MPEP § 1001 — Statutory Authority of Director of the USPTO (Annotated Rules)

§1001 Statutory Authority of Director of the USPTO

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 1001, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Statutory Authority of Director of the USPTO

This section addresses Statutory Authority of Director of the USPTO. Primary authority: 35 U.S.C. 2 and 35 U.S.C. 3. Contains: 6 requirements and 1 permission.

Key Rules

Topic

Maintenance Fee Amounts

3 rules
StatutoryRequiredAlways
[mpep-1001-171c1a8141ab9afe35dad117]
Deputy Director and Commissioners of USPTO Required
Note:
The rule requires the appointment of a Deputy Under Secretary, Deputies for Patents and Trademarks, and other officers and employees with specific qualifications and duties.
(b) OFFICERS AND EMPLOYEES OF THE OFFICE.—
  • (1) DEPUTY UNDER SECRETARY AND DEPUTY DIRECTOR.— The Secretary of Commerce, upon nomination by the Director, shall appoint a Deputy Under Secretary of Commerce for Intellectual Property and Deputy Director of the United States Patent and Trademark Office who shall be vested with the authority to act in the capacity of the Director in the event of the absence or incapacity of the Director. The Deputy Director shall be a citizen of the United States who has a professional background and experience in patent or trademark law.
  • (2) COMMISSIONERS.—
    • (A) APPOINTMENT AND DUTIES.— The Secretary of Commerce shall appoint a Commissioner for Patents and a Commissioner for Trademarks, without regard to chapter 33, 51, or 53 of title 5. The Commissioner for Patents shall be a citizen of the United States with demonstrated management ability and professional background and experience in patent law and serve for a term of 5 years. The Commissioner for Trademarks shall be a citizen of the United States with demonstrated management ability and professional background and experience in trademark law and serve for a term of 5 years. The Commissioner for Patents and the Commissioner for Trademarks shall serve as the chief operating officers for the operations of the Office relating to patents and trademarks, respectively, and shall be responsible for the management and direction of all aspects of the activities of the Office that affect the administration of patent and trademark operations, respectively. The Secretary may reappoint a Commissioner to subsequent terms of 5 years as long as the performance of the Commissioner as set forth in the performance agreement in subparagraph (B) is satisfactory.
    • (B) SALARY AND PERFORMANCE AGREEMENT.— The Commissioners shall be paid an annual rate of basic pay not to exceed the maximum rate of basic pay for the Senior Executive Service established under section 5382 of title 5, including any applicable locality-based comparability payment that may be authorized under section 5304(h)(2)(C) of title 5. The compensation of the Commissioners shall be considered, for purposes of section 207(c)(2)(A) of title 18, to be the equivalent of that described under clause (ii) of section 207(c)(2)(A) of title 18. In addition, the Commissioners may receive a bonus in an amount of up to, but not in excess of, 50 percent of the Commissioners’ annual rate of basic pay, based upon an evaluation by the Secretary of Commerce, acting through the Director, of the Commissioners’ performance as defined in an annual performance agreement between the Commissioners and the Secretary. The annual performance agreements shall incorporate measurable organization and individual goals in key operational areas as delineated in an annual performance plan agreed to by the Commissioners and the Secretary. Payment of a bonus under this subparagraph may be made to the Commissioners only to the extent that such payment does not cause the Commissioners’ total aggregate compensation in a calendar year to equal or exceed the amount of the salary of the Vice President under section 104 of title 3.
    • (C) REMOVAL.— The Commissioners may be removed from office by the Secretary for misconduct or nonsatisfactory performance under the performance agreement described in subparagraph (B), without regard to the provisions of title 5. The Secretary shall provide notification of any such removal to both Houses of Congress.
  • (3) OTHER OFFICERS AND EMPLOYEES.— The Director shall—
    • (A) appoint such officers, employees (including attorneys), and agents of the Office as the Director considers necessary to carry out the functions of the Office; and
    • (B) define the title, authority, and duties of such officers and employees and delegate to them such of the powers vested in the Office as the Director may determine. The Office shall not be subject to any administratively or statutorily imposed limitation on positions or personnel, and no positions or personnel of the Office shall be taken into account for purposes of applying any such limitation
  • (4) TRAINING OF EXAMINERS.— The Office shall submit to the Congress a proposal to provide an incentive program to retain as employees patent and trademark examiners of the primary examiner grade or higher who are eligible for retirement, for the sole purpose of training patent and trademark examiners.
  • (5) NATIONAL SECURITY POSITIONS.— The Director, in consultation with the Director of the Office of Personnel Management, shall maintain a program for identifying national security positions and providing for appropriate security clearances, in order to maintain the secrecy of certain inventions, as described in section 181, and to prevent disclosure of sensitive and strategic information in the interest of national security.
  • (6) ADMINISTRATIVE PATENT JUDGES AND ADMINISTRATIVE TRADEMARK JUDGES.—The Director may fix the rate of basic pay for the administrative patent judges appointed pursuant to section 6 and the administrative trademark judges appointed pursuant to section 17 of the Trademark Act of 1946 (15 U.S.C. 1067) at not greater than the rate of basic pay payable for level III of the Executive Schedule under section 5314 of title 5. The payment of a rate of basic pay under this paragraph shall not be subject to the pay limitation under section 5306(e) or 5373 of title 5.
Jump to MPEP SourceMaintenance Fee AmountsSecrecy Order ImpositionMaintenance Fee Payment
StatutoryRequiredAlways
[mpep-1001-769ee92560ac92d704aca7c1]
Director May Set Pay for Patent and Trademark Judges
Note:
The Director can determine the basic pay rate for administrative patent judges and trademark judges, which cannot exceed level III of the Executive Schedule.

(b) OFFICERS AND EMPLOYEES OF THE OFFICE.—

(6) ADMINISTRATIVE PATENT JUDGES AND ADMINISTRATIVE TRADEMARK JUDGES.—The

Jump to MPEP SourceMaintenance Fee AmountsMaintenance Fee PaymentFee Requirements
StatutoryPermittedAlways
[mpep-1001-1d69925f4b8705e94e4b3dda]
Director May Set Pay for Patent and Trademark Judges Not Exceeding Level III Executive Schedule
Note:
The Director can determine the basic pay rate for administrative patent and trademark judges, but it must not exceed the rate for level III of the Executive Schedule.

(b) OFFICERS AND EMPLOYEES OF THE OFFICE.—

Director may fix the rate of basic pay for the administrative patent judges appointed pursuant to section 6 and the administrative trademark judges appointed pursuant to section 17 of the Trademark Act of 1946 (15 U.S.C. 1067) at not greater than the rate of basic pay payable for level III of the Executive Schedule under section 5314 of title 5.

Jump to MPEP SourceMaintenance Fee AmountsMaintenance Fee PaymentFee Requirements
Topic

Patent Eligibility

2 rules
StatutoryRequiredAlways
[mpep-1001-19a3f08e2cc36022995b6f83]
Patent and Trademark Examiner Retention Incentive Program Required
Note:
The Office must propose an incentive program to retain patent and trademark examiners eligible for retirement for the sole purpose of training.

(b) OFFICERS AND EMPLOYEES OF THE OFFICE.—

(4) TRAINING OF EXAMINERS.

Jump to MPEP SourcePatent Eligibility
StatutoryRequiredAlways
[mpep-1001-75dcce6802a46a27d99db1e3]
Retain Eligible Patent and Trademark Examiners for Training
Note:
The Office must propose an incentive program to retain primary examiner grade or higher employees eligible for retirement, solely for the purpose of training patent and trademark examiners.

(b) OFFICERS AND EMPLOYEES OF THE OFFICE.—

— The Office shall submit to the Congress a proposal to provide an incentive program to retain as employees patent and trademark examiners of the primary examiner grade or higher who are eligible for retirement, for the sole purpose of training patent and trademark examiners.

Jump to MPEP SourcePatent Eligibility
Topic

Fees for Third Party Access

1 rules
StatutoryRequiredAlways
[mpep-1001-7b6d402891ecd4b0393cdaf2]
Office May Establish Regulations Governing Patent Applications
Note:
The Office is permitted to create regulations for managing patent applications, including electronic processing and agent recognition.
(b) SPECIFIC POWERS.— The Office—
  • (1) shall adopt and use a seal of the Office, which shall be judicially noticed and with which letters patent, certificates of trademark registrations, and papers issued by the Office shall be authenticated;
  • (2) may establish regulations, not inconsistent with law, which—
    • (A) shall govern the conduct of proceedings in the Office;
    • (B) shall be made in accordance with section 553 of title 5;
    • (C) shall facilitate and expedite the processing of patent applications, particularly those which can be filed, stored, processed, searched, and retrieved electronically, subject to the provisions of section 122 relating to the confidential status of applications;
    • (D) may govern the recognition and conduct of agents, attorneys, or other persons representing applicants or other parties before the Office, and may require them, before being recognized as representatives of applicants or other persons, to show that they are of good moral character and reputation and are possessed of the necessary qualifications to render to applicants or other persons valuable service, advice, and assistance in the presentation or prosecution of their applications or other business before the Office;
    • (E) shall recognize the public interest in continuing to safeguard broad access to the United States patent system through the reduced fee structure for small entities under section 41(h)(1);
    • (F) provide for the development of a performance-based process that includes quantitative and qualitative measures and standards for evaluating cost-effectiveness and is consistent with the principles of impartiality and competitiveness; and
    • (G) may, subject to any conditions prescribed by the Director and at the request of the patent applicant, provide for prioritization of examination of applications for products, processes, or technologies that are important to the national economy or national competitiveness without recovering the aggregate extra cost of providing such prioritization, notwithstanding section 41 or any other provision of law;
  • (3) may acquire, construct, purchase, lease, hold, manage, operate, improve, alter, and renovate any real, personal, or mixed property, or any interest therein, as it considers necessary to carry out its functions;
  • (4)
    • (A) may make such purchases, contracts for the construction, maintenance, or management and operation of facilities, and contracts for supplies or services, without regard to the provisions of subtitle I and chapter 33 of title 40, division C (except sections 3302, 3501(b), 3509, 3906, 4710, and 4711) of subtitle I of title 41, and the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11301 et seq.); and
    • (B) may enter into and perform such purchases and contracts for printing services, including the process of composition, platemaking, presswork, silk screen processes, binding, microform, and the products of such processes, as it considers necessary to carry out the functions of the Office, without regard to sections 501 through 517 and 1101 through 1123 of title 44;
  • (5) may use, with their consent, services, equipment, personnel, and facilities of other departments, agencies, and instrumentalities of the Federal Government, on a reimbursable basis, and cooperate with such other departments, agencies, and instrumentalities in the establishment and use of services, equipment, and facilities of the Office;
  • (6) may, when the Director determines that it is practicable, efficient, and cost-effective to do so, use, with the consent of the United States and the agency, instrumentality, Patent and Trademark Office, or international organization concerned, the services, records, facilities, or personnel of any State or local government agency or instrumentality or foreign patent and trademark office or international organization to perform functions on its behalf;
  • (7) may retain and use all of its revenues and receipts, including revenues from the sale, lease, or disposal of any real, personal, or mixed property, or any interest therein, of the Office;
  • (8) shall advise the President, through the Secretary of Commerce, on national and certain international intellectual property policy issues;
  • (9) shall advise Federal departments and agencies on matters of intellectual property policy in the United States and intellectual property protection in other countries;
  • (10) shall provide guidance, as appropriate, with respect to proposals by agencies to assist foreign governments and international intergovernmental organizations on matters of intellectual property protection;
  • (11) may conduct programs, studies, or exchanges of items or services regarding domestic and international intellectual property law and the effectiveness of intellectual property protection domestically and throughout the world, and the Office is authorized to expend funds to cover the subsistence expenses and travel-related expenses, including per diem, lodging costs, and transportation costs, of persons attending such programs who are not Federal employees;
  • (12)
    • (A) shall advise the Secretary of Commerce on programs and studies relating to intellectual property policy that are conducted, or authorized to be conducted, cooperatively with foreign intellectual property offices and international intergovernmental organizations; and
    • (B) may conduct programs and studies described in subparagraph (A); and
  • (13)
    • (A) in coordination with the Department of State, may conduct programs and studies cooperatively with foreign intellectual property offices and international intergovernmental organizations; and
    • (B) with the concurrence of the Secretary of State, may authorize the transfer of not to exceed $100,000 in any year to the Department of State for the purpose of making special payments to international intergovernmental organizations for studies and programs for advancing international cooperation concerning patents, trademarks, and other matters.
Jump to MPEP SourceFees for Third Party AccessThird Party Access to Files (MPEP 103, 1134.01)Effect of Licenses on Entity Status
Topic

Secrecy Orders

1 rules
StatutoryRequiredAlways
[mpep-1001-aa32b723ea426ab31406bd0c]
Director Must Identify National Security Positions for Inventive Secrecy
Note:
The Director must work with the Office of Personnel Management to identify positions involving national security and ensure appropriate security clearances are provided.

(b) OFFICERS AND EMPLOYEES OF THE OFFICE.—

(5) NATIONAL SECURITY POSITIONS.

Jump to MPEP SourceSecrecy OrdersSecrecy Order Imposition
Topic

Secrecy Order Imposition

1 rules
StatutoryRequiredAlways
[mpep-1001-124ff80f48640b0f7ee8a61c]
Director Must Maintain Program for National Security Positions
Note:
The Director, in consultation with the Office of Personnel Management, must maintain a program to identify national security positions and provide appropriate security clearances to protect sensitive information.

(b) OFFICERS AND EMPLOYEES OF THE OFFICE.—

— The Director, in consultation with the Director of the Office of Personnel Management, shall maintain a program for identifying national security positions and providing for appropriate security clearances, in order to maintain the secrecy of certain inventions, as described in section 181, and to prevent disclosure of sensitive and strategic information in the interest of national security.

Jump to MPEP SourceSecrecy Order ImpositionSecrecy Orders
Topic

Maintenance Fee Payment

1 rules
StatutoryProhibitedAlways
[mpep-1001-46e1ae6c1bb5158a68462144]
Pay Limitations Do Not Apply to Administrative Patent Judges
Note:
The pay for administrative patent judges appointed under section 6 of the USPTO Director's authority is not subject to the limitations set by sections 5306(e) and 5373 of title 5.

(b) OFFICERS AND EMPLOYEES OF THE OFFICE.—

The payment of a rate of basic pay under this paragraph shall not be subject to the pay limitation under section 5306(e) or 5373 of title 5.

Jump to MPEP SourceMaintenance Fee PaymentMaintenance Fee AmountsFee Requirements

Source Text from USPTO’s MPEP

This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.

BlueIron Last Updated: 2025-12-31