Patent Secrecy Act Activity Drops in FY08

Posted on January 8, 2009 by Brian Wm. Higgins

     Ever wonder what the "LR" or "L&R" code means in the electronic file history of a pending patent application?  It refers to the Patent Office's Licensing and Review function, which is an early screening function applicable to all provisional applications filed under 35 U.S.C. 111(b), nonprovisional applications filed under 35 U.S.C. 111(a), and international applications filed under the Patent Cooperation Treaty (PCT).  During L&R screening, applications are reviewed for the purposes of issuance of a foreign filing license and to identify subject matter that, if disclosed, might impact national security. If warranted, applications may be referred to an appropriate governmental agency for consideration of restrictions on disclosure of the subject matter, which may ultimately lead to a Secrecy Order being issued (see MPEP). 

     The number of Secrecy Orders issued in FY '08 are shown (parenthetical values reflect change relative to FY '07 data) (source: FAS):

  • Total Secrecy Orders in Effect FY08: 5,023 (-21)
  • New Secrecy Orders Imposed: 68 (-60)  
    • ARMY: 8 (-14)
    • NAVY: 8 (-20)
    • AF: 20 (-25)
    • NSA: 20 (-1)
  • Secrecy Orders Rescinded: 47 (-21)
  • "John Doe" Secrecy Orders: 22 (-31)

     As was noted previously on this website, patent secrecy activity is relevant to Maryland because the counties surrounding Washington, D.C., are home to many government agencies and government contractors that may be involved in patent activity possibly triggering secrecy review. According to Patent Office statistics, many of the agencies/contractors in this area are high on the list of the number of patents issued each year to Maryland organizations, including Johns Hopkins University, which operates the Applied Physics Laboratory (Howard County), a major government defense contractor; the Navy, which operates the Naval Research Lab (Prince George's County); the Army, which operates the Army Research Lab and biodefense research agencies in Frederick, MD; Northrop Grumman (Anne Arundel County); the National Security Agency (NSA) (Anne Arundel County); and a few of the over 300 biotechnology companies in Maryland (mostly located in Montgomery County).

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Exporting Technology Information to Colleagues Abroad Requires License

Posted on May 10, 2008 by Brian Wm. Higgins

     Employees of Maryland companies with R&D, manufacturing, and other  capabilities located outside the US may be tempted to collaborate with their counterparts located abroad. It's important to remember, however, that exporting technology information outside the US is highly regulated by several US agencies.

     If the exportation of technology information to overseas colleagues (or to anyone else) is for the sole purpose of filing a patent application outside the US, a license to export that information must first be obtained from the U.S. Patent & Trademark Office (PTO). 35 U.S.C. § 184 provides the legal basis for that requirement:

"Except when authorized by a license obtained from the Commissioner of Patents a person shall not file or cause or authorize to be filed in any foreign country prior to six months after filing in the United States an application for patent or for the registration of a utility model, industrial design, or model in respect of an invention made in this country. A license shall not be granted with respect to an invention subject to an order issued by the Commissioner of Patents pursuant to section 181 of this title [Patent Secrecy Act] without the concurrence of the head of the departments and the chief officers of the agencies who caused the order to be issued. The license may be granted retroactively where an application has been filed abroad through error and without deceptive intent and the application does not disclose an invention within the scope of section 181 [i.e, secrecy] of this title."

     The term "application" includes patent applications and any modifications, amendments, or supplements thereto, or divisions thereof.

     For information concerning the consequences of failing to comply with the requirements set forth above, continue reading...


     According to § 184, the scope of a foreign filing license shall permit subsequent modifications, amendments, and supplements containing additional subject matter if the application upon which the request for the license is based is not, or was not, required to be made available for inspection under § 181 of this title [Patent Secrecy Act] and if such modifications, amendments, and supplements do not change the general nature of the invention in a manner which would require such application to be made available for inspection under such § 181.

     In any case in which a license is not, or was not, required in order to file an application in any foreign country, such subsequent modifications, amendments, and supplements may be made, without a license, to the application filed in the foreign country if the US application was not required to be made available for inspection under § 181 and if such modifications, amendments, and supplements do not, or did not, change the general nature of the invention in a manner which would require the United States application to have been made available for inspection under such § 181.

     Under 35 U.S.C. § 185,

"Notwithstanding any other provisions of law any person, and his successors, assigns, or legal representatives, shall not receive a United States patent for an invention if that person, or his successors, assigns, or legal representatives shall, without procuring the license prescribed in section 184 of this title, have made, or consented to or assisted another's making, application in a foreign country for a patent or for the registration of a utility model, industrial design, or model in respect of the invention. A United States patent issued to such person, his successors, assigns, or legal representatives shall be invalid, unless the failure to procure such license was through error and without deceptive intent, and the patent does not disclose subject matter within the scope of section 181 of this title.

     Under 35 U.S.C. § 186,

"Whoever, during the period or periods of time an invention has been ordered to be kept secret and the grant of a patent thereon withheld pursuant to section 181 of this title, shall, with knowledge of such order and without due authorization, willfully publish or disclose or authorize or cause to be published or disclosed the invention, or material information with respect thereto, or whoever willfully, in violation of the provisions of section 184 of this title, shall file or cause or authorize to be filed in any foreign country an application for patent or for the registration of a utility model, industrial design, or model in respect of any invention made in the United States, shall, upon conviction, be fined not more than $10,000 or imprisoned for not more than two years, or both.



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