ST-470 Application Exhibits & Instructions Revision 4

U.S. Department of Agriculture
Agricultural Marketing Service
Science & Technology Program

Plant Variety Protection Office
1400 Independence Avenue, SW
Room 4512-South Building, Stop 0274
Washington, DC 20250
(202) 260-8983

Application for Plant Variety
Protection Certificate

Paperwork Burden Statement: According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not
required to respond to a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information
collection is 0581-0055. The time required to complete this information collection is estimated to average 1.5 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information.

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Instructions for Applications and Exhibits
To be effectively filed with the Plant Variety Protection Office (PVPO), ALL of the following items must be
received in the PVPO: (1) Completed application form signed by the owner; (2) completed exhibits A,
B, C, and E; (3) for a tuber reproduced variety, verification that a viable (in the sense that it will
reproduce an entire plant) tissue culture will be deposited and maintained in an approved public
repository; and (4) payment by credit card or check drawn on a U.S. bank for $4,382 ($518 filing fee and
$3,864 examination fee), payable to "Treasurer of the United States" (See Section 97.6 of the Regulations
and Rules of Practice). NEW: For a seed reproduced variety, the applicant must provide at least 3,000
viable untreated seeds of the variety per se, and for a hybrid variety at least 3,000 untreated seeds of
each line necessary to reproduce the variety. Partial applications will be held in the PVPO for not more
than 90 days; then returned to the applicant as un-filed. NO SEEDS SHOULD BE SENT TO PVPO. With
the exception of tubers, instructions for direct deposit will be sent with the filing letter. Mail application
and other requirements to USDA, AMS, S&T, Plant Variety Protection Office at 1400 Independence
Avenue, SW, Room 4512-South Building, Stop 0274, Washington, DC 20250. Retain one copy for your
files. All items on the face of the application are self-explanatory except for the items below.

Items listed on the ST 470 Application Form

 Item 18 - A biotechnology event is defined as a single insertion of a nucleic acid construct into a
specific site in a plant’s chromosome that is regulated under the U.S. Coordinated Framework for the
Regulation of Biotechnology. More information can be found at:
http://www.aphis.usda.gov/biotechnology.
 Item 20. If "Yes" is specified (seed of this variety be sold by variety name only, as a class of certified
seed), the applicant MAY NOT reverse this affirmative decision after the variety has been sold and so
labeled, the decision published, or the certificate issued. However, if "No" has been specified, the
applicant may change the choice. (See Regulations and Rules of Practice, Section 97.103).
 Item 23. See Sections 41, 42, and 43 of the Act and Section 97.5 of the regulations for eligibility requirements.
 Item 24. See Section 55 of the Act for instructions on claiming the benefit of an earlier filing date.
Corrections on the application form and exhibits must be initialed and dated. DO NOT use masking
materials to make corrections. If a certificate is allowed, you will be requested to send a payment by
credit card or check payable to "Treasurer of the United States" in the amount of $768 for issuance of
the certificate. Certificates will be issued to owner, not licensee or agent.

Instructions Regarding Name Clearance
To avoid conflict with other variety names in use, the applicant must check the appropriate recognized
authority and provide evidence that the permanent name of the application variety (even if it is a
parental, inbred line) has been cleared by the appropriate recognized authority before the Certificate of
Protection is issued. For example, for agricultural and vegetable crops, contact: U.S. Department of
Agriculture, Agricultural Marketing Service, Livestock and Seed Programs, Seed Regulatory and Testing
Branch, 801 Summit Crossing Place, Suite C, Gastonia, North Carolina 28054-2193 Telephone: (704) 8108870. http://www.ams.usda.gov/lsg/seed.htm.

Important Notice about Changes in Ownership or Assignments
It is the responsibility of the applicant/owner to keep the PVPO informed of any changes of address or
change of ownership or assignment or owner's representative during the life of the application/certificate.
The fees for filing a change of address; owner's representative; ownership or assignment; or any
modification of owner's name is specified in Section 97.175 of the regulations. (See Section 101 of the
Act, and Sections 97.130, 97.131, 97.175(h) of the Regulations and Rules of Practice.)

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How to send seed samples
Domestic (U.S.) sources: Seed samples from within the U.S. should be sent directly to NCGRP at the
following address via commercial carriers (i.e. FedEx, UPS, etc.) rather than the U.S. Postal Service.
USDA-ARS-NCGRP, Attn: PVP Coordinator, 1111 South Mason St., Fort Collins, CO 80521-4500,
Telephone: 970-492-7500.
Non-US sources:
1. Please email NCGRP at [email protected] to request documentation necessary to
import seed into the United States. This documentation includes an Import Permit Address label
specific for this shipment as well as a copy of the Import Permit.
2. Please note that the import label is valid only for the shipment assigned and is not re-usable. Seed
shipped without proper documentation (Import Permit and Import Address labels) from non-US
sources may be destroyed.
3. It is requested that a copy of the Import Permit be enclosed with the seed.
4. A Phytosanitary Certificate issued by the country of origin must accompany all samples received
from non-US sources, per USDA Animal Plant Health Inspection Service (APHIS) regulations.
5. Inside the shipping box, please include your 1) seed deposit forms and 2) a letter to indicate where
the seed is to be shipped after it is inspected by the Plant Protection and Quarantine Office (to
USDA-ARS-NCGRP), and 3) a Phytosanitary Certificate.

Instructions for Completing Exhibit A - Origin and Breeding History
The applicant is required to provide:
1. A full disclosure of the genealogy, including the breeding method;
2. The details of subsequent stages of selection and multiplication used to develop the variety; A
statement of uniformity reporting the level of variability in any characteristics of the variety
(commercially acceptable variability is allowed);
3. A statement of genetic stability showing the number of cycles of seed reproduction for which the
variety has remained unchanged in all distinguishing characteristics;
4. The type and frequency of variants observed during reproduction and multiplication;
Obtaining intellectual property rights requires disclosure. As part of this disclosure the applicant is to
provide the public with information about his/her invention in exchange for protection of the variety. For
Plant Variety Protection, this includes a full disclosure of the parentage and breeding methodology in the
Exhibit A, Origin and Breeding History.
Also, as part of the breeding history and methodology, the Exhibit A includes the details of subsequent
stages of selection and multiplication, including the selection criteria. Additionally, if not obvious or
enclosed elsewhere in the application, the Exhibit A would provide the characteristic(s) by which the
application variety can be distinguished from the direct parent(s).
Lastly, provide a separate statement that discusses whether there are genetic variants that are to be
expected during normal maintenance of the variety, the description of the variants, and their frequency.
In general, the frequency of variants should not be more than 5%. Beyond this level, the uniformity and
stability of the variety may be called into question.

Instructions for Completing Exhibit B – Statement of Distinctness
To produce a Statement of Distinctness the applicant can follow the steps below. **If additional space is
required, feel free to attach your supporting data on a separate sheet of paper and attach it to the Exhibit
B form below.
1. State the most similar previously existing variety, varieties, or identifiable group of varieties; or,
2. State all the previously existing varieties known for a crop. Generally, this can only be one for a newly
identified crop.
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3. State the character or characters that clearly distinguish the applicant's variety from the varieties
stated in step 1 (i.e., the most similar variety or varieties).
4. State the qualities or quantities of the character(s) referenced in step 2. Note the character state must
be provided for the application variety and the most similar variety or varieties.

General Requirements for a Distinguishing Character
1. Differences in quantitative characters such as plant size, seed size, and maturity that are not obvious
and detectable without a direct comparison must be supported by evidence provided by the applicant.
The evidence must be given as numerical data obtained from at least 2 trials. (Please see the
Guidelines for Presenting Evidence in Support of Variety Distinctness.)
2. Distinction based on differences in color needs to be referenced with a standard such as the Royal
Horticultural Society Colour Chart or the Munsell Book of Color, unless dramatic (i.e., red vs. green).
Color chart measurements must be conducted in two or more localities or growing seasons.
3. Distinction based on a difference in disease reaction needs to be supported with data or results from at
least 2 trials that were conducted in two or more localities or growing seasons, unless dramatic (i.e.,
immune vs. highly susceptible); or the presence or absence of a gene known to produce the reaction
must be stated. When the causal agent has been demonstrated or identified, the name/identity of that
agent must be provided. Also, the disease reaction needs to be referenced to the race, strain, or
pathotype of the causal agent or organism where appropriate. If the causal agent has not been
demonstrated or identified, the nature of the source of the disease or inoculant used must be provided.
4. Differences in yield cannot be used as a basis for distinction because yield is a highly complex
character. Sub-characters that contribute to differences in yield can be used as a basis for distinction.
5. Improvements in uniformity (by reducing the standard variation) are not sufficient to establish
distinction.

The PVPO will accept differences using molecular techniques (DNA fingerprinting) only if:
1. The molecular marker locus is publicly disclosed and cited (citations of URLs such as Soybase or
MaizeGDB are acceptable),
2. the molecular marker locus is clearly identified,
3. the specific differentiating data is cited,
4. if photographic copies are provided, they contain sufficient resolution of scientific publishable quality
gels or other molecular data with sufficient resolution and labeling to resolve the individual data in
question are provided, and
5. the molecular marker locus can be detected by a third party.
For example, in the case of:
SNPs - the locus is defined by the SNP sequence showing the substitution or indel
SSRs - the locus may be defined by primer pairs or sequence
AFLPs - the locus is defined by primer pairs
RAPDs - the locus is defined by primer pairs

Guidelines for Presenting Evidence in Support of Variety Distinctness
Differences in quantitative characters such as plant size, seed size, maturity and any difference not
obvious must be given as numerical data obtained from similar comparisons with a statistical analysis
showing the degree of significance. The comparison must be conducted in at least two locations or two
growing periods.

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The following information is required as part of the statistical analysis:
1. Provide data or results from at least 2 trials for comparison of a differentiating characteristic,
conducted in two or more localities or growing seasons with the results analyzed separately that
clearly demonstrate repeatability (do not pool your data);
2. The location of each trial; planting, harvesting, and comparison dates for each trial; number of plants
in each trial; sample size or number of plants (or plant parts) for each comparison;
3. Mean or average value of the differentiating characteristic for each variety in the comparison.
4. Some measure of the range of observed values for each variety in the comparison, such as the
standard deviation, 95% confidence intervals, the actual range of observed values from the minimum
to the maximum, or a histogram or box plot, which are helpful in determining the validity of any
comparisons;
5. Name of the specific statistical analysis used (e.g., T-test, specific "LSD" procedure, ANOVA, 95%
confidence interval, binomial distribution or the like);
6. Citation of the actual statistic and the probability value (if a T-test was used, provide the actual Tvalue, as well as the probability value corresponding to it);
7. Evidence that the analysis is appropriate in this case (e.g. if the distribution was not a normal
distribution, that the analysis was non-parametric, e.g. Mann-Whitney U-test, or that the data were
appropriately transformed), include any factors that prevented the normal distribution and/or
confidence of the data.

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REPRODUCE LOCALLY. Include form number and date on all reproductions

Form Approved - OMB No. 0581-0055

U.S. DEPARTMENT OF AGRICULTURE
AGRICULTURAL MARKETING SERVICE
SCIENCE AND TECHNOLOGY - PLANT VARIETY PROTECTION OFFICE

The following statements are made in accordance with the Privacy Act of 1974 (5 U.S.C. 552a) and the Paperwork
Reduction Act (PRA) of 1995.
Application is required in order to determine if a plant variety protection certificate is to be issued
(7 U.S.C. 2421). Information is held confidential until certificate is issued (7 U.S.C. 2426).

APPLICATION FOR PLANT VARIETY PROTECTION CERTIFICATE
(Instructions and information collection burden statement on reverse)
1. NAME OF OWNER

2. TEMPORARY DESIGNATION OR EXPERIMENTAL NAME

3. VARIETY NAME

FOR OFFICIAL USE ONLY

4. ADDRESS (Street and No., or R.F.D. No., City, State, and ZIP Code, and Country) 5. TELEPHONE (include area code)

PVPO NUMBER
6. FAX (include area code)
FILING DATE
7. IF THE OWNER NAMED IS NOT A "PERSON", GIVE FORM OF
ORGANIZATION (corporation, partnership, association, etc.)

8. IF INCORPORATED, GIVE STATE OF 9. DATE OF INCORPORATION
INCORPORATION

10. NAME AND ADDRESS OF OWNER REPRESENTATIVE(S) TO SERVE IN THIS
APPLICATION. (First person listed will receive all papers)

F
E
E
S

11. TELEPHONE (Include area code)

R
E

12. FAX (Include area code)

C‘
D

FILING AND EXAMINATION FEES:
$
DATE
CERTIFICATION FEE:
$
DATE

13. E-MAIL

14. CROP KIND (Common Name)

15. GENUS AND SPECIES NAME OF CROP

16. FAMILY NAME (Botanical)

17. IS THE VARIETY A FIRST GENERATION HYBRID?

18. DOES THE VARIETY CONTAIN ANY BIOTECHNOLOGY
EVENTS?

20. DOES THE OWNER SPECIFY THAT SEED OF THIS
VARIETY BE SOLD ONLY AS A CLASS OF CERTIFIED
SEED? (See Section 83(a) of the Plant Variety Protection
Act)

□ YES □ NO

□

YES

□

NO

A biotechnology event is defined as a single insertion of a nucleic acid
construct into a specific site in a plant’s chromosome that is regulated
under the U.S. Coordinated Framework for the Regulation of
Biotechnology.
19. CHECK APPROPRIATE BOX FOR EACH ATTACHMENT SUBMITTED
(Follow instructions)
a.
b.
c.
d.
e.
f.

□
□
□
□
□
□

Exhibit A. Origin and Breeding History of the Variety
Exhibit B. Statement of Distinctness

□

YES

□

Exhibit E. Statement of the Basis of the Owner's Ownership

Filing and Examination Fee ($4,382),
Make checks and money orders payable to "Treasurer of the United States" (Mail to the
Plant Variety Protection Office)

Credit Card Payments (See instructions on Page 2 of 11)
23. HAS THE VARIETY (INCLUDING ANY HARVESTED MATERIAL) OR A HYBRID PRODUCED
FROM THIS VARIETY BEEN SOLD, DISPOSED OF, TRANSFERRED, OR USED IN THE U. S. OR
OTHER COUNTRIES?


□

NO (If "no", go to item 23)

UNDECIDED
21. DOES THE OWNER SPECIFY THAT SEED OF THIS VARIETY BE LIMITED AS TO
NUMBER OF CLASSES?

□

NO

IF YES, WHICH CLASSES?

Exhibit D. Additional Description of the Variety (Optional)

YES

YES (If "yes", answer items 21 and 22 below)

□

FOUNDATION

□ REGISTERED □ CERTIFIED

22. DOES THE OWNER SPECIFY THAT SEED OF THIS VARIETY BE LIMITED AS TO NUMBER
OF GENERATIONS?

Exhibit C. Objective Description of Variety

□

□
□
□

NO

□

YES
NO
IF YES, SPECIFY THE NUMBER 1,2,3, etc. FOR EACH CLASS.
____ FOUNDATION

____ REGISTERED

____ CERTIFIED

(If additional explanation is necessary, please use the space indicated on next page.)
24. IS THE VARIETY OR ANY COMPONENT OF THE VARIETY PROTECTED BY INTELLECTUAL
PROPERTY RIGHT (PLANT BREEDER'S RIGHT OR PATENT)?

□

YES

□

NO

IF YES, YOU MUST PROVIDE THE DATE OF FIRST SALE, DISPOSITION, TRANSFER, OR USE FOR IF YES, PLEASE GIVE COUNTRY, DATE OF FILING OR ISSUANCE AND ASSIGNED
EACH COUNTRY AND THE CIRCUMSTANCES. (Please use space indicated on next page.)
REFERENCE NUMBER. (Please use space indicated on next page.)
25. The owners declare that a viable sample of basic seed will be furnished directly to an acceptable depository in support of the variety within three months of filing. Seed will be replenished upon request in
accordance with such regulations as may be applicable. For a tuber propagated variety or vegetative propagated parent of the variety, a tissue culture or vegetative sample will be deposited in a public
repository within three months of the date of the certificate fee request letter. These will be maintained for the duration of the certificate.”
The undersigned owner(s) is(are) the owner of this sexually reproduced or tuber propagated plant variety, and believe(s) that the variety is new, distinct, uniform, and stable as required in Section 42, and is
entitled to protection under the provisions of Section 42 of the Plant Variety Protection Act. Owner(s) is (are) informed that false representation herein can jeopardize protection and result in penalties.
SIGNATURE OF OWNER

SIGNATURE OF OWNER

NAME (Please print or type)

NAME (Please print or type)

CAPACITY OR TITLE

DATE

ST - 470 (10/2015) Revised by the Plant Variety Protection Office

CAPACITY OR TITLE

DATE

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Continuation Page from ST – 470 (Application for Plant Variety Protection Certificate)
22. CONTINUED FROM FRONT

(Please provide a statement as to the limitation and sequence of generations that may be certified.

23. CONTINUED FROM FRONT (Please provide the date of first sale, disposition, transfer, or use for each country and the circumstances, if the variety
(including any harvested material) or a hybrid produced from this variety has been sold, disposed of, transferred, or used in the U.S. or other countries.)

24. CONTINUED FROM FRONT (Please give the country, date of filing or issuance, and assigned reference number, if the variety or any component of
the variety is protected by intellectual property right (Plant Breeder's Right or Patent).)

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FOR OFFICIAL USE ONLY

U.S. DEPARTMENT OF AGRICULTURE
AGRICULTURAL MARKETING SERVICE
SCIENCE AND TECHNOLOGY - PLANT VARIETY PROTECTION OFFICE

PVPO NUMBER

APPLICATION FOR PLANT VARIETY PROTECTION CERTIFICATE
EXHIBIT A – ORIGIN AND BREEDING HISTORY
** Use additional pages as needed.

1. Name of Owner

2. Temporary Designation or Experimental Name

3. Variety Name

4. Describe the genealogy (back to and including public and commercial varieties, lines, or clones used) and the breeding method(s). **

5. Give the details of subsequent stages of selection and multiplication. **
Detail of Stage

Year

6. Is the variety uniform?

____Yes

Selection Criteria

_____No

How did you test for uniformity?

7. Is the variety stable? _____ Yes

_____ No

How did you test for stability? Over how many generations?

8. Are genetic variants observed or expected during reproduction and multiplication? _____ Yes

_____ No

If yes, state how these variants may be identified, their type and frequency.

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U.S. DEPARTMENT OF AGRICULTURE
AGRICULTURAL MARKETING SERVICE
SCIENCE AND TECHNOLOGY - PLANT VARIETY PROTECTION OFFICE

FOR OFFICIAL USE ONLY

APPLICATION FOR PLANT VARIETY PROTECTION CERTIFICATE
PVPO NUMBER

EXHIBIT B – STATEMENT OF DISTINCTNESS
** Use additional tables to present clear differences for additional comparison varieties.
Use additional pages to present supporting evidence.

1. Name of Owner

2. Temporary Designation or Experimental Name

3. Variety Name

Based on overall morphology, _________________________ is most similar to ____________________________________________.
Applicant’s new variety
Most similar comparison variety(ies)
_______________________ most clearly differs from _________________________________ in the following traits:
Applicant’s new variety
Most similar comparison variety(ies)
Name the specific trait. Then list the value of that trait for each variety in the comparison. Submit appropriate supporting evidence (see the Guidelines for Presenting
Evidence in Support of Variety Distinctness in the instructions below).
Eg. Leaf Pubescence
Eg. Leaf Color
Eg. Plant Height

heavy pubescence
Dark Green (5GY 3/4)
200 cm +/- 10 cm (N=25)

glabrous
Light Green (2.5GY 8/10)
250 cm +/- 15 cm (N=25)

photograph attached
Munsell Color Chart
statistics attached

1. Qualitative traits:

Applicant’s New Variety _________

1st Comparison Variety
_________

Location of Evidence Within the
Application

2. Color traits:

3. Quantitative traits:

4. Other:

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U.S. DEPARTMENT OF AGRICULTURE
AGRICULTURAL MARKETING SERVICE
SCIENCE AND TECHNOLOGY - PLANT VARIETY PROTECTION OFFICE

FOR OFFICIAL USE ONLY

APPLICATION FOR PLANT VARIETY PROTECTION CERTIFICATE

PVPO NUMBER

EXHIBIT E - STATEMENT OF THE BASIS OF OWNERSHIP
1. Name of Owner

2. Temporary Designation or Experimental Name

3. Variety Name

4. Does the applicant own all rights to the variety? Mark an "X" in the appropriate block. If no, please explain.

5. Is the applicant a U.S. national or a U.S. based entity? If no, give name of country.

6. Is the applicant the original owner?

YES

NO

YES

YES

NO

NO

If no, please answer one of the following:

a. If the original rights to variety were owned by individual(s), is (are) the original owner(s) a U.S. National(s)?
YES
NO
If no, give name of country

b. If the original rights to variety were owned by a company(ies), is (are) the original owner(s) a U.S. based company?
YES
NO
If no, give name of country

7. .Additional explanation on ownership (Trace ownership from original breeder to current owner).

PLEASE NOTE:
Plant variety protection can only be afforded to the owners (not licensees) who meet the following criteria:
1. If the rights to the variety are owned by the original breeder, that person must be a U.S. national, national of a UPOV member country, or
national of a country which affords similar protection to nationals of the U.S. for the same genus and species.
2. If the rights to the variety are owned by the company which employed the original breeder(s), the company must be U.S. based, owned by
nationals of a UPOV member country, or owned by nationals of a country which affords similar protection to nationals of the U.S. for the same
genus and species.
3. If the applicant is an owner who is not the original owner, both the original owner and the applicant must meet one of the above criteria.
The original breeder/owner may be the individual or company who directed the final breeding. See Section 41(a)(2) of the Plant Variety Protection Act for
definitions.

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USDA’s Nondiscrimination Statement.
In accordance with Federal civil rights law and U.S. Department of Agriculture (USDA) civil rights regulations
and policies, the USDA, its Agencies, offices, and employees, and institutions participating in or administering
USDA programs are prohibited from discriminating based on race, color, national origin, religion, sex, gender
identity (including gender expression), sexual orientation, disability, age, marital status, family/parental status,
income derived from a public assistance program, political beliefs, or reprisal or retaliation for prior civil rights
activity, in any program or activity conducted or funded by USDA (not all bases apply to all programs).
Remedies and complaint filing deadlines vary by program or incident.
Persons with disabilities who require alternative means of communication for program information (e.g.,
Braille, large print, audiotape, American Sign Language, etc.) should contact the responsible Agency or
USDA’s TARGET Center at (202) 720-2600 (voice and TTY) or contact USDA through the Federal Relay
Service at (800) 877-8339. Additionally, program information may be made available in languages other than
English.
To file a program discrimination complaint, complete the USDA Program Discrimination Complaint Form,
AD-3027, found online at http://www.ascr.usda.gov/complaint_filing_cust.html and at any USDA office or
write a letter addressed to USDA and provide in the letter all of the information requested in the form. To
request a copy of the complaint form, call (866) 632-9992. Submit your completed form or letter to USDA by:
1) mail: U.S. Department of Agriculture Office of the Assistant Secretary for Civil Rights 1400
Independence Avenue, SW Washington, D.C. 20250-9410;
2) fax: (202) 690-7442; or
3) email: [email protected].
USDA is an equal opportunity provider, employer, and lender.

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