

35 U.S.C. 112 Specification

The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor of carrying out his invention.

The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter, which the applicant regards as his invention.

A claim may be written in independent or, if the nature of the case admits, in dependent or multiple dependent form.

Subject to the following paragraph, a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers.

A claim in multiple dependent form shall contain a reference, in the alternative only, to more than one claim previously set forth and then specify a further limitation of the subject matter claimed. A multiple dependent claim shall not serve as a basis for any other multiple dependent claim. A multiple dependent claim shall be construed to incorporate by reference all the limitations of the particular claim in relation to which it is being considered.

An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.

35 U.S.C. 132 Notice of rejection; reexamination

(a) Whenever, on examination, any claim for a patent is rejected, or any objection or requirement made, the Director shall notify the applicant thereof, stating the reasons for such rejection, or objection or requirement, together with such information and references as may be useful in judging of the propriety of continuing the prosecution of his application; and if after receiving such notice, the applicant persists in his claim for a patent, with or without amendment, the application shall be reexamined. No amendment shall introduce new matter into the disclosure of the invention.

(b) The Director shall prescribe regulations to provide for the continued examination of applications for patent at the request of the applicant. The Director may establish appropriate fees for such continued examination and shall provide a 50 percent reduction in such fees for small entities that qualify for reduced fees under section 41(h)(1) of this title.

35 U.S.C. 171 Patents for designs

Whoever invents any new, original, and ornamental design for an article of manufacture may obtain a patent therefor, subject to the conditions and requirements of this title.

The provisions of this title relating to patents for inventions shall apply to patents for designs, except as otherwise provided.

35 U.S.C. 172 Right of priority

The right of priority provided for by subsections (a) through (d) of section 119 of this title and the time specified in section 102(d) shall be six months in the case of designs. The right of priority provided for by section 119(e) of this title shall not apply to designs.

35 U.S.C. 173 Term of design patent

Patents for designs shall be granted for the term of fourteen years from the date of grant.

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Patent Rules That Apply to Design Patent Applications

37 CFR 1.3 Business to be conducted with decorum and courtesy

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

37 CFR 1.63 Oath or declaration

(a) An oath or declaration filed under § 1.51(b)(2), as a part of a nonprovisional application must:

(1) Be executed, i.e., signed, in accordance with either § 1.66 or § 1.68. There is no minimum age for a person to be qualified to sign, but the person must be competent to sign, i.e., understand the document that the person is signing;

(2) Identify each inventor by full name, including the family name, and at least one given name without abbreviation together with any other given name or initial;

(3) Identify the country of citizenship of each inventor;

and

(4) State that the person making the oath or declaration believes the named inventor or inventors to be the original and first inventor or inventors of the subject matter which is claimed and for which a patent is sought.

(b) In addition to meeting the requirements of paragraph (a) of this section, the oath or declaration must also:

(1) Identify the application to which it is directed;

(2) State that the person making the oath or declaration has reviewed and understands the contents of the application, including the claims, as amended by any amendment specifically referred to in the oath or declaration;

and

(3) State that the person making the oath or declaration acknowledges the duty to disclose to the Office all information known to the person to be material to patentability as defined in § 1.56.

(c) Unless such information is supplied on an application data sheet in accordance with § 1.76, the oath, or declaration must also identify:

(1) The mailing address, and the residence if an inventor lives at a location which is different from where the inventor customarily receives mail, of each inventor;

and

(2) Any foreign application for patent (or inventor's certificate) for which a claim for priority is made pursuant to § 1.55, and any foreign application having a filing date before that of the application on which priority is claimed, by specifying the application number, country, day, month, and year of its filing.

(d) (1) A newly executed oath or declaration is not required under § 1.51(b)(2) and § 1.53(f) in a continuation or divisional application, provided that:

(i) The prior nonprovisional application contained an oath or declaration as prescribed by paragraphs (a) through (c) of this section;

(ii) The continuation or divisional application was filed by all or by fewer than all of the inventors named in the prior application;

(iii) The specification and drawings filed in the continuation or divisional application contain no matter that would have been new matter in the prior application;

and

(iv) A copy of the executed oath or declaration filed in the prior application, showing the signature or an indication thereon that it was signed, is submitted for the continuation or divisional application.

(2) The copy of the executed oath or declaration submitted under this paragraph for a continuation or divisional application must be accompanied by a statement requesting the deletion of the name or names of the person or persons who are not inventors in the continuation or divisional application.

(3) Where the executed oath or declaration of which a copy is submitted for a continuation or divisional application was originally filed in a prior application accorded status under § 1.47, the copy of the executed oath or declaration for such prior application must be accompanied by:

(i) A copy of the decision granting a petition to accord § 1.47 status to the prior application, unless all inventors or legal representatives have filed an oath or declaration to join in an application accorded status under § 1.47 of which the continuation or divisional application claims a benefit under 35 U.S.C. 120, 121, or 365(c);

and

(ii) If one or more inventor(s) or legal representative(s) who refused to join in the prior application or could not be found or reached has subsequently joined in the prior application or another application of which the continuation or divisional application claims a benefit under 35 U.S.C. 120, 121, or 365(c), a copy of the subsequently executed oath(s) or declaration(s) filed by the inventor or legal representative to join in the application.

(4) Where the power of attorney or correspondence address was changed during the prosecution of the prior application, the change in power of attorney (or authorization of agent) or correspondence address must be identified in the continuation or divisional application. Otherwise, the Office may not recognize in the continuation or divisional application the change of power of attorney or correspondence address during the prosecution of the prior application.

(5) A newly executed oath or declaration must be filed in a continuation or divisional application naming an inventor not named in the prior application.

(e) A newly executed oath or declaration must be filed in any continuation-in-part application, which application may name all, more, or fewer than all of the inventors named in the prior application.

37 CFR 1.76 Application data sheet

(a) Application data sheet. An application data sheet is a sheet or sheets, that may be voluntarily submitted in either provisional or nonprovisional applications, which contains bibliographic data, arranged in a format specified by the Office. An application data sheet must be titled “Application Data Sheet” and must contain all of the section headings listed in paragraph (b) of this section, with any appropriate data for each section heading. If an application data sheet is provided, the application data sheet is part of the provisional or nonprovisional application for which it has been submitted.

(b) Bibliographic data. Bibliographic data as used in paragraph (a) of this section includes:

(1) Applicant information. This information includes the name, residence, mailing address, and citizenship of each applicant (§ 1.41(b)). The name of each applicant must include the family name, and at least one given name without abbreviation together with any other given name or initial. If the applicant is not an inventor, this information also includes the applicant' s authority (§§ 1.42, 1.43, and 1.47) to apply for the patent on behalf of the inventor.

(2) Correspondence information. This informa-tion includes the correspondence address, which may be indicated by reference to a customer number, to which correspondence is to be directed (see § 1.33(a)).

(3) Application information. This information includes the title of the invention, a suggested classification, by class and subclass, the Technology Center to which the subject matter of the invention is assigned, the total number of drawing sheets, a suggested drawing figure for publication (in a nonprovisional application), any docket number assigned to the application, the type of application (e.g., utility, plant, design, reissue, provisional), whether the application discloses any significant part of the subject matter of an application under a secrecy order pursuant to § 5.2 of this chapter (see § 5.2(c)), and, for plant applications, the Latin name of the genus and species of the plant claimed, as well as the variety denomination. The suggested classification and Technology Center information should be supplied for provisional applications whether or not claims are present. If claims are not present in a provisional application, the suggested classification and Technology Center should be based upon the disclosure.

(4) Representative information. This information includes the registration number of each practitioner having a power of attorney in the application (preferably by reference to a customer number). Providing this information in the application data sheet does not constitute a power of attorney in the application (see § 1.32).

(5) Domestic priority information. This information includes the application number, the filing date, the status (including patent number if available), and relationship of each application for which a benefit is claimed under 35 U.S.C. 119(e), 120, 121, or 365(c). Providing this information in the application data sheet constitutes the specific reference required by 35 U.S.C. 119(e) or 120, and § 1.78(a)(2) or § 1.78(a)(4), and need not otherwise be made part of the specification.

(6) Foreign priority information. This information includes the application number, country, and filing date of each foreign application for which priority is claimed, as well as any foreign application having a filing date before that of the application for which priority is claimed. Providing this information in the application data sheet constitutes the claim for priority as required by 35 U.S.C. 119(b) and § 1.55(a).

(7) Assignee information. This information includes the name (either person or juristic entity) and address of the assignee of the entire right, title, and interest in an application. Providing this information in the application data sheet does not substitute for compliance with any requirement of part 3 of this chapter to have an assignment recorded by the Office.

(c) Supplemental application data sheets. Supplemental application data sheets:

(1) May be subsequently supplied prior to payment of the issue fee either to correct or update information in a previously submitted application data sheet, or an oath or declaration under § 1.63 or § 1.67, except that inventorship changes are governed by § 1.48, correspondence changes are governed by § 1.33(a), and citizenship changes are governed by § 1.63 or § 1.67;

and

(2) Must be titled “Supplemental Application Data Sheet,” include all of the section headings listed in paragraph (b) of this section, include all appropriate data for each section heading, and must identify the information that is being changed, preferably with underlining for insertions, and strike-through or brackets for text removed.

(d) Inconsistencies between application data sheet and other documents. For inconsistencies between information that is supplied by both an application data sheet under this section and other documents.

(1) The latest submitted information will govern notwithstanding whether supplied by an application data sheet, an amendment to the specification, a designation of a correspondence address, or by a § 1.63 or § 1.67 oath or declaration, except as provided by paragraph (d)(3) of this section;

(2) The information in the application data sheet will govern when the inconsistent information is supplied at the same time by an amendment to the specification, a designation of correspondence address, or a § 1.63 or § 1.67 oath or declaration, except as provided by paragraph (d)(3) of this section;

(3) The oath or declaration under § 1.63 or § 1.67 governs inconsistencies with the application data sheet in the naming of inventors (§ 1.41(a)(1)) and setting forth their citizenship (35 U.S.C. 115);

(4) The Office will capture bibliographic information from the application data sheet (notwithstanding whether an oath or declaration governs the information). Thus, the Office shall generally, for example, not look to an oath or declaration under § 1.63 to see if the bibliographic information contained therein is consistent with the bibliographic information captured from an application data sheet (whether the oath or declaration is submitted prior to or subsequent to the application data sheet). Captured bibliographic information derived from an application data sheet containing errors may be corrected if applicant submits a request therefor and a supplemental application data sheet.

37 CFR 1.84 Standards for drawings

(a) Drawings. There are two acceptable categories for presenting drawings in utility and design patent applications.

(1) Black ink. Black and white drawings are normally required. India ink, or its equivalent that secures solid black lines, must be used for drawings;

or

(2) Color. On rare occasions, color drawings may be necessary as the only practical medium by which to disclose the subject matter sought to be patented in a utility or design patent application or the subject matter of a statutory invention registration. The color drawings must be of sufficient quality such that all details in the drawings are reproducible in black and white in the printed patent. Color drawings are not permitted in international applications (see PCT Rule 11.13), or in an application, or copy thereof, submitted under the Office electronic filing system. The Office will accept color drawings in utility or design patent applications and statutory invention registrations only after granting a petition filed under this paragraph explaining why the color drawings are necessary. Any such petition must include the following:

(i) The fee set forth in § 1.17(h);

(ii) Three (3) sets of color drawings;

and

(iii) An amendment to the specification to insert (unless the specification contains or has been previously amended to contain) the following language as the first paragraph of the brief description of the drawings:

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

(b) Photographs.

(1) Black and white. Photographs, including photocopies of photographs, are not ordinarily permitted in utility and design patent applications. The Office will accept photographs in utility and design patent applications, however, if photographs are the only practicable medium for illustrating the claimed invention. For example, photographs or photomicrographs of: electrophoresis gels, blots (e.g., immunological, western, Southern, and northern), auto- radiographs, cell cultures (stained and unstained), histological tissue cross sections (stained and unstained), animals, plants, in vivo imaging, thin layer chromatography plates, crystalline structures, and, in a design patent application, ornamental effects, are acceptable. If the subject matter of the application admits of illustration by a drawing, the examiner may require a drawing in place of the photograph. The photographs must be of sufficient quality so that all details in the photographs are reproducible in the printed patent.

(2) Color photographs. Color photographs will be accepted in utility and design patent applications if the conditions for accepting color drawings and black and white photographs have been satisfied. See paragraphs (a)(2) and (b)(1) of this section.

(c) Identification of drawings. Identifying indicia, if provided, should include the title of the invention, inventor's name, and application number, or docket number (if any) if an application number has not been assigned to the application. If this information is provided, it must be placed on the front of each sheet and centered within the top margin.

(d) Graphic forms in drawings. Chemical or mathematical formulae, tables, and waveforms may be submitted as drawings and are subject to the same requirements as drawings. Each chemical or mathematical formula must be labeled as a separate figure, using brackets when necessary, to show that information is properly integrated. Each group of waveforms must be presented as a single figure, using a common vertical axis with time extending along the horizontal axis. Each individual waveform discussed in the specification must be identified with a separate letter designation adjacent to the vertical axis.

(e) Type of paper. Drawings submitted to the Office must be made on paper, which is flexible, strong, white, smooth, non-shiny, and durable. All sheets must be reasonably free from cracks, creases, and folds. Only one side of the sheet may be used for the drawing. Each sheet must be reasonably free from erasures and must be free from alterations, overwritings, and interlineations. Photographs must be developed on paper meeting the sheet-size requirements of paragraph (f) of this section and the margin requirements of paragraph (g) of this section. See paragraph (b) of this section for other requirements for photographs.

(f) Size of paper. All drawing sheets in an application must be the same size. One of the shorter sides of the sheet is regarded as its top. The size of the sheets on which drawings are made must be:

(1) 21.0 cm. by 29.7 cm. (DIN size A4), or

(2) 21.6 cm. by 27.9 cm. (8 1/2 by 11 inches).

(g) Margins. The sheets must not contain frames around the sight (i.e., the usable surface), but should have scan target points (i.e., cross hairs) printed on two cater-corner margin corners. Each sheet must include a top margin of at least 2.5 cm. (1 inch), a left side margin of at least 2.5 cm. (1 inch), a right side margin of at least 1.5 cm. (5/8 inch), and a bottom margin of at least 1.0 cm. (3/8 inch), thereby leaving a sight no greater than 17.0 cm. by 26.2 cm. on 21.0 cm. by 29.7 cm. (DIN size A4) drawing sheets, and a sight no greater than 17.6 cm. by 24.4 cm. (6 15/16 by 9 5/8 inches) on 21.6 cm. by 27.9 cm. (8 1/2 by 11 inch) drawing sheets.

(h) Views. The drawing must contain as many views as necessary to show the invention. The views may be plan, elevation, section, or perspective views. Detail views of portions of elements, on a larger scale if necessary, may also be used. All views of the drawing must be grouped together and arranged on the sheet(s) without wasting space, preferably in an upright position, clearly separated from one another, and must not be included in the sheets containing the specifications, claims, or abstract. Views must not be connected by projection lines and must not contain centerlines. Waveforms of electrical signals may be connected by dashed lines to show the relative timing of the waveforms.

(1) Exploded views. Exploded views, with the separated parts embraced by a bracket, to show the relationship or order of assembly of various parts are permissible. When an exploded view is shown in a figure, which is on the same sheet as another figure, the exploded view should be placed in brackets.

(2) Partial views. When necessary, a view of a large machine or device in its entirety may be broken into partial views on a single sheet, or extended over several sheets if there is no loss in facility of understanding the view. Partial views drawn on separate sheets must always be capable of being linked edge to edge so that no partial view contains parts of another partial view. A smaller scale view should be included showing the whole formed by the partial views and indicating the positions of the parts shown. When a portion of a view is enlarged for magnification purposes, the view and the enlarged view must each be labeled as separate views.

(i) Where views on two or more sheets form, in effect, a single complete view, the views on the several sheets must be so arranged that the complete figure can be assembled without concealing any part of any of the views appearing on the various sheets.

(ii) A very long view may be divided into several parts placed one above the other on a single sheet. However, the relationship between the different parts must be clear and unambiguous.

(3) Sectional views. The plane upon which a sectional view is taken should be indicated on the view from which the section is cut by a broken line. The ends of the broken line should be designated by Arabic or Roman numerals corresponding to the view number of the sectional view, and should have arrows to indicate the direction of sight. Hatching must be used to indicate section portions of an object, and must be made by regularly spaced oblique parallel lines spaced sufficiently apart to enable the lines to be distinguished without difficulty. Hatching should not impede the clear reading of the reference characters and lead lines. If it is not possible to place reference characters outside the hatched area, the hatching may be broken off wherever reference characters are inserted. Hatching must be at a substantial angle to the surrounding axes or principal lines, preferably 45°. A cross section must be set out and drawn to show all of the materials as they are shown in the view from which the cross section was taken. The parts in cross section must show proper material(s) by hatching with regularly spaced parallel oblique strokes, the space between strokes being chosen on the basis of the total area to be hatched. The various parts of a cross section of the same item should be hatched in the same manner and should accurately and graphically indicate the nature of the material(s) that is illustrated in cross section. The hatching of juxtaposed different elements must be angled in a different way. In the case of large areas, hatching may be confined to an edging drawn around the entire inside of the outline of the area to be hatched. Different types of hatching should have different conventional meanings as regards the nature of a material seen in cross section.

(4) Alternate position. A moved position may be shown by a broken line superimposed upon a suitable view if this can be done without crowding; otherwise, a separate view must be used for this purpose.

(5) Modified forms. Modified forms of construction must be shown in separate views.

(i) Arrangement of views. One view must not be placed upon another or within the outline of another. All views on the same sheet should stand in the same direction and, if possible, stand so that they can be read with the sheet held in an upright position. If views wider than the width of the sheet are necessary for the clearest illustration of the invention, the sheet may be turned on its side so that the top of the sheet, with the appropriate top margin to be used as the heading space, is on the right-hand side. Words must appear in a horizontal, left-to-right fashion when the page is either upright or turned so that the top becomes the right side, except for graphs utilizing standard scientific convention to denote the axis of abscissas (of X) and the axis of ordinates (of Y).

(j) Front page view. The drawing must contain as many views as necessary to show the invention. One of the views should be suitable for inclusion on the front page of the patent application publication and patent as the illustration of the invention. Views must not be connected by projection lines and must not contain centerlines. Applicant may suggest a single view (by figure number) for inclusion on the front page of the patent application publication and patent.

(k) Scale. The scale to which a drawing is made must be large enough to show the mechanism without crowding when the drawing is reduced in size to two-thirds in reproduction. Indications such as “actual size” or “scale 1/2” on the drawings are not permitted since these lose their meaning with reproduction in a different format.

(l) Character of lines, numbers, and letters. All drawings must be made by a process, which will give them satisfactory reproduction characteristics. Every line, number, and letter must be durable, clean, black (except for color drawings), sufficiently dense and dark, and uniformly thick and well defined. The weight of all lines and letters must be heavy enough to permit adequate reproduction. This requirement applies to all lines however fine, to shading, and to lines representing cut surfaces in sectional views. Lines and strokes of different thickness may be used in the same drawing where different thicknesses have a different meaning.

(m) Shading. The use of shading in views is encouraged if it aids in understanding the invention and if it does not reduce legibility. Shading is used to indicate the surface or shape of spherical, cylindrical, and conical elements of an object. Flat parts may also be lightly shaded. Such shading is preferred in the case of parts shown in perspective, but not for cross sections. See paragraph (h)(3) of this section. Spaced lines for shading are preferred. These lines must be thin, as few in number as practicable, and they must contrast with the rest of the drawings. As a substitute for shading, heavy lines on the shade side of objects can be used except where they superimpose on each other or obscure reference characters. Light should come from the upper left corner at an angle of 45°??Surface delineations should preferably be shown by proper shading. Solid black shading areas are not permitted, except when used to represent bar graphs or color.

(n) Symbols. Graphical drawing symbols may be used for conventional elements when appropriate. The elements for which such symbols and labeled representations are used must be adequately identified in the specification. Known devices should be illustrated by symbols, which have a universally recognized conventional meaning and are generally accepted in the art. Other symbols, which are not universally recognized, may be used, subject to approval by the Office, if they are not likely to be confused with existing conventional symbols, and if they are readily identifiable.

(o) Legends. Suitable descriptive legends may be used subject to approval by the Office, or may be required by the examiner where necessary for understanding of the drawing. They should contain as few words as possible.

(p) Numbers, letters, and reference characters.

(1) Reference characters (numerals are preferred), sheet numbers, and view numbers must be plain and legible, and must not be used in association with brackets or inverted commas, or enclosed within outlines, e.g., encircled. They must be oriented in the same direction as the view so as to avoid having to rotate the sheet. Reference characters should be arranged to follow the profile of the object depicted.

(2) The English alphabet must be used for letters, except where another alphabet is customarily used, such as the Greek alphabet to indicate angles, wavelengths, and mathematical formulas.

(3) Numbers, letters, and reference characters must measure at least .32 cm. (1/8 inch) in height. They should not be placed in the drawing so as to interfere with its comprehension. Therefore, they should not cross or mingle with the lines. They should not be placed upon hatched or shaded surfaces. When necessary, such as indicating a surface or cross section, a reference character may be underlined and a blank space may be left in the hatching or shading where the character occurs so that it appears distinct.

(4) The same part of an invention appearing in more than one view of the drawing must always be designated by the same reference character, and the same reference character must never be used to designate different parts.

(5) Reference characters not mentioned in the description shall not appear in the drawings. Reference characters mentioned in the description must appear in the drawings.

(q) Lead lines. Lead lines are those lines between the reference characters and the details referred to. Such lines may be straight or curved and should be as short as possible. They must originate in the immediate proximity of the reference character and extend to the feature indicated. Lead lines must not cross each other. Lead lines are required for each reference character except for those, which indicate the surface or cross section on which they are placed. Such a reference character must be underlined to make it clear that a lead line has not been left out by mistake. Lead lines must be executed in the same way as lines in the drawing. See paragraph (l) of this section.

(r) Arrows. Arrows may be used at the ends of lines, provided that their meaning is clear, as follows:

(1) On a lead line, a freestanding arrow to indicate the entire section towards which it points;

(2) On a lead line, an arrow touching a line to indicate the surface shown by the line looking along the direction of the arrow;

or

(3) To show the direction of movement.

(s) Copyright or Mask Work Notice. A copyright or mask work notice may appear in the drawing, but must be placed within the sight of the drawing immediately below the figure representing the copyright or mask work material and be limited to letters having a print size of .32 cm. to .64 cm. (1/8 to 1/4 inches) high. The content of the notice must be limited to only those elements provided for by law. For example, “©1983 John Doe” (17 U.S.C. 401) and “*M* John Doe” (17 U.S.C. 909) would be properly limited and, under current statutes, legally sufficient notices of copyright and mask work, respectively. Inclusion of a copyright or mask work notice will be permitted only if the authorization language set forth in § 1.71(e) is included at the beginning (preferably as the first paragraph) of the specification.

(t) Numbering of sheets of drawings. The sheets of drawings should be numbered in consecutive Arabic numerals, starting with 1, within the sight as defined in paragraph (g) of this section. These numbers, if present, must be placed in the middle of the top of the sheet, but not in the margin. The numbers can be placed on the right-hand side if the drawing extends too close to the middle of the top edge of the usable surface. The drawing sheet numbering must be clear and larger than the numbers used as reference characters to avoid confusion. The number of each sheet should be shown by two Arabic numerals placed on either side of an oblique line, with the first being the sheet number and the second being the total number of sheets of drawings, with no other marking.

(u) Numbering of views.

(1) The different views must be numbered in consecutive Arabic numerals, starting with 1, independent of the numbering of the sheets and, if possible, in the order in which they appear on the drawing sheet(s). Partial views intended to form one complete view, on one or several sheets, must be identified by the same number followed by a capital letter. View numbers must be preceded by the abbreviation “FIG.” Where only a single view is used in an application to illustrate the claimed invention, it must not be numbered and the abbreviation “FIG.” must not appear.

(2) Numbers and letters identifying the views must be simple and clear and must not be used in association with brackets, circles, or inverted commas. The view numbers must be larger than the numbers used for reference characters.

(v) Security markings. Authorized security markings may be placed on the drawings provided they are outside the sight, preferably centered in the top margin.

(w) Corrections. Any corrections on drawings submitted to the Office must be durable and permanent.

(x) Holes. No holes should be made by applicant in the drawing sheets.

(y) Types of drawings. See § 1.152 for design drawings, § 1.165 for plant drawings, and § 1.174 for reissue drawings.

37 CFR 1.121 Manner of making amendments in application.

(a) Amendments in applications, other than reissue applications. Amendments in applications, other than reissue applications, are made by filing a paper, in compliance with § 1.52, directing that specified amendments be made.

(b) Specification. Amendments to the specification, other than the claims, computer listings (§ 1.96) and sequence listings (§ 1.825), must be made by adding, deleting or replacing a paragraph, by replacing a section, or by a substitute specification, in the manner specified in this section.

(1) Amendment to delete, replace, or add a paragraph. Amendments to the specification, including amendment to a section heading or the title of the invention which are considered for amendment purposes to be an amendment of a paragraph, must be made by submitting:

(i) An instruction, which unambiguously identifies the location, to delete one or more paragraphs of the specification, replace a paragraph with one or more replacement paragraphs, or add one or more paragraphs;

(ii) The full text of any replacement paragraph with markings to show all the changes relative to the previous version of the paragraph. The text of any added subject matter must be shown by underlining the added text. The text of any deleted matter must be shown by strike-through except that double brackets placed before and after the deleted characters may be used to show deletion of five or fewer consecutive characters. The text of any deleted subject matter must be shown by being placed within double brackets if strikethrough cannot be easily perceived;

(iii) The full text of any added paragraphs without any underlining; and

(iv) The text of a paragraph to be deleted must not be presented with strike-through or placed within double brackets. The instruction to delete may identify a paragraph by its paragraph number or include a few words from the beginning, and end, of the paragraph, if needed for paragraph identification purposes.

(2) Amendment by replacement section. If the sections of the specification contain section headings as provided in § 1.77(b), § 1.154(b), or § 1.163(c), amendments to the specification, other than the claims, may be made by submitting:

(i) A reference to the section heading along with an instruction, which unambiguously identifies the location, to delete that section of the specification and to replace such deleted section with a replacement section; and;

(ii) A replacement section with markings to show all changes relative to the previous version of the section. The text of any added subject matter must be shown by underlining the added text. The text of any deleted matter must be shown by strike-through except that double brackets placed before and after the deleted characters may be used to show deletion of five or fewer consecutive characters. The text of any deleted subject matter must be shown by being placed within double brackets if strike-through cannot be easily perceived.

(3) Amendment by substitute specification. The specification, other than the claims, may also be amended by submitting:

(i) An instruction to replace the specification; and

(ii) A substitute specification in compliance with §§ 1.125(b) and (c).

(4) Reinstatement of previously deleted paragraph or section. A previously deleted paragraph or section may be reinstated only by a subsequent amendment adding the previously deleted paragraph or section.

(5) Presentation in subsequent amendment document. Once a paragraph or section is amended in a first amendment document, the paragraph or section shall not be represented in a subsequent amendment document unless it is amended again or a substitute specification is provided.

(c) Claims. Amendments to a claim must be made by rewriting the entire claim with all changes (e.g., additions and deletions) as indicated in this subsection, except when the claim is being canceled. Each amendment document that includes a change to an existing claim, cancellation of an existing claim or addition of a new claim, must include a complete listing of all claims ever presented, including the text of all pending and withdrawn claims, in the application. The claim listing, including the text of the claims, in the amendment document will serve to replace all prior versions of the claims, in the application. In the claim listing, the status of every claim must be indicated after its claim number by using one of the following identifiers in a parenthetical expression: (Original), (Currently amended), (Canceled), (Withdrawn), (Previously presented), (New), and (Not entered).

(1) Claim listing. All of the claims presented in a claim listing shall be presented in ascending numerical order. Consecutive claims having the same status of “canceled” or “not entered” may be aggregated into one statement (e.g., Claims 1–5 (canceled)). The claim listing shall commence on a separate sheet of the amendment document and the sheet(s) that contain the text of any part of the claims shall not contain any other part of the amendment.

(2) When claim text with markings is required. All claims being currently amended in an amendment paper shall be presented in the claim listing, indicate a status of “currently amended,” and be submitted with markings to indicate the changes that have been made relative to the immediate prior version of the claims. The text of any added subject matter must be shown by underlining the added text. The text of any deleted matter must be shown by strike-through except that double brackets placed before and after the deleted characters may be used to show deletion of five or fewer consecutive characters. The text of any deleted subject matter must be shown by being placed within double brackets if strike-through cannot be easily perceived. Only claims having the status of “currently amended,” or “withdrawn” if also being amended, shall include markings. If a withdrawn claim is currently amended, its status in the claim listing may be identified as “withdrawn— currently amended.”

(3) When claim text in clean version is required. The text of all pending claims not being currently amended shall be presented in the claim listing in clean version, i.e., without any markings in the presentation of text. The presentation of a clean version of any claim having the status of “original,” “withdrawn” or “previously presented” will constitute an assertion that it has not been changed relative to the immediate prior version, except to omit markings that may have been present in the immediate prior version of the claims of the status of “withdrawn” or “previously presented.” Any claim added by amendment must be indicated with the status of “new” and presented in clean version, i.e., without any underlining.

(4) When claim text shall not be presented; canceling a claim.

(i) No claim text shall be presented for any claim in the claim listing with the status of “canceled” or “not entered.”

(ii) Cancellation of a claim shall be effected by an instruction to cancel a particular claim number. Identifying the status of a claim in the claim listing as “canceled” will constitute an instruction to cancel the claim.

(5) Reinstatement of previously canceled claim. A claim which was previously canceled may be reinstated only by adding the claim as a “new” claim with a new claim number.

(d) Drawings: One or more application drawings shall be amended in the following manner: Any changes to an application drawing must be in compliance with § 1.84 and must be submitted on a replacement sheet of drawings which shall be an attachment to the amendment document and, in the top margin, labeled “Replacement Sheet”. Any replacement sheet of drawings shall include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is amended. Any new sheet of drawings containing an additional figure must be labeled in the top margin as “New Sheet”. All changes to the drawings shall be explained, in detail, in either the drawing amendment or remarks section of the amendment paper.

(1) A marked-up copy of any amended drawing figure, including annotations indicating the changes made, may be included. The marked-up copy must be clearly labeled as “Annotated Sheet” and must be presented in the amendment or remarks section that explains the change to the drawings.

(2) A marked-up copy of any amended drawing figure, including annotations indicating the changes made, must be provided when required by the examiner.

(e) Disclosure consistency. The disclosure must be amended, when required by the Office, to correct inaccuracies of description and definition, and to secure substantial correspondence between the claims, the remainder of the specification, and the drawings.

(f) No new matter. No amendment may introduce new matter into the disclosure of an application.

(g) Exception for examiner’s amendments. Changes to the specification, including the claims, of an application made by the Office in an examiner’s amendment may be made by specific instructions to insert or delete subject matter set forth in the examiner’s amendment by identifying the precise point in the specification or the claim(s) where the insertion or deletion is to be made. Compliance with paragraphs (b)(1), (b)(2), or (c) of this section is not required.

(h) Amendment sections. Each section of an amendment document (e.g., amendment to the claims, amendme nt to the specification, replacement drawings, and remarks) must begin on a separate sheet.

(i) Amendments in reissue applications. Any amendment to the description and claims in reissue applications must be made in accordance with § 1.173.

(j) Amendments in reexamination proceedings. Any proposed amendment to the description and claims in patents involved in reexamination proceedings must be made in accordance with § 1.530.

(k) Amendments in provisional applications. Amendments in provisional applications are not usually made. If an amendment is made to a provisional application, however, it must comply with the provisions of this section. Any amendments to a provisional application shall be placed in the provisional application file but may not be entered.

37 CFR 1.152 Design drawings

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

37 CFR 1.153 Title, description and claim, oath or declaration

(a) The title of the design must designate the particular article. No description, other than a reference to the drawing, is ordinarily required. The claim shall be in formal terms to the ornamental design for the article (specifying name) as shown, or as shown and described. More than one claim is neither required nor permitted.

(b) The oath or declaration required of the applicant must comply with § 1.63.

37 CFR 1.154 Arrangement of application elements in a design application

(a) The elements of the design application, if applicable, should appear in the following order:

(1) Design application transmittal form.

(2) Fee transmittal form.

(3) Application data sheet (see § 1.76).

(4) Specification.

(5) Drawings or photographs.

(6) Executed oath or declaration (see § 1.153(b)).

(b) The specification should include the following sections in order:

(1) Preamble, stating the name of the applicant, title of the design, and a brief description of the nature and intended use of the article in which the design is embodied.

(2) Cross-reference to related applications (unless included in the application data sheet).

(3) Statement regarding federally sponsored research or development.

(4) Description of the figure or figures of the drawing.

(5) Feature description.

(6) A single claim.

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

37 CFR 1.155 Expedited examination of design applications

(a) The applicant may request that the Office expedite the examination of a design application. To qualify for expedited examination:

(1) The application must include drawings in compliance with § 1.84;

(2) The applicant must have conducted a pre-examination search; and

(3) The applicant must file a request for expedited examination including:

(i) The fee set forth in § 1.17(k);

and

(ii) A statement that a pre-examination search was conducted. The statement must also indicate the field of search and include an information disclosure statement in compliance with § 1.98.

(b) The Office will not examine an application that is not in condition for examination (e.g., missing basic filing fee) even if the applicant files a request for expedited examination under this section.

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Sample Specification

I, (Name)________________________________________________ have invented a new design for a (Title)_________________________________________________ as set forth in the following specification:

FIG. 1 is a _______________________ view of a __________________________ showing my new design;

FIG. 2 is a _______________________ view thereof;

FIG. 3 is a _______________________ view thereof;

FIG. 4 is a _______________________ view thereof;

FIG. 5 is a _______________________ view thereof; and

FIG. 6 is a _______________________ view thereof.

I claim: The ornamental design for a _________________________________________________ as shown.

*Applicants are referred to the Disclosure Examples on Pages 9-13, to determine the proper wording and number of Figure Descriptions appropriate to their disclosure. Questions regarding a design patent application and its forms may be directed to the Design Patent Practice Specialist of Technology Center 2900 at (571) 272-2900.

United States Patent and Trademark Office
Commissioner for Patents

P.O. Box 1450

Alexandria, VA 22313-1450

An Agency of the United States Department of Commerce