WPCG  0. 0r6 09D 0> 0D* 0Dn 0D 0D 0: 05D; 0 0D 0D 0DU,L 0Jx 0T 0^ 0ht 0r 0|N 0 0P 1u %U 0n[U6 0 0/ 0" 0D 0 " 0dUw>% 0cw?O3A t   ! [ 5! am!};!! !0W!N#)&&t'( .(!0ͯ!4('*@,../1K3g3D6`6`7|7079N==f>D+>a0>D>`>A$AAA>BwECEE*EH:HVHgKK~}NN PYZ[U[[\#^_`a=cYcuc4dEl/pp!!-p!ͱ )] q  o"yU>)qgq AI-re)v~vrvsygo$9 1mzɃAr{s}o~5[= 0iO3P\ߋf _ސ=gƔA- n.jyb&`˫+WNXeg~\ǭ6iiTp4Normal,NM  E1` ` " hp x (#%'XE      E1` ` " hp x (#%'XE    <3:endnote refe        (($  2  ($  0  ($$  0  ($$  0  ($$  0  ($$  0  ($$  0  ($$  0  ($$  0  ($$  0  <  9p`(Geneva2 0Indent123  2" 0Indent20 23  2, 0Indent30 0 23  26 0Indent40 0 0 23  2@ 0Indent50 0 0 0 23  2J 0Indent60 0 0 0 0 23  2T 0Indent70 0 0 0 0 0 23  2^ 0Indent80 0 0 0 0 0 0 23   ?AGMSYaioIndent0I.A.1.a.(1)(a)i)a)gXPW>8Mac DefaultMac Default ` X` X<  9p`(Courier New(,$ ` XXDXXXXrXXXD LyV6Mac NormalMac Normal(#(#     ` XXXDXXXXrXXXD(#(#     ` XXXDXXXXrXXXD.xx0p,Inset) XDXXXXrXXXD) XDXXXXrXXXD(p$!!(w2M$ W> ` XX  #XXXgX#XXX#X(Wf|$ @*  A <@9Z &Courier Regular0VVL3.Header#XXX   X#XXX   X $%  1      SeeRequestforCommentsonProposedExaminationGuidelines  forComputerImplementedInventions,60Fed.Reg.28,778(June2,1995). )  $  47      See,e.g.,NorthernTelecom,Inc.v.DatapointCorp.,908 (  F.2d931,94143,15USPQ2d1321,132830(Fed.Cir.1990)(judgmentofinvalidityreversedforclearerrorwhereexperttestimonyonbothsidesshowedthataprogrammerofreasonableskillcouldwriteasatisfactoryprogramwithordinaryeffortbasedonthedisclosure);DeGeorgev.Bernier,768F.2d1318,1334,226USPQ758,76263(Fed.Cir.1985)(inventionwasadequatelydisclosedforpurposesofenablementeventhoughallofthecircuitryofawordprocessorwasnotdisclosed,sincetheundisclosedcircuitrywasdeemedinconsequentialbecauseitdidnotpertaintotheclaimedcircuit);InrePhillips,608F.2d879,88283,203USPQ971,975(CCPA1979)(computerizedmethodofgeneratingprintedarchitecturalspecificationsdependentonuseofglossaryofpredefinedstandardphrasesanderrorcheckingfeatureenabledbyoveralldisclosuregenerallydefiningerrors);InreDonohue,550F.2d1269,1271,193USPQ136,137(CCPA1977)("Employmentofblockdiagramsanddescriptionsoftheirfunctionsisnotfatalunder35U.S.C.112,firstparagraph,providingtherepresentedstructureisconventionalandcanbedeterminedwithoutundueexperimentation.");InreKnowlton,481F.2d1357,136668,USPQ486,49394(CCPA1973)(examiner'scontentionthatasoftwareinventionneededadetaileddescriptionofallthecircuitryinthecompletehardwaresystemreversed).f   $  6    ݀  60Fed.Reg.36,263(July14,1995). (# _Toc335817601f_Toc335817606 z  $  7    ݀  Arrythmia,958F.2dat1057,22USPQ2dat1036: % 0     Itisofcoursetruethatamoderndigitalcomputermanipulatesdata,usuallyinbinaryform,byperformingmathematicaloperations,suchasaddition,subtraction,multiplication,division,orbitshifting,onthedata.Butthisisonlyhowthecomputerdoeswhatitdoes.Ofimportanceisthesignificanceofthedataandtheirmanipulationintherealworld,i.e.,whatthecomputeris +@ doing.  Ԁ (#(#  D  $  28      Diamondv.Diehr,450U.S.at183,209USPQat6("A H& statutoryprocessis...amodeoftreatmentofcertainmaterialstoproduceagivenresult.Itisanact,oraseriesofacts,performeduponthesubjectmattertobetransformedandreducedtoadifferentstateorthing....Theprocessrequiresthatcertainthingsshouldbedonewithcertainsubstances,andinacertainorder;butthetoolstobeusedindoingthismaybeofsecondaryconsequence."). +x   $  29      InreSchrader,22F.3d290,295,30USPQ2d1455,1459(Fed. @ Cir.1994).  $  30      Diamondv.Diehr,450U.S.at187,209USPQat8. `    $  31      Arrythmia,958F.2dat105859,22USPQ2dat103738.   _Toc335817622f   $  33      InreWalter,618F.2dat769,205USPQat409( Although 0* theclaimpreamblesrelatetheclaimedinventiontotheartofseismicprospecting,theclaimsthemselvesarenotdrawnto + methodsoforapparatusforseismicprospecting;theyaredrawntoimprovedmathematicalmethodsforinterpretingtheresultsofseismicprospecting.). @    $  34      InreRichman,563F.2d1026,1030,195USPQ340,343(CCPA  1977)( Inthepresentcasetoo,notwithstandingthatthe `  antecedentstepsarenovelandunobvious,theymerelydeterminevaluesforthevariablesusedinthemathematicalformulaeusedinmakingthecalculations.Thus,suchantecedentstepsdonotsufficetorendertheclaimedmethods,consideredasawhole,statutorysubjectmatter.). H    P-  P-   $  46      E.g.,InreWarmerdam,33F.3dat1359,31USPQ2dat1759.  SeealsoInreSchrader,22F.3dat295,30USPQ2dat145859(althoughthecourtdeterminedthatthesubjectmatterwassimplyamathematicalalgorithm,Schrader'sprocessmerelymanipulatedanabstractidea).       $  36      InreTaner,681F.2d787,788,214USPQ678,679(CCPA @ 1982).  M! ` XX#XXXgX#XXX#X  p!!   ` ` '` X@&<A  1     $  37      InreAbele,684F.2dat908,214USPQat687( The `" specificationindicatesthatsuchattenuationdataisavailableonlywhenanXraybeamisproducedbyaCATscanner,passedthroughanobject,anddetecteduponitsexit.Onlyafterthesestepshavebeencompletedisthealgorithmperformed,andtheresultantmodifieddatadisplayedintherequiredformat.). H&    M! ` XX#XXXgX#XXX#X   ` ` X` X  }XXX#X}IX}XmA;+'b|x `@mIg}IXXgI_Toc335817654   $  38      InreGelnovatch,595F.2d32,41n.7,201USPQ136,145n.7 ( (CCPA1979)( Appellants'claimedstepofperturbingthevalues h) ofasetofprocessinputs(step3),inadditiontobeingamathematicaloperation,appearstobeadatagatheringstepofthetypewehaveheldinsufficienttochangeanonstatutory +  methodofcalculationintoastatutoryprocess....Inthisinstance,theperturbedprocessinputsarenotevenmeasuredvaluesofphysicalphenomena,butareinsteadderivedbynumericallychangingthevaluesintheprevioussetofprocessinputs.).   _Toc335817663  M! ` XX#XXXgX#XXX#X  p!!   ` ` '` X@&<A  1  _Toc335817656_Toc335817645 &  M! ` XX#XXXgX#XXX#X    3   ݀  AsthecourtshaverepeatedlyremindedtheOffice: Thegoal H  istoanswerthequestion 'Whatdidapplicantsinvent?'Inre  Abele,684F.2dat907,214USPQat687(CCPA1982).Accord,e.g.,ArrhythmiaResearchTech.v.CorazonixCorp.,958F.2d1053,1059,22USPQ2d1033,1038(Fed.Cir.1992). |  M! ` XX#XXXgX#XXX#X    4   ݀  SeeBrennerv.Manson,383U.S.519,534,148USPQ689,695  ( Whateverweightisattachedtothevalueofencouraging  disclosureandofinhibitingsecrecy,webelieveamorecompellingconsiderationisthataprocesspatentinthechemicalfield,whichhasnotbeendevelopedandpointedtothedegreeofspecificutility,createsamonopolyofknowledgewhichshouldbegrantedonlyifclearlycommandedbythestatute.)(emphasis p added).SeealsoNelsonv.Bowler,626F.2d853,856,206USPQ881,883(CCPA1980)(Specificutilityisalsocalled practical @ utility.).     $  39      InreSarkar,588F.2dat1331,200USPQat135. (  _Toc335817620'ddTABLE_A_Toc335817641   $  8    ݀  Manycomputerimplementedinventionsdonotconsistsolely  ofacomputer.Thus,Officepersonnelshouldidentifythoseclaimedelementsofthecomputerimplementedinventionthatarenotpartoftheprogrammedcomputer,anddeterminehowthoseelementsrelatetotheprogrammedcomputer.Officepersonnelshouldlookforspecificinformationthatexplainstheroleoftheprogrammedcomputerintheoverallprocessormachineandhowtheprogrammedcomputeristobeintegratedwiththeotherelementsoftheapparatusorusedintheprocess.$` ` " XX$_Toc335817642  M! ` XX#XXXgX#XXX#X  @3  1  ڈ_Toc335817643_Toc335817644 4 $%  2      InreFreeman,573F.2d1237,1245,197USPQ464,471(CCPA  1978);InreWalter,618F.2d758,767,205USPQ397,40607(CCPA1980);InreAbele,684F.2d902,90507,214USPQ682,68587(CCPA1982). m  $  10    ݀  See,e.g.,InrePaulsen,30F.3d1475,1480,31USPQ2d  1671,1674(Fed.Cir.1994)(inventormaydefinespecifictermsusedtodescribeinvention,butmustdoso"withreasonableclarity,deliberateness,andprecision"and,ifdone,must"'setouthisuncommondefinitioninsomemannerwithinthepatentdisclosure'soastogiveoneofordinaryskillintheartnoticeofthechange"inmeaning)(quotingIntellicall,Inc.v.Phonometrics,Inc.,952F.2d1384,138788,21USPQ2d1383,1386(Fed.Cir.1992))._Toc335817657_Toc335817659   $  5    ݀  E.g.,InreAlappat,33F.3d1526,1543,31USPQ2d1545,   155657(Fed.Cir.1994)(inbanc)(quotingDiamondv.Diehr,450U.S.175,192,209USPQ1,10(1981)).Seealsoid.at1579(Newman,J.,concurring)("unpatentabilityoftheprincipledoesnotdefeatpatentabilityofitspracticalapplications")(citingO'Reillyv.Morse,56U.S.(15How.)62(1854));Arrhythmia,958F.2dat1057,22USPQ2dat1036._Toc335817615_Toc335817614   $  11    ݀ ` See,e.g.,InreZletz,893F.2d319,32122,13USPQ2d X 1320,1322(Fed.Cir.1989)( Duringpatentexaminationthe   pendingclaimsmustbeinterpretedasbroadlyastheirtermsreasonablyallow....Thereasonissimplythatduringpatentprosecutionwhenclaimscanbeamended,ambiguitiesshouldberecognized,scopeandbreadthoflanguageexplored,andclarificationimposed....Anessentialpurposeofpatentexaminationistofashionclaimsthatareprecise,clear,correct,andunambiguous.Onlyinthiswaycanuncertaintiesofclaimscopeberemoved,asmuchaspossible,duringtheadministrativeprocess.). (#  _Toc335817616  +   $  13    ݀  See,e.g.,Diamondv.Diehr,450U.S.at18889,209USPQ  at9( Indeterminingtheeligibilityofrespondents'claimed x processforpatentprotectionunder101,theirclaimsmustbeconsideredasawhole.Itisinappropriatetodissecttheclaimsintooldandnewelementsandthentoignorethepresenceoftheoldelementsintheanalysis.Thisisparticularlytrueinaprocessclaimbecauseanewcombinationofstepsinaprocessmaybepatentableeventhoughalltheconstituentsofthecombinationwerewellknownandincommonusebeforethecombinationwasmade.).     t  $  15    ݀  35U.S.C.101(1994).      $  16    ݀  See35U.S.C.100(b)("Theterm"process"meansprocess,  art,ormethod,andincludesanewuseofaknownprocess,machine,manufacture,compositionofmatter,ormaterial.").  $  14    ݀  Diamondv.Chakrabarty,447U.S.303,30809,206USPQ193,  19697(1980):0  0` (#(#   ` Inchoosingsuchexpansivetermsas"manufacture"and"compositionofmatter,"modifiedbythecomprehensive"any,"Congressplainlycontemplatedthatthepatentlawswouldbegivenwidescope.Therelevantlegislativehistoryalsosupportsabroadconstruction.ThePatentActof1793,authoredbyThomasJefferson,definedstatutorysubjectmatteras"anynewandusefulart,machine,manufacture,orcompositionofmatter,oranyneworusefulimprovement[thereof]."ActofFeb.21,1793,1,1Stat.319.TheActembodiedJefferson'sphilosophythat"ingenuityshouldreceivealiberalencouragement."5WritingsofThomasJefferson7576(Washingtoned.1871).SeeGrahamv.JohnDeereCo.,383U.S.1,710(1966).Subsequentpatentstatutesin1836,1870,and1874employedthissamebroadlanguage.In1952,whenthepatentlawswererecodified,Congressreplacedtheword"art"with"process,"butotherwiseleftJefferson'slanguageintact.TheCommitteeReportsaccompanyingthe1952ActinformusthatCongressintendedstatutorysubjectmatterto"includeanythingunderthesunthatismadebyman."S.Rep.No.1979,82dCong.,2dSess.5(1952);H.R.Rep.No.1923,82dCong.,2dSess.6(1952). ` (#` (# ̀  ThisperspectivehasbeenembracedbytheFederalCircuit: # 0  0` (#(#Theplainandunambiguousmeaningof101isthatanynewandusefulprocess,machine,manufacture,orcompositionofmatter,oranynewandusefulimprovementthereof,maybepatentedifitmeetstherequirementsforpatentabilitysetforthinTitle35,suchasthosefoundin102,103,and112.Theuseoftheexpansiveterm"any"in101representsCongress'sintentnottoplaceanyrestrictionsonthesubjectmatterforwhichapatentmaybeobtainedbeyondthose +& specificallyrecitedin101andtheotherpartsofTitle35....Thus,itisimpropertoreadinto101limitationsastothesubjectmatterthatmaybepatentedwherethelegislativehistorydoesnotindicatethatCongressclearlyintendedsuchlimitations.[InreAlappat,33F.3dat1542,31USPQ2dat1556.] ` (#` (#   $  17    ݀  E.g.,InreAlappat,33F.3dat1542,31USPQ2dat1556;In  reWarmerdam,33F.3dat1358,31USPQ2dat1757.  $  20    ݀  InreZiegler,992F.2d1197,120003,26USPQ2d1600,1603 ' 06(Fed.Cir.1993);Brennerv.Manson,383U.S.at52836,148USPQat69396._Toc335817617<  9p`(  $  23    ݀  See,e.g.,InreWarmerdam,33F.3dat1361,31USPQ2dat 0 1760(holdingnonstatutoryaclaimtoadatastructureperse).   $  24    ݀  ComputerDictionary210(2ded.MicrosoftPress1994): P 8  8`   Themeaningofdata,asitisintendedtobeinterpretedbypeople.Dataconsistsoffacts,whichbecomeinformationwhentheyareseenincontextandconveymeaningtopeople.Computersprocessdatawithoutanyunderstandingofwhatthatdatarepresents. ` x` x HP LaserJet Series IIHP2.PRSO|  0H- 0  $  25    ݀  See,e.g.,InreLowry,32F.3d1579,1583,32USPQ2d1031,   103435(Fed.Cir.1994);InreWarmerdam,33F.3dat13611362,31USPQ2dat1760.  $  26    ݀  InreWarmerdam,33F.3dat1359,31USPQ2dat1759(claim   tocomputerhavingspecificmemorydefinedusingproductbyprocessformat).   M! ` XX#XXXgX#XXX#X   ` ` X` X  }XXX#X}IX}XmG;+'b|x `@mIg}IXXgI_Toc335817626_Toc335817627  $  27      InreLowry,32F.3dat158384,32USPQ2dat1035. #  *  $  32      See,e.g.,InreMeyer,688F.2d789,79495,215USPQ193,  197(CCPA1982)( Scientificprinciples,suchastherelationship  betweenmassandenergy,andlawsofnature,suchastheaccelerationofgravity,namely,a=32ft./sec.2,canbe hX representedinmathematicalformat.However,somemathematicalalgorithmsandformulaedonotrepresentscientificprinciplesorlawsofnature;theyrepresentideasormentalprocessesandaresimplylogicalvehiclesforcommunicatingpossiblesolutionstocomplexproblems.Thepresenceofamathematicalalgorithmorformulainaclaimismerelyanindicationthatascientificprinciple,lawofnature,ideaormentalprocessmaybethesubjectmatterclaimedand,thus,justifyarejectionofthatclaimunder35USC101;butthepresenceofamathematicalalgorithmorformulaisonlyasignpostforfurtheranalysis.). 8(  Cf.InreAlappat,33F.3dat1543n.19,31USPQ2dat1556n.19inwhichtheFederalCircuitrecognizedtheconfusion:0  0` (#(#TheSupremeCourthasnotbeenclear...astowhethersuchsubjectmatterisexcludedfromthescopeof101becauseitrepresentslawsofnature,naturalphenomena,orabstractideas.SeeDiehr,450U.S.at186(viewedmathematicalalgorithmasalawofnature);Benson,409U.S.at7172(treatedmathematicalalgorithmasan"idea").TheSupremeCourtalsohasnotbeenclearastoexactlywhatkindofmathematicalsubjectmattermaynotbepatented.TheSupremeCourthasused,amongothers,theterms"mathematicalalgorithm,""mathematicalformula,"and"mathematicalequation"todescribetypesofmathematicalsubjectmatternotentitledtopatentprotectionstandingalone.TheSupremeCourthasnotsetforth,however,anyconsistentorclearexplanationofwhatitintendedbysuchtermsorhowthesetermsarerelated,ifatall. ` (#` (#    $  35      InInreSarkar,588F.2d1330,1335,200USPQ132,139  (CCPA1978),thecourtexplainedwhythisapproachmustbefollowed:0  0` (#(#Nomathematicalequationcanbeused,asapracticalmatter,withoutestablishingandsubstitutingvaluesforthevariablesexpressedtherein.Substitutionofvaluesdictatedbytheformulahasthusbeenviewedasaformofmathematicalstep.Ifthestepsofgatheringandsubstitutingvalueswerealonesufficient,everymathematicalequation,formula,oralgorithmhavinganypracticalusewouldbepersesubjecttopatentingasa"process"under101.Considerationofwhetherthesubstitutionofspecificvaluesisenoughtoconvertthedisembodiedideaspresentintheformulaintoanembodimentofthoseideas,orintoanapplicationoftheformula,isforeclosedbythecurrentstateofthelaw. ` (#` (#   $  40      Parkerv.Flook,437U.S.584,585,198USPQ193,195   (1978)._Toc335817621_Toc335817635_Toc335817637<  9p`(&Times New Roman 1 2 3 4 5~C << GPtPtHHL XG(HH(d'`Styl{WP}01  HH  2$HH  Geneva  <Px443!#4$*$$*$ KK  Geneva  Geneva .,6 Geneva   em:De Geneva  em:De Geneva   $  9    ݀  Markmanv.WestviewInstruments,52F.3d967,980,34USPQ2d  1321,1330(Fed.Cir.1995)(inbanc).# e37=CIQYag1.a.i.(1)(a)(i)1)a) '    0 .      $  12    ݀  See,e.g.,InrePaulsen,30F.3dat1480,31USPQ2dat1674 % (althoughspecificationcanbeusedtointerpretwhatthepatenteemeantbyawordorphraseintheclaim,cannotaddextraneouslimitationfromthespecificationwhenlimitationisnotneededtointerpretanyparticularwordsorphrasesintheclaim).́Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 5 Q  $  41      InreWalter,618F.2dat770,205USPQat409("If101  couldbesatisfiedbythemererecordationoftheresultsofanonstatutoryprocessonsomerecordmedium,eventhemostunskilledpatentdraftsmancouldprovideforsuchastep.").81WP TypographicSymbolsType 1Z?xxx,,Xx{q?xxx,,/Xxq?xxx,,fXxF?ddd,,Xdk+HHH,,H1s4ddd,,dI]s4ddd,,fd v8vv76X9p`+2Ap`\  p` 9p+N9p+9p`+9p`+| * p6 Xw  p\Rw  p`\4L  p`HzApn  M! ` XX#XXXgX#XXX#X W TCa:;  % )  @$  LegalAnalysistoSupportProposedExamination  @$ GuidelinesforComputerImplementedInventions  h @h,October3,1995@ &PatentandTrademarkOffice@| !UnitedStatesDepartmentofCommerce  '`", @+ TABLEOFCONTENTS   (  8   I.  Introduction[GuidelinesI.A.]!W(#.2  1 X 8   II.8  DetermineWhatApplicantHasInventedand     IsSeekingtoPatent[GuidelinesI.B.1.]!W(#.<1 `  8  0`     A.0` ` (#` (#IdentifyandUnderstandthePractical @` (#` (#    ` UtilityAssertedfortheInvention   ` [GuidelinesI.B.1.(a)]!W(#.02    8  0`     B.0` ` (#` (#ReviewtheDetailedDisclosureand` ` (#` (#    ` SpecificEmbodimentsoftheInvention   ` toDetermineWhattheApplicantHasInvented            ` [GuidelinesI.B.1(a)]!W(#.(/2 h  8  0`     0` ` (#` (#  C. ` AnalyzetheClaims[GuidelinesI.B.1.(b)]!W(#.C` (#` (#3 H  8   III.0  AssessClaimedInventionforCompliancewith(#(#   35U.S.C.101[GuidelinesI.B.1.(c)]!W(#.:4 P 8  0`     A.DetermineWhetherTheInventionis"Useful"!W(#.A` (#` (#5 0 8  0`     B.ClassifytheInventionastoItsProperStatutoryCategory!W(#. ` (#` (#6 8 8  0`   0 ` (#` (# ` 1.NonStatutorySubjectMatter  (# (#    `  [GuidelinesI.B.1.(c)(i)&(ii)]!W(#. A6  8  0`   0 ` (#` (#0 (# (# (a)  "DataStructures"PerSeor p(#(#    `    ComputerProgramsPerSe!W(#.P<7 8 8  0`   0 ` (#` (#0 (# (# (b)  NonFunctionalInformation!W(#.?(#(#8 x! 8  0`   0 ` (#` (#0 (# (# (c)  NaturalPhenomenaSuchasElectricityand  X# Magnetism!W(#.H-(#(#8  $ 8  0`   0 ` (#` (# ` 2.StatutorySubjectMatter!W(#.4 (# (#8 `"& 8  0`   0 ` (#` (#0 (# (# (a)  StatutoryProducts!W(#.6(#(#8 #@( 8  0`   0 ` (#` (#0 (# (#0h(#(#  (i)0hh(#h(#ProductClaimsClaimsDirectedto % * MachinesandManufactures!W(#. Ch(#h(#9 H&!+ 8  0`   0 ` (#` (#0 (# (#0h(#(#  (ii)0hh(#h(#ClaimsthatEncompassAnyMachine'(#-h(#h(#    `     h orManufactureEmbodimentof   `     h aProcess!W(#.39 h)$/ 8  0`   0 ` (#` (#0 (# (# (b)  StatutoryProcesses*H&1(#(#    `    [GuidelinesI.B.1.(c)(iii)]!W(#.A12 +'2 Ї8  0`   0 ` (#` (#0 (# (#0h(#(#  (i)0hh(#h(#AppropriateSubjectMatterfor  ManipulationStepsofaProcess!W(#.Ih(#h(#12 x 8  0`   0 ` (#` (#0 (# (#0h(#(#  (ii)0hh(#h(#TransformationorReductiontoa X DifferentStateorThing!W(#.Bh(#h(#12   8  0`   0 ` (#` (#0 (# (#0h(#(#  (iii)ExamplesofStatutoryComputer  ImplementedProcesses!W(#.@?h(#h(#13 ( x 8  0`   0 ` (#` (# ` 3.NonStatutoryProcesses!W(#.3 (# (#13    8  0`   0 ` (#` (#0 (# (# (a)0(#(#MathematicalAlgorithmThatDefinesH  (#(#    `    aLawofNatureorNaturalPhenomenon   `    orDescribesanAbstractIdea!W(#.A13 (  8  0`   0 ` (#` (#0 (# (# (b)0(#(#EvaluationofCertainLanguageRelatedh (#(#    `    toMathematicalOperationStepsof   `    aProcess!W(#.H-14 H  8  0`   0 ` (#` (#0 (# (#0h(#(#  (i)0hh(#h(#IntendedUseorFieldofh(#h(#    `     h UseStatements!W(#.814 P 8  0`   0 ` (#` (#0 (# (#0h(#(#  (ii)0hh(#h(#NecessaryAntecedentStepto0h(#h(#    `     h PerformanceofAMathematical   `     h OperationorIndependent   `     h LimitationonaClaimedProcess!W(#.I15 8 8  0`   0 ` (#` (#0 (# (#0h(#(#  (iii)PostMathematicalOperationStep h(#h(#    `     h UsesSolutionorMerelyConveys   `     h ResultofOperation!W(#.P=16 X 8  0`   0 ` (#` (#0 (# (# (c)0(#(#ManipulationofAbstractIdeasWithoutA 8 PracticalApplication!W(#.9(#(#17   8   IV.0  IssuesRelatedtoCompliancewithSection112,Firstand @" SecondParagraphs[GuidelinesI.B.2.]!W(#.P9(#(#17  X# 8  0`     A.0` ` (#` (#SpecificationFailstoShowHowtoMakeorUse !% ProgrammedComputerElementofInvention ` (#` (#    ` [GuidelinesI.B.2.(b)]!W(#.018 (#x' 8  0`     B.0` ` (#` (#ProgrammedComputerIsDefinedAsCompositeof $ ) FunctionalElements!W(#.H+` (#` (#18 % * 8  0`     C.0` ` (#` (#ElementsofaMachineDefinedUsingMeans'`",` (#` (#    ` PlusFunctionLanguage   ` [GuidelinesI.B.2.(a)&(b)]!W(#.p619 (#. 8  0`     D.0` ` (#` (#ClaimDoesNotDefineApplicantsInvention0*%0` (#` (#    ` [GuidelinesI.B.2.(a)]!W(#.020 *H&1  +'2 8  0`     E.0` ` (#` (#ClaimDefinedUsingOnlyComputerProgramCode       [GuidelinesI.B.2.(a)]!W(#.0` (#` (#20 x 8   0    0(#(#  V.  IssuesRelatedtoCompliancewith103X(#(#   [GuidelinesI.B.3.]!W(#.'21   8   VI.  Conclusion!W(#.   22 `     ( x       LegalAnalysistoSupportProposedExaminationGuidelines  forComputerImplementedInventions  x   $3#XXX#X#XXX#X  X   $3&  I.  Introduction[GuidelinesI.A.] p'$3&{'݌ X Ќ#XXX#X#XXX#X  X  yV     ` X` X#XXX#XXXX#X    TheOfficehasdevelopedProposedExaminationGuidelinesforComputerImplementedInventions& (  1     andthislegalanalysis `  (collectively,the guidelines)toassistOfficepersonnelin ( x theexaminationofapplicationsdrawntocomputerimplementedinventions.TheguidelinesarebasedontheOfficescurrent    understandingofthelaw,andrepresenttheofficialpolicyofthePatentandTrademarkOffice.OfficepersonnelaretorelyontheseguidelinesintheeventofanyinconsistenttreatmentofissuesbetweentheseguidelinesandanyearlierprovidedguidancefromtheOffice.  TheguidelinesaltertheproceduresOfficepersonnelshallemploytoexamineapplicationsdrawntocomputerimplementedinventions.TheguidelinesalsoclarifytheOfficespositionon  certainpatentabilitystandardsrelatedtothisfieldoftechnology.ThepositionssetforthintheseguidelinesarebelievedtobefullyconsistentwiththebindingprecedentoftheSupremeCourt,andtheFederalCircuitanditspredecessorcourts.(-ݹ     ` X` XXXXX#XXXX  yV     ` X` X#XXX#XXXX#X    TheFreemanWalterAbeleW (  2      ׀test,whileoflimitedvalue,may 8 stillberelieduponinanalyzingclaimsdirectedsolelytoaprocessforsolvingamathematicalalgorithm."Businessmethods"aretobeanalyzedthesamewayasanyotherprocess.  TheappendixincludestheproposedguidelinesandagraphicoverviewofhowOfficepersonnelwillconductanexaminationtodeterminestatutorysubjectmatter.yV=/.B.2     ` X` XXXXX#XXXX  $` ` " X` X$$3#XXX#X#XXX#X  X   $3h3  II.  DetermineWhatApplicantHasInventedandIsSeekingto @" Patent + Ԁ[GuidelinesI.B.1.] 3$3h33݌̌#XXX#X#XXX#X  X   r Itisessentialthatpatentapplicantsobtainapromptyetcompleteexaminationoftheirapplications.Thus,Officepersonnelmustraiseanyissuethatmayaffectpatentabilityintheinitialactiononthemerits.Undertheprinciplesofcompactprosecution,eachclaimshouldbereviewedforcompliancewitheverystatutoryrequirementofpatentabilityintheinitialreviewoftheapplication,evenifoneormoreclaimsisfoundtobedeficientwithrespecttoonestatutoryrequirement.Deficienciesshouldbeexplainedclearly,particularlywhentheyserveasabasisforarejection.Wherepossible,Officepersonnelshouldindicatehowrejectionsmaybeovercomeandproblemsresolved.Afailuretofollowthisapproachcanleadtounnecessarydelaysintheprosecutionoftheapplication.  *H&1  r Priortofocusingonanyspecificstatutoryrequirements,Officepersonnelmustbeginexaminationbydeterminingwhat,precisely,theapplicanthasinventedandisseekingtopatent,J (  3       @ andhowtheclaimsrelatetoanddefinethatinvention.Consequently,Officepersonnelwillnolongerbeginexaminationbydeterminingifaclaimrecitesa mathematicalalgorithm.  Rather,theywillreviewthecompletespecification,includingthedetaileddescriptionoftheinvention,anyspecificembodimentsthathavebeendisclosed,theclaimsandthespecificutilitythathasbeenassertedfortheinvention.$3#XXX#X#XXX#X  X   $3m;  A.  IdentifyandUnderstandthePracticalUtilityAssertedfor H   theInvention[GuidelinesI.B.1.(a)] ;$3m;<݌̌#XXX#X#XXX#X  X  yV    $ ` X` ` " X$#XXX#XXXX#X    Thesubjectmattersoughttobepatentedmustbea useful   process,machine,manufactureorcompositionofmatter.Accordingly,acompletedisclosureshouldcontainsomeindicationofwhytheapplicantbelievestheclaimedinventionis useful. H  This usefulnessoftheinventioniscalledthe"specific"or  "practical"utilityoftheinvention.Specificorpracticalutilityissimplyashorthandwayofattributing"realworld"valuetotheclaimedsubjectmatter,i.e.,assuringthereissomebenefittothepublic.K (  4      ׀Aninventionthathassomepractical 0 applicationsatisfiestheutilityrequirement.[ (  5          Theapplicantisinthebestpositiontoexplainwhyaninventionisbelieveduseful.Officepersonnelshouldthereforefocustheireffortsonidentifyingstatementsmadeinthespecificationthatidentifyapracticalapplicationfortheinvention.Officepersonnelshouldrelyonsuchstatementsthroughouttheexaminationwhenassessingtheinventionforcompliancewithallstatutorycriteria.Deficienciesundertheutilityrequirementwillberare,however.Furtherguidanceinevaluatinganassertedspecificutilityforcompliancewith101isprovidedbelowandintheUtilityExaminationGuidelines.* (  6     If @" theapplicantassertsapracticalutilityfortheinvention,Officepersonnelshouldreviewtheentiredisclosuretodeterminethefeaturesnecessarytoaccomplishtheassertedpracticalutility.yVF=expl    $` ` " X` X$XXXX#XXXX  $3#XXX#X#XXX#X  X   $3qF  B.  ReviewtheDetailedDisclosureandSpecificEmbodimentsof #@( theInventiontoDetermineWhattheApplicantHasInvented[GuidelinesI.B.1(a)] 1 $3qFG݌̌#XXX#X#XXX#X  X  yVexpl    $ ` X` ` " X$#XXX#XXXX#X  yV     ` X` XXXXXXXXX  F  Thewrittendescriptionwillprovidetheclearestexplanationoftheapplicantsinvention,byexemplifyingthe '(#- invention,explaininghowitrelatestothepriorartandbyexplainingtherelativesignificanceofvariousfeaturesoftheinvention.Accordingly,Officepersonnelshouldbegintheirevaluationofacomputerimplementedinventionasfollows: +'2 yVyIexpl     ` X` XXXXXXXXX  0p) XXXXXXXX  )҄  determinewhattheprogrammedcomputerdoeswhenitperforms  theprocessesdictatedbythesoftware(i.e.,thefunctionalityoftheprogrammedcomputer);4 (  7      @ ̄  determinehowthecomputeristobeconfiguredtoprovide   thatfunctionality(i.e.,whatelementsconstitutetheprogrammedcomputerandhowarethoseelementstobeconfiguredtoprovidethespecifiedfunctionality);and̄  ifapplicable,determinetherelationshipoftheprogrammed    computertoothersubjectmatterthatconstitutestheinvention(e.g.,machines,devices,materials,orprocessstepsotherthanthosethatarepartoforperformedbytheprogrammedcomputer).R (  8       (  0pMexpl XXXXXXXX  yV     ` X` XXXXXXXXX    PatentapplicantscanassisttheOfficebypreparingapplicationsthatclearlysetforththeseaspectsofacomputer  implementedinvention.yVRexpl     ` X` XXXXXXXXX  $3#XXXX#XXX#X  X   $3T  C.  AnalyzetheClaims[GuidelinesI.B.1.(b)] 6U$3TAU݌  ЌXXX#XXXXX  X  yVexpl     ` X` XXXXXXXXX  yV     ` X` XXXXXXXXX    Theclaimsdefinethepropertyrightsprovidedbyapatent,andthusrequirecarefulscrutiny.Thegoalofclaimanalysisistoidentifytheboundariesoftheprotectionsoughtbytheapplicantandtounderstandhowtheclaimsrelatetoanddefinewhattheapplicanthasindicatedistheinvention.Officepersonnelmustanalyzethelanguageofaclaimbeforedeterminingiftheclaimcomplieswitheachstatutoryrequirementforpatentability.  Officepersonnelshouldbeginclaimanalysisbyidentifyingandevaluatingeachclaimelement.Forprocesses,theclaimelementswilldefinestepsoractstobeperformed.Forproducts,i.e.,machinesandarticlesofmanufacture,theclaimelementswilldefinediscretephysicalstructures.Thediscretephysicalstructuresmaybecomprisedofhardwareoracombinationofhardwareandsoftware.  Asprovidedintheguidelines,Officepersonnelaretocorrelateeachclaimelementtothatportionofthedisclosurethatdescribestheclaimelement.Thisistobedoneinallcases,i.e.,whetherornottheclaimedinventionisdefinedusingmeansorstepplusfunctionlanguage.ThecorrelationstepwillensurethatOfficepersonnelclearlyunderstandthemeaningandscopeofeachclaimlimitation.  Thesubjectmatterofaproperlyconstruedclaimisdefinedbythetermsthatlimititsscope,anditisthissubjectmatterthatmustbeexamined.Asageneralmatter,thegrammarandintendedmeaningoftermsusedinaclaimwilldictatewhetherthelanguagelimitstheclaimscope.Languagethatsuggestsor +'2 makesoptionalbutdoesnotrequirestepstobeperformedordoesnotlimitaclaimtoaparticularstructuredoesnotlimitthescopeofaclaimorclaimelement.  Officepersonnelmustrelyontheapplicantsdisclosureto   properlydeterminethemeaningoftermsusedintheclaims. (  9      ׀An  applicantisentitledtobehisorherownlexicographer,andinmanyinstanceswillprovideanexplicitdefinitionforcertaintermsusedintheclaims.Whereanexplicitdefinitionisprovidedbytheapplicantforaterm,thatdefinitionwillcontrolinterpretationofthetermasitisusedintheclaim.Officepersonnelshoulddetermineiftheoriginaldisclosureprovidesadefinitionconsistentwiththeapplicants `  assertions.X (  10     Iftheapplicantassertsthatatermhasameaning (  thatconflictswiththetermsartacceptedmeaning,Office   personnelshouldencouragetheapplicanttoamendtheclaimtobetterreflectwhatapplicantintendstoclaimastheinvention.  Officepersonnelaretogiveclaimstheirbroadestreasonableinterpretationinlightofthesupportingdisclosure.^ (  11     Withtheexceptionofclaimelementsdefinedin P meansorstepplusfunctionterminology,positivelimitationsonthescopeofaclaimcannotbereadintotheclaimsbasedoncommentsorexplanationsprovidedinthedisclosure. (  12     Whileit  isappropriatetousethespecificationtodeterminewhatapplicantintendedatermtomean,apositivelimitationfromthespecificationcannotbereadintoaclaimthatdoesnotimposethatlimitation.AbroadinterpretationoftheclaimsbytheOfficewillreducethepossibilitythattheclaim,whenissued,willbeinterpretedmorebroadlythanisjustifiedorintended.Anapplicantalwayshastheopportunitytoamendtheclaimsduringprosecutiontobetterreflecttheintendedscopeoftheclaim.  Finally,whenevaluatingthescopeofaclaim,everylimitationintheclaimmustbeconsidered.` (  13     Officepersonnel  X# maynotdissectaclaimedinventionintodiscreteelementsandthenevaluatetheelementsinisolation.Instead,eachclaimedelementoftheinventionmustbeconsideredinthecontextoftheclaimasawhole.yVPW      ` X` XXXXXXXXX  $3#XXXX#XXX#X  X  $3j   $3j.k݌̌XXX#XXXXX  X  $3#XXXX#XXX#X  X  $3k  III.  AssessClaimedInventionforCompliancewith35U.S.C.101 % * [GuidelinesI.B.1.(c)] 9 Lk$3kql݌̌XXX#XXXXX  X  yV      ` X` XXXXXXXXX  yV     ` X` XXXXXXXXX    AstheSupremeCourthasheld,Congresschosetheexpansivelanguageof101soastoinclude"anythingunderthesunthatismadebyman."c (  14     Accordingly,101oftitle35,UnitedStates h)$/ Code,provides:  *H&1 yVn      ` X` XXXXXXXXX  0p) XXXXXXXX   ) Whoeverinventsordiscoversanynewandusefulprocess, machine,manufacture,orcompositionofmatter,oranynewandusefulimprovementthereof,mayobtainapatenttherefor,subjecttotheconditionsandrequirementsofthistitle.a (  15        0pr ) XXXXXXXX  yV     ` X` XXXXXXXXX  Ascast,101definesfourcategoriesofinventionsthatCongressdeemedtobetheappropriatesubjectmatterofapatent;namely,processes,machines,manufacturesorcompositionsofmatter.Thelatterthreecategoriesdefine"thingswhilethe    processcategorydefinesinventionsthatconsistof actions    (i.e.,aseriesofstepsoractstobeperformed).b (  16      ׀ H     Federalcourtshaveheldthat101doeshavecertainlimits.First,thephrase anythingunderthesunthatismade   bymanislimitedbythetextof101,meaningthatonemay h  onlypatentsomethingthatisamachine,manufacture,compositionofmatteroraprocess.d (  17      ׀Second,101requiresthatthe H  subjectmattersoughttobepatentedbea"useful"invention.Accordingly,acompletedefinitionofthescopeof101,reflectingCongressionalintent,isthatanynewandusefulprocess,machine,manufactureorcompositionofmatterunderthesunthatismadebymanisthepropersubjectmatterofapatent.Subjectmatternotwithinoneofthefourstatutoryinventioncategoriesorwhichisnot usefulinapatentsense, p accordingly,isnoteligibletoandcannotbepatented.  Thesubjectmattercourtshavefoundtobeoutsidethefourstatutorycategoriesofinventionislimitedtoabstractideas,lawsofnatureandnaturalphenomena.Whilethisiseasilystated,determiningwhetheranapplicantisseekingtopatentanabstractidea,alawofnatureoranaturalphenomenonhasproventobechallenging.Thesethreeexclusionsrecognizethatsubjectmatterthatisnotapracticalapplicationoruseofanidea,alawofnatureoranaturalphenomenonisnotpatentable. (  18      ׀ @" ̀  Courtshaveexpressedaconcernover preemptionofideas,  $ lawofnaturesornaturalphenomena. (  19     Theconcernover !% preemptionservestobolsterandjustifytheprohibitionagainstthepatentingofsuchsubjectmatter.Suchconcernsareonlyrelevanttoclaimingascientifictruthorprinciple.Thus,aclaimtoan abstractideaisnonstatutorybecauseitdoesnot $ ) representapracticalapplicationoftheidea,notbecauseitwouldpreempttheidea.$3#XXXX#XXX#X  X  $3z   A.  DetermineWhetherTheInventionis"Useful"  $3z݌ '(#- ЌXXX#XXXXX  X    Tobepatentable,aninventionmustbe"useful"(i.e.,itmusthaveapracticalapplication).Thepurposeofthisrequirementistolimitpatentprotectiontoinventionsthatpossessacertainlevelof realworldvalue,asopposedto +'2 subjectmatterthatrepresentsnothingmorethananideaorconcept,orissimplyastartingpointforfutureinvestigationorresearch.e (  20     Theutilityofaninventionmustbewithinthe @  technologicalarts. (  21      ׀Thisrequirementcanbediscernedfrom X thevariouslyphrasedprohibitionsagainstthepatentingofabstractideas,lawsofnatureornaturalphenomenon.Courtshaveindicatedthatanytechnologicalorutilitarianpurposemayserveasanappropriateutility. (  22      ( x   Officepersonnelshouldconfirmthattheutilityassertedforaninventionisapracticalapplicationoftheinvention.Iftheutilityofan"invention"isonlyasanobjectofphilosophicalinquiryortobeappreciatedintermsofitsliteraryorartisticvalue,theclaimedinventionshouldberejectedunder101.  Additionally,Officepersonnelhavestruggledwithclaimsdirectedtomethodsofdoingbusiness.Amethodofdoingbusinessistobetreatedlikeanyotherprocess.yVteut     ` X` XXXXXXXXX  $3#XXXX#XXX#X  X  $3I  B.  ClassifytheInventionastoItsProperStatutoryCategory$3Iщ݌ P ЌXXX#XXXXX  X  yVeut     ` X` XXXXXXXXX  yV     ` X` XXXXXXXXX    Toproperlyassesscompliancewiththestatutoryinventionrequirementsof101,Officepersonnelshouldclassifyeachspecificallyclaimedinventionintoonestatutoryornon  statutorycategory.Ifthesubjectmatterfallsintoanon  statutorycategory,thatshouldnotprecludecompleteexaminationoftheapplicationforallotherconditionsofpatentability.Thisclassificationisonlyaninitialfindingatthispointintheexaminationprocessthatwillbeagainassessedaftertheexaminationforcompliancewith112,102and103andbeforeissuanceofanyOfficeaction.yV݋eut     ` X` XXXXXXXXX  $3#XXXX#XXX#X  X  $3\   1.  NonStatutorySubjectMatter[GuidelinesI.B.1.(c)(i)& x! (ii)] $3\݌̌XXX#XXXXX  X  yVeut     ` X` XXXXXXXXX  yV     ` X` XXXXXXXXX    Claimsthatareclearlynonstatutoryarethosethatdefine:yVeut     ` X` XXXXXXXXX  0p) XXXXXXXX  ݄ ) a"datastructure"perseorcomputerprogramperse,i.e., `"& informationratherthanacomputerimplementedprocessorspecificmachineorcomputerreadablememorymanufacture;̄ ) acompilationorarrangementofnonfunctionalinformation % * oraknownmachinereadablestoragemediumthatisencodedwithsuchinformation;̄ ) naturalphenomenasuchaselectricityandmagnetism. (#. 0pWeut) XXXXXXXX   ` ` X` X  Claimsinthisformareindistinguishablefromabstractideas,lawsofnatureandnaturalphenomenaandmaynotbepatented.Claimstoprocessesthatdonothingmorethansolve +'2 mathematicalproblemsormanipulateabstractideasorconceptsaremorecomplextoanalyzeandareaddressedbelow.Seesection3.  $3#XXXX#XXX#X  X  $3  (a)  "DataStructures"PerSeorComputerProgramsPerSe D י$3l݌   ЌXXX#XXXXX  X  yVeut     ` X` ` XXXXXXXXX  yV     ` X` XXXXXXXXX    Computersmanagedatabyarrangingthedatainaparticularorderorsequence.Therelationshipthatexistsamongtheordereddataelements(i.e.,theindividualfactsordata)iscalleda datastructure.Datastructuresinthissensearenot    statutoryproductsbecausetheyarenotphysical thingsnorare    theystatutoryprocesses,astheyarenot actsbeing H   performed.h (  23     Inotherwords,whendefinedwithoutanyphysical `  structure,a datastructureisnothingmorethaninformation (  thatexplainsarelationshipthatexistsamongordereddata,andthereforeisnonstatutory.Incontrast,amemorycircuitwhosestructurerepresentsapracticalapplicationoruseofadatastructureisastatutorymanufacture.Accordingly,itisimportanttodistinguishclaimsthatdefineinformationpersefromclaimsthatdefinestatutoryinventionsthatarebasedonorusenonstatutoryinformation.  Similarly,computerprogramspersearenotphysical"things,"noraretheystatutoryprocesses,astheyarenot"acts"beingperformed.Incontrast,acomputerprocessthatisimplementedusingacomputerprogram,aspecificcomputerreconfiguredbyacomputerprogram,oramemorycircuitwhosestructureisdefinedbyacomputerprogramarestatutory.  Ifacomputerprogramisrecitedinaclaim,Officepersonnelshoulddetermineifthecomputerprogramisbeingusedtodescribethephysicalstructureofamanufactureormachine,orstepstobeperformedbyacomputer,orisintendedtobetheobjectofthepatent,perse.  Ifitisclearthattheclaimusesthecomputerprogramelementstodefineactionstobeperformedbyacomputer,Officepersonnelshouldtreattheclaimasaprocessclaim.Ifthecomputerprogramelementsarerecitedinconjunctionwithaphysicalstructure,suchasacomputermemory,theclaimshouldbetreatedasaproductclaim.Iftheclaimedsubjectmattercannotbetreatedasaprocessanddoesnothaveanyphysicalstructure,thenitisnonstatutory information. H&!+   IfanapplicantchallengestheOffice'sclassificationofaclaimcontainingcomputerprogramelementswithoutanyphysicalstructureasaprocessratherthanaproduct,theclaimshouldberejectedunder101.Officepersonnelshouldalsoobjecttothespecificationunder37CFR1.71(b)ifsuchanassertionismade,asthecompleteinventioncontemplatedbytheapplicanthasnot +'2 beencastpreciselyasbeinganinventionwithinoneofthestatutorycategories.  yVac     ` X` XXXXXXXXX  $3#XXXX#XXX#X  X  $3  3      3Z)       (b)  NonFunctionalInformation F $3<݌ X ЌXXX#XXXXX  X  yVac     ` X` XXXXXXXXX  yV     ` X` XXXXXXXXX    Theterm"information"isthe"communicationofdata."It  isalsousedtomeansignalsrepresentingdata.Itisthelatterdefinitionthatisusedintheseguidelines.  Certaininformation,suchasmusic,literature,art,andphotographs,aswellasmerefactsordata,i (  24      ׀cannotimpart    functionalitytoacomputer.Such"information"isnotaprocess,machine,manufactureorcompositionofmatter.  Thepolicythatprecludesthepatentingofnonfunctionaldatawouldbeeasilyfrustratedifthesamedatacouldbepatentedasanarticleofmanufacture.Forexample,musiciscommonlysoldtoconsumersintheformatofacompactdisc.Insuchcases,theknowncompactdiscactsasnothingmorethanacarrierfornonfunctionaldata.  Thenonfunctionalcontent(e.g.,words,images,orotherinformation)cannotprovidethepracticalutilityforthemanufacture.Functionimpartinginformationisnecessarytocreateafunctionalandusefulphysicalmanufacture(e.g.,acomputermemoryencodedwithdatathatcausesacomputertofunctioninaparticularmanner).Iftheutilityfortheencodedmediumisdependentuponahumanappreciatingtheartisticorothervalueoftheinformationcontent,theclaimedinventionshouldberejectedunder101.yVac     ` X` XXXXXXXXX  $3#XXXX#XXX#X  X  $3U   (c)  NaturalPhenomenaSuchasElectricityandMagnetism H $3Uݴ݌   ЌXXX#XXXXX  X  yVac     ` X` XXXXXXXXX  yV     ` X` XXXXXXXXX    Claimsthatrecitenothingbutthephysicalcharacteristicsofaformofenergy,suchasaspecificradiofrequency,voltage,orthestrengthofamagneticfield,defineenergyormagnetism,perse,andassucharenonstatutory.Aclaimdirectedtoanaturalphenomenonsuchasenergyormagnetism,whichdoesnotrecitethepracticalapplicationofthatphenomenoninaprocessoraproduct,istoberejectedunder101.yV ac     ` X` XXXXXXXXX  $3#XXXX#XXX#X  X   $3ĺ  2.  StatutorySubjectMatter L$3ĺW݌ % * ЌXXX#XXXXX  X  $3#XXXX#XXX#X  X  $3P  $3Pؼ݌̌XXX#XXXXX  X  $3#XXXX#XXX#X  X  $3   (a)  StatutoryProducts I .$3݌ '`", ЌXXX#XXXXX  X  yVac     ` X` XXXXXXXXX  yV     ` X` XXXXXXXXX    Ifaclaimdefinesausefulmachineormanufacturebyidentifyingthephysicalstructureofthemachineormanufactureintermsofitshardwareorhardwareandsoftwarecombination,itdefinesastatutoryproduct.k (  25      *H&1  +'2 yVac     ` X` XXXXXXXXX  $3#XXXX#XXX#X  X   $3w  (i)  ProductClaimsClaimsDirectedtoMachinesandManufactures$3w ݌  ЌXXX#XXXXX  X  yV     ` X` XXXXXXXXX    Claimsthatdefineacomputerimplementedinventionasaspecificmachineorarticleofmanufacturemustdefinethephysicalstructureofthemachineormanufactureintermsofitshardwareandassociatedfunctionalsoftware.Theapplicantmaydefinethephysicalstructureofaprogrammedcomputeroritshardwareorsoftwarecomponentsinanymannerthatcanbeclearlyunderstoodbyapersonskilledintherelevantart.Generallyaclaimdrawntoaparticularprogrammedcomputershouldidentifytheelementsofthecomputerandindicatehowthoseelementsareconfiguredineitherhardwareoracombinationofhardwareandsoftware.)-ݹ     ` X` XXXXXXXXX    Acomputerrelated manufacturewilltypicallybea   componentofaspecificcomputer,suchasalogiccircuitoracomputermemory.Amanufacturedcomputermemorycontainingaphysicalstructurerepresentingencodedcomputerreadableinstructions,suchasacomputerprogram,isastatutoryarticleofmanufacturebecausetheencodedcomputerreadableinstructionsgivethemanufacturedmemoryanewformorstructure,andnewqualitiesorproperties(e.g.,theabilitytocauseacomputertofunctioninaparticular,predefinedmanner).  Toadequatelydefineacomputermemorywithaparticularfunctionality,theclaimmustidentifythephysicalcharacteristicsofthememory(e.g.,alogiccircuitorastoragemedium),andthefunctionalityofthememory.Acomputermemorymaybedefinedinaclaimas:0p) XXXXXXXX  ̄ ) alogiccircuitthatresultswhenaprogrammedcomputer 8 performsaseriesofstepsdictatedbyacomputerprogram;l (  26        ̄ ) amemorydefinedbyitsfunctionaland/orstructural @" characteristics;p (  27     or  X# ̄ ) amemorywhosephysicalstructureisdefinedbytheactof !% storingcomputerexecutableprogramcodeonthememory.0pific) XXXXXXXX  yV     ` X` XXXXXXXXX  yVific     ` X` XXXXXXXXX  $3#XXXX#XXX#X  X  $3   (ii)  ClaimsthatEncompassAnyMachineorManufactureEmbodiment #@( ofaProcess JԀ M $3,݌̌XXX#XXXXX  X  yVific     ` X` XXXXXXXXX  yV     ` X` XXXXXXXXX    Aclaimcastinproductclaimformatthat,whenreadinlightofthespecification,encompassesanycomputerimplementationofaprocessshouldbeexaminedonthebasisoftheunderlyingprocess.Suchaclaimcanberecognizedasitwill:  0*%0 yVpific     ` X` XXXXXXXXX  0p) XXXXXXXX  ݄ ) definethephysicalcharacteristicsofacomputeror  computercomponentexclusivelyasfunctionsorstepstobeperformedonorbyacomputer,and̄ ) encompassanyproductinthestatedclass(e.g.,computer,   computerreadablememory)configuredinanymannertoperformthatprocess.0pific) XXXXXXXX  yV     ` X` XXXXXXXXX    Thefollowinghypotheticalsillustratethisdistinction.Assumetwoapplicantspresentaclaimtothefollowingprocess:yV#ific     ` X` XXXXXXXXX  0p) XXXXXXXX   ) Aprocessfordetermininganddisplayingthestructureofachemicalcompoundcomprising:0pific) XXXXXXXX  70p) XXXXXXXX  (a)solvingthewavefunctionparametersforthecompoundtodeterminethestructureofacompound;(b)displayingthestructureofthecompounddeterminedinstep(a).0pGific) XXXXXXXX  7Inaddition,eachapplicantclaimsanapparatus,andprovidesthenoteddisclosuretosupporttheclaims.*hNOP ]dh,SS, SS,SSS+  '  'IXX -#p -ApplicantA -# -ApplicantB 3) 3ApparatusClaim -# -Acomputersystemfordeterminingthethreedimensionalstructureofachemicalcompoundcomprising:(a)meansfordeterminingthethreedimensionalstructureofacompound;(b)meansforcreatinganddisplayinganimagerepresentingathreedimensionalperspectiveofthecompound. -#D& -Acomputersystemfordeterminingthethreedimensionalstructureofachemicalcompoundcomprising:(a)  meansfordeterminingthe  \ threedimensionalstructureofacompound;(b)  meansfordisplayingthe Q! structureofthecompounddeterminedinstep(a). 3)O# 3Disclosure -# -Thedisclosuredescribescomputerprogramcodesegmentsthataretobeemployedinconfiguringageneralpurposemicroprocessortocreatespecificlogiccircuits.Thesecircuitsareindicatedtobethe meanscorrespondingto  theclaimedmeanselements. -#W  -Thisdisclosurestatesthatitwouldbeamatterofroutineskilltoselectanappropriatecomputersystemandimplementtheclaimedprocessonthatcomputersystem.Nospecificdisclosureismaderegardingthetwo meanselements  recitedintheclaim(i.e.,nocomputerprogramorlogiccircuitisdescribedthatcanperformtheindicatedfunctions).Thedisclosuredoesprovideanexplanationofhowtosolvethewavefunctionequationsofachemicalcompound,andindicatesthatthesolutionsofthosewavefunctionequationscanbeemployedtodeterminethephysicalstructureofthecorresponding compound. 3)+{  3Result -#"  -Claimdefinesspecificcomputer,patentabilitystandsindependentlyfromprocessclaim. -# p -Claimencompassesanycomputerembodimentofprocessclaim;patentabilitystandsorfallswithprocessclaim. 3) 3Explanation -#n -Disclosureidentifiesthespecificmachinecapableofperformingtheindicatedfunctions. -#c -Inthisscenario,theapplicanthasnotprovidedanyinformationthatcanservetodistinguishthe    implementationoftheprocesson y acomputerfromthefactorsthatwillgovernthepatentabilitydeterminationoftheprocessperse.Assuch,thepatentabilityofthisapparatusclaimwillstandorfallwiththatoftheprocessclaim./% p%  /XXgI  Officepersonnelareremindedthatfindingaproductclaim n( toencompassanyproductembodimenta processinventionsimply 6) meansthattheOfficewillpresumethattheproductclaimencompassesanyproductinthestatedclassthatperformsthespecifiedsetoffunctions.Becausethisisinterpretiveandnothingmore,itdoesnotprovideanyinformationastothepatentabilityoftheapplicantsunderlyinginventionorthe !n. productclaim.  Ifaclaimisfoundtoencompassanyproductembodimentoftheunderlyingprocess,andiftheunderlyingprocessisstatutory,theproductclaimshouldbeclassifiedasastatutoryproduct.Bythesametoken,iftheunderlyingprocessinventionisfoundtobenonstatutory,Officepersonnelshouldclassifythe"product"claimasa"nonstatutoryproduct."Iftheproductclaimisclassifiedasbeinganonstatutoryproductonthebasisoftheunderlyingprocess,Officepersonnelshouldemphasizethattheyhaveconsideredallclaimlimitationsandarebasingtheirfindingontheanalysisoftheunderlyingprocess. F+&; $3#XXXX#XXX#X  X   $3&  (b)  StatutoryProcesses Q Ԁ[GuidelinesI.B.1.(c)(iii)] $3&݌  ЌXXX#XXXXX  X    Aclaimthatrequiresoneormoreactstobeperformeddefinesaprocess.Notallprocesses,however,areprocessesthatfallwithinthedefinitionofastatutoryprocessunder101.Astatutoryprocessisaseriesofoneormoreactsthatmanipulatephysicalmatterorenergyresultinginsomeformofaphysicaltransformation.5 (  28     Accordingly,aclaimedprocessis ( x statutoryifit:0p) XXXXXXXX  ݄ ) manipulatessomeformofphysicalmatterorenergy;and    ̄ ) resultsinatransformationorreductionofthesubject `  mattermanipulatedintoadifferentstateorintoadifferentthingtoachieveapracticalapplication.0psde) XXXXXXXX  ݀$3#XXXX#XXX#X  X  $31   (i)  AppropriateSubjectMatterforManipulationStepsofa 0  Process S $31݌̌XXX#XXXXX  X    ConsistentwiththeexpansiveCongressionalintentbehind101,Officepersonnelshallconsideranyformofphysical P  matteror energytobetheappropriatesubjectmatterofthe h manipulationstepsofaprocess.Importantly,thesubjectmattermanipulatedbyaprocessdoesnothavetobeaphysicalobject;itmaybe intangiblesubjectmatterrepresentativeofor p constitutingphysicalactivityorobjects.6 (  29     Thus,an 8 electricalsignalrepresentingdatacorrespondingtoaphysicalobjectorphysicalactivityisappropriatesubjectmatterformanipulationbyaprocess.Ifthe actsofaprocessmanipulate  onlynumbers,abstractconceptsorideas,theactsarenotbeingappliedtoappropriatesubjectmatter.Thus,aprocessconsistingsolelyofmathematicaloperationsdoesnotmanipulateappropriatesubjectmatterandthuscannotconstituteastatutoryprocess.$3#XXXX#XXX#X  X  $3D   $3D݌̌XXX#XXXXX  X  $3#XXXX#XXX#X  X  $3  $3݌̌XXX#XXXXX  X  $3#XXXX#XXX#X  X  $3  (ii)  TransformationorReductiontoaDifferentStateorThing U $3G݌ !% ЌXXX#XXXXX  X    Tobestatutory,theclaimedprocesswhenpracticedmustphysicallytransformthesubjectmattermanipulatedsomethingmusthappenotherthanmanipulatingconceptsorconvertingnumberstodifferentnumbers.Therequiredtransformationcantakeplaceduringanystepoftheprocess(e.g.,ifaprocessrequiresthree"acts"andonlythelast"act"transformsthesubjectmattertoadifferentstateorthing,asufficienttransformationhasoccurred).Iftheprocessdoesnotresultinanyphysicaltransformation,itisnotstatutory.  h)$/ $3#XXXX#XXX#X  X   $3  (iii) ` ExamplesofStatutoryComputerImplementedProcesses V $3E݌  ЌXXX#XXXXX  X  :  Threeexemplarycomputerperformedprocessesthatfullysatisfytherequirementsof101:0p) XXXXXXXX  ݄ ) Aprocessthatrequiresphysicalactstobeperformed  independentofthestepstobeperformedbyaprogrammedcomputer,wherethoseactsinvolvethemanipulationoftangiblephysicalobjectsandresultintheobjecthavingadifferentphysicalattributesorstructure;7 (  30          ̄ ) Aprocessthatrequiresactstobeperformedonthe H   physicalcomponentsofacomputer(i.e.,theprocessmanipulatesthecomponentsofthecomputerratherthandatarepresentingsomethingexternaltothecomputersystem)andtheeffectoftheprocessisthatthecomputeroperatesdifferently(suchasanoperatingsystemprocess);and̄ ) Aprocessthatrequiresactstobeperformedbyacomputer  ondataintheformofanelectricalormagneticsignal,wherethedatarepresentsaphysicalobjectoractivitiesexternaltothecomputersystem(e.g.,physicalcharacteristicsofachemicalcompoundorapersonsheart 0 rate),andwheretheprocesscausessometransformationofthephysicalbutintangiblerepresentationofthephysicalobjectoractivities.8 (  31      - 8 ) XXXXXXXX  $3#XXXX#XXX#X  X  $3^   3.  NonStatutoryProcesses Y $3^݌  ЌXXX#XXXXX  X    Inpracticalterms,claimsdefinenonstatutoryprocessesifthey:0p) XXXXXXXX  ݄ ) consistsolelyofmathematicaloperations(i.e.,a    mathematicalalgorithm);or x! ̄ ) simplymanipulateabstractideaswithoutsomepractical  X# application(e.g.,abid,abubblehierarchy).0pGЇ) XXXXXXXX  $3#XXXX#XXX#X  X   $3  (a)  MathematicalAlgorithmThatDefinesaLawofNatureor `"& NaturalPhenomenon Z ԀorDescribesanAbstractIdea Ԁ$3݌̌XXX#XXXXX  X    Aprocessthatconsistssolelyofmathematicaloperationsisnonstatutory.Mathematicalalgorithmsdonotmanipulatephysicalmatterandcannotcauseaphysicaleffect.Courtshave,however,recognizedadistinctionbetweentypesofmathematicalalgorithms,namely,somedefinea lawofnatureinmathematical '(#- termsandothersmerelydescribean abstractidea.q (  32      ׀ (#.   Certainmathematicalalgorithmshavebeenheldnonstatutorybecausetheyrepresentamathematicaldefinitionofalawofnatureoranaturalphenomenon.Forexample,theformulaE=mc2is +'2 a"lawofnature"itdefinesa"fundamentalscientifictruth"(i.e.,therelationshipbetweenenergyandmass).Tocomprehendhowthelawofnaturerelatestoanyobject,oneinvariablyhastoperformcertainsteps(e.g.,multiplyinganumberrepresentingthemassofanobjectbythesquareofanumberrepresentingthespeedoflight).Ifanapplicantdefinesaprocesstoconsistsolelyofthosestepsthatonemustfollowtosolvethemathematicalrepresentationofthelawofnature,the process ( x isindistinguishablefromthelawofnatureandwould"preempt"thelawofnature.Apatentcannotbegrantedonsuchaprocess.  Othermathematicalalgorithmshavebeenheldnonstatutorybecausetheymerelydescribeanabstractidea.An abstract `  ideamaysimplybeanysequenceofmathematicaloperationsthat (  arecombinedtosolveamathematicalproblem.Theconcernaddressedbyholdingsuchsubjectmatternonstatutoryisthatthemathematicaloperationsmerelydescribeanideaanddonotdefineaprocessthatrepresentsapracticalapplicationoftheidea.  Accordingly,whenaclaimisfoundtodefinenonstatutorysubjectmatterbecauseofamathematicalalgorithm,itisimportanttodeterminewhetherthesubjectmatterisalawofnatureornaturalphenomenonorabstractidea.Arejectionunder101shouldindicatethetypeofdeficiencyreliedupontosupporttherejection.$3#XXXX#XXX#X  X   $3O  (b)  EvaluationofCertainLanguageRelatedtoMathematical  OperationStepsofaProcess \ $3O݌̌XXX#XXXXX  X  $3#XXXX#XXX#X  X  $3%  (i)  IntendedUseorFieldofUseStatements ] $3%݌  p ЌXXX#XXXXX  X    Claimlanguagethatsimplyspecifiesanintendeduseorfieldofusefortheinventiongenerallywillnotlimitthescopeofaclaim.Suchlanguageoftenwillbepresentedinthepreambleofclaim,butmayappearelsewhereinthebodyoftheclaim.Intendedorfieldofuselanguageappearinginthepreamblewillinmostinstancesnotlimittheclaimscope,andassuch,Officepersonnelshouldbecarefultoproperlyinterpretsuchlanguage.Forexample,aclaimedmathematicalprocess to (#x' beusedinseismicprospecting...isnotlimitedbytheseismic #@( prospectingusestatement(i.e.,noneofthestepswereexplicitlyorimplicitlylimitedtoapplicationtoseismicprospectingactivities).= (  33     Insuchacase,Officepersonnel H&!+ shouldidentifytheclaimlanguagethatconstitutestheintendeduseorfieldofusestatementsandprovidethebasisfortheirfindings.Thiswillshifttheburdentoapplicanttodemonstrateotherwise.  h)$/ $3#XXXX#XXX#X  X   $3%  (ii)  NecessaryAntecedentSteptoPerformanceofAMathematical  OperationorIndependentLimitationonaClaimedProcess _ %$3%%݌̌XXX#XXXXX  X    Inraresituations,certainactsof collectingor X  selectingdataforuseinaprocessconsistingofoneormore   mathematicaloperationswillnotfurtherlimitaclaimbeyondthespecifiedmathematicaloperationstep(s).Suchacts merely `  determinevaluesforthevariablesusedinthemathematicaloperationsusedinmakingthecalculations.> (  34     Inotherwords,  @ theactsaredictatedbynothingotherthantheperformanceofamathematicaloperation.r (  35           Ifaclaimrequiresactstobeperformedtocreatedatathatwillthenbeusedinaprocessrepresentingapracticalapplicationofoneormoremathematicaloperations,thoseactsmustbetreatedasfurtherlimitingtheclaimbeyondthemathematicaloperation(s)perse.Suchactsaredatagatheringstepsnotdictatedbythealgorithmbutbyotherlimitationswhichrequirecertainantecedentstepsandassuchconstituteanindependentlimitationontheclaim.  Examplesofactsthatindependentlylimitaclaimedprocessinvolvingmathematicaloperationsinclude:0p) XXXXXXXX  ݄ ) amethodofconductingseismicexplorationwhichrequires p generatingandmanipulatingsignalsfromseismicenergywavesbefore summingthevaluesrepresentedbythe P signals;@ (  36     and  ̄ ) amethodofdisplayingXrayattenuationdataasasigned X grayscalesignalina fieldusingaparticularanti  p    p  aliasingalgorithm,wheretheantecedentstepsrequiregeneratingthedatausingaparticularmachine(e.g.,acomputedtomographyscanner).B (  37      x! 0pg,suc) XXXXXXXX    Examplesofstepsthatdonotindependentlylimitoneormoremathematicaloperationstepsinclude:0p) XXXXXXXX  ݄ ) perturbingthevaluesofasetofprocessinputs,where `"& thesubjectmatter perturbedwasanumberandtheactof (#x'  perturbingconsistsofsubstitutingthenumericalvalues #@( ofvariables;E (  38     and $ ) ̄ ) selectingasetof arbitrarymeasurementpointvalues.L (  39      H&!+ 0p*1suc) XXXXXXXX  Suchstepsdonotimposeindependentlimitationsonthescopeoftheclaimbeyondthoserequiredbythemathematicaloperationlimitation.  h)$/ $3#XXXX#XXX#X  X   $375  (iii)PostMathematicalOperationStep f UsesSolutionorMerely  ConveysResultofOperation 5$3755݌̌XXX#XXXXX  X    Inrareinstances,certainkindsofpostsolution acts X willnotfurtherlimitaprocessclaimbeyondtheperformanceoftheprecedingmathematicaloperationstepeveniftheactsarerecitedinthebodyofaclaim.If,however,theclaimedactsrepresentsomeuseofthesolution,thoseactswillinvariablyimposeanindependentlimitationontheclaim.Thus,ifaclaimrequiresthatthedirectresultofamathematicaloperationbeevaluatedandtransformedintosomethingelse,Officepersonnelcannottreatthesubsequentstepsasbeingindistinguishablefromtheperformanceofthemathematicaloperationandthusnotfurtherlimitingontheclaim.Forexample,actsthatrequire (  theconversionofaseriesofnumbersrepresentingvaluesofawavefunctionequationforachemicalcompoundintovaluesrepresentinganimagethatconveysinformationaboutthethreedimensionalstructureofthecompoundcannotbetreatedasbeingpartofthemathematicaloperationsthatyieldthewavefunctionnumbers.Officepersonnelshouldbeespeciallycarefulwhenreviewingclaimlanguagethatrequirestheperformanceof post P   P  solutionstepstoensurethatactualclaimlimitationsarenot h ignored.  Examplesofstepsfoundnottoindependentlylimitaprocessinvolvingoneormoremathematicaloperationstepsinclude:0p) XXXXXXXX  ݄ ) stepof updatinganalarmlimitfoundtoconstitute  changingthenumbervalueofavariabletorepresenttheresultofthecalculation;s (  40      X ̄ ) finalstepof magneticallyrecordingtheresultofa 8 calculation; (  41        ̄ ) finalstepof equatingtheprocessoutputstothevalues @" ofthelastsetofprocessinputsfoundtoconstitutestoringtheresultofcalculations; (  42       $ ̄ ) finalstepofdisplayingresultofacalculationasa `"& shadeofgrayratherthanassimplyanumberfoundtonot (#x' constitutedistinctstepwherethedatawerenumericalvaluesthatdidnotrepresentanything; (  43     and $ ) ̄ ) stepof transmittingelectricalsignalsrepresentingthe H&!+ resultofcalculations. (  44      '`", 0p<suc) XXXXXXXX  Officepersonnelareremindedtorelyontheapplicants (#. characterizationofthesignificanceofthe actsbeingassessed h)$/ toresolvequestionsrelatedtotheirrelationshiptothemathematicaloperationsrecitedintheclaimandtheinventionasawhole. (  45      +'2 Ї$3#XXXX#XXX#X  X   $3E  (c)  ManipulationofAbstractIdeasWithoutAPractical  Application E$3EE݌̌XXX#XXXXX  X    Aprocessthatconsistssolelyofthemanipulationofanabstractideawithoutanylimitationtoapracticalapplicationisnonstatutory.? (  46      ׀    Inordertodeterminewhethertheclaimislimitedtoapracticalapplicationofanidea,Officepersonnelmustanalyzetheclaimasawhole,inlightofthespecification,tounderstandwhatsubjectmatterisbeingmanipulatedandhowitisbeingmanipulated.Duringthisprocedure,Officepersonnelmustevaluateanystatementsofintendeduseorfieldofuse,anydatagatheringstepandanypostmanipulationactivity.Seesection(b)above.$3#XXXX#XXX#X  X   $3I  IV.  IssuesRelatedtoCompliancewithSection112,Firstand 0  SecondParagraphs[GuidelinesI.B.2.] n  o -J$3I8J݌̌XXX#XXXXX  X    Section112servestoensurethattheclaimsareclearlydefinedandarefullysupportedbythedisclosure.Officepersonnelshouldfocustheirassessmentofapplicationsforcompliancewith112ondeterminingifthedisclosureandclaimsclearlyconveywhattheapplicanthasinvented,permitotherstodeterminewhatrightshavebeenprovidedtothepatentee,andenableoneskilledinthearttothepracticetheinventionwithoutundueexperimentation.  Whenevaluatingapplications,Officepersonnelmustalwaysremembertousetheperspectiveofoneofordinaryskillintheart.Claimsanddisclosuresarenottobeevaluatedinavacuum.Ifelementsofaninventionarewellknownintheart,theapplicantdoesnothavetoprovideadisclosurethatdescribesthoseelements.  Similarly,theapplicantneednotexplicitlyreciteintheclaimseveryfeatureoftheinvention.Rather,iftheclaims,interpretedinlightofthedisclosurereasonablyapprisethoseofordinaryskillintheartwhattheinventionis,theysatisfytherequirementsof112,secondparagraph.Forexample,ifanapplicantindicatesthattheinventionisaparticularcomputer,theclaimdoesnothavetoreciteeveryelementorfeatureofthecomputer.Infact,itispreferablefortheclaimtobedraftedinaformthatemphasizeswhattheapplicanthasinvented(e.g.,whatisnewratherthanold).' (  47       '`",   Ifdeficienciesarediscoveredwithrespectto112,Officepersonnelmustbecarefultorelyontheappropriateparagraphof112.Deficienciesunderthesecondparagraphof112existifitisunclearwhattheclaimdefines(i.e.,theclaimfailstoparticularlypointoutanddistinctlyclaimtheinvention), (  48     or +'2 theclaimascastdoesnotdefinewhatapplicanthasindicatedtobetheinvention. (  49     Deficienciesunderthefirstparagraphof x 112canarisewherethereisnotanadequatewrittendescriptionthatservestoidentifywhattheapplicanthasinvented,orthedisclosuredoesnotenableoneskilledinthearttomakeandusetheinventionasclaimedwithoutundueexperimentation.Deficienciesrelatedtodisclosureofthebestmodeforcarryingouttheclaimedinventionarenotusuallyencounteredduringinitialexaminationofanapplication.$3#XXXX#XXX#X  X   $3U  A.  SpecificationFailstoShowHowtoMakeorUseProgrammed    ComputerElementofInvention[GuidelinesI.B.2.(b)] tV$3UV݌̌XXX#XXXXX  X    Thedisclosuremustenableapersonskilledinthearttoconfigurethecomputertopossesstherequisitefunctionality,and,ifrelevant,integratethecomputerwithotherelementstoyieldtheclaimedinvention,withouttheexerciseofundueexperimentation.Ifthespecificationfailstoidentifyhowtoconfigureacomputertopossesstherequisitefunctionalityorhowtointegratetheprogrammedcomputerwithotherelementsoftheinvention,theclaimislikelytobedeficientunder112,firstparagraph.  Formanycomputerimplementedinventions,itisnotunusualfortheclaimedinventiontoinvolvemorethanonefieldoftechnology.Forsuchinventions,thedisclosuremustsatisfytheenablementstandardforeachaspectoftheinvention. (  50     Assuch, P thedisclosuremustteachapersonskilledineacharthowtomakeandusetherelevantaspectoftheinventionwithoutundueexperimentation.Forexample,toenableaclaimtoaprogrammedcomputerthatdeterminesanddisplaysthethreedimensionalstructureofachemicalcompound,thedisclosuremust0p) XXXXXXXX  ݄ ) enableapersonskilledintheartofmolecularmodelingto x! understandandpracticetheunderlyingmolecularmodelingprocesses;and̄ ) enableapersonskilledintheartofcomputerprogramming !% tocreateaprogramthatdirectsacomputertocreateanddisplaytheimagerepresentingthethreedimensionalstructureofthecompound.0p\dcl) XXXXXXXX  Inotherwords,thedisclosurecorrespondingtoeachaspectoftheinventionmustbeenablingtoapersonskilledineachrespectiveart.$3#XXXX#XXX#X  X   $3_  B.  ProgrammedComputerIsDefinedAsCompositeofFunctional (#. Elements j`$3_u`݌̌XXX#XXXXX  X    Inmanyinstances,anapplicantwilldescribeaprogrammedcomputerbyoutliningthesignificantelementsoftheprogrammed +'2 computerusingafunctionalblockdiagram.Officepersonnelshouldreviewthespecificationtoensurethatalongwiththefunctionalblockdiagramthedisclosureprovidesinformationthatadequatelydescribeseach elementinhardwareorsoftware.If X thefunctionallylabeledelementsofaprogrammedcomputerarenotdescribedfurtherinthespecificationandoneskilledintheartwouldnotknowwhattheelementsareorhowtomakeorusethemtoyieldtheclaimedinvention,aclaimdefininganinventionrequiringtheuseofthatprogrammedcomputerislikelytobedeficientunderoneormorerequirementsof112.$3#XXXX#XXX#X  X   $3d  C.  ElementsofaMachineDefinedUsingMeansPlusFunction H   Language t Ԁ[GuidelinesI.B.2.(a)&(b)] Oe$3dZe݌̌XXX#XXXXX  X    Wheremeansplusfunctionlanguageisusedtodefinethecharacteristicsofamachineormanufactureinvention,claimelementsmustbeinterpretedtoreadononlythestructuresormaterialsdisclosedinthespecification,and equivalents H  thereof. (  51     Thus,attheoutsetOfficepersonnelmustattemptto  correlatemeanselementstosomedescriptionoftheelementsinthewrittenspecificationanddrawings.  Asnotedearlier,therearemanyappropriatewaysofdescribingtheelementsofaprogrammedcomputer.Ifthedescriptionmakesitclearthatameanselementcorrespondstothephysicalstructureofacomputerorcomputercomponent,thatdescriptionwillsufficientlydefinetheclaimedmeanselement.Thus,ameanselementmaybedefinedtobe:0p) XXXXXXXX  ݄ ) aprogrammedcomputerwithaparticularfunctionality; X ̄ ) alogiccircuitorothercomponentofaprogrammedcomputer 8 thatperformsaseriesofspecificallyidentifiedoperationsdictatedbyacomputerprogram;or̄ ) acomputermemoryencodedwithexecutableinstructions  X# representingacomputerprogramthatcancauseacomputertofunctioninaparticularfashion.0p@jdcl) XXXXXXXX    Aclaimpatternedafterafunctionalblockdiagramanddefinedusingmeansplusfunctionlanguagemayfailtoparticularlypointoutanddistinctlyclaimtheinventionifthedisclosuredoesnotdescribethespecificmaterialsorstructuresthatcorrespondtothemeanselements.Thescopeofa means H&!+ elementisdefinedasthecorrespondingstructureormaterial(e.g.,aspecificlogiccircuit)setforthinthewrittendescriptionanditsequivalents.Wherenostructureormaterialisdisclosed,theclaimfailstoparticularlypointoutanddistinctlyclaimtheinvention.Forexample,iftheapplicantdisclosesonlythefunctiontobeperformedandprovidesnodescriptionofhardwareorsoftwarethatperformsthefunction, +'2 theapplicationhasnotdisclosedany structuretocorrespond  tothemeans.Suchaclaimshouldberejectedunder112,secondparagraph.Incontrast,ifthecorrespondingstructureisdisclosedtobeamemoryorlogiccircuitthathasbeenconfiguredinsomemannertoperformthatfunction(e.g.,usingacomputerprogram),theclaimsatisfies112,secondparagraph.FurtherguidanceininterpretingthescopeofequivalentsofmeanselementsisprovidedintheExaminationGuidelinesForClaimsRecitingAMeansorStepPlusFunctionLimitationInAccordanceWith35U.S.C.112,6thParagraph. (  52         $3#XXXX#XXX#X  X   $3Fs  D.  ClaimDoesNotDefineApplicantsInvention w Ԁ[Guidelines H   I.B.2.(a)] s$3Fss݌̌XXX#XXXXX  X    Tosatisfythesecondparagraphof112,theclaimsmustdefinetheinventioninamannerconsistentwiththeapplicants h  writtendescriptionoftheinvention.Iftheapplicantassertsapracticalutilityfortheinvention,Officepersonnelshouldreviewtheentiredisclosuretodeterminethefeaturesnecessarytoaccomplishtheassertedpracticalutility.Whentheclaimrecitesapracticalutilitybutfailstorecitethenecessaryfeaturestoaccomplishtheassertedpracticalutility,theclaimshouldberejectedunder112,secondparagraph.Ifaclaimissobroadastoencompassnonstatutorysubjectmatter,theclaimshouldberejectedunder1122,aswellas101.Forexample,ifapplicanthasdescribedtheinventionasacomputer  implementedprocess,buttheclaimisbroadenoughtocoverthementalperformanceoftheprocess,thenitshouldberejectedunderboth1122and101. (  53         Aclaimasawholethatdefinesnonstatutorysubjectmatterisdeficientunder101,andunder112,secondparagraph.  Determiningthescopeofaclaimasawholerequiresaclearunderstandingofwhattheapplicantregardsastheinvention.Iftheinventionasdisclosedinthewrittendescriptionisstatutory,buttheclaimsdefinesubjectmatterthatisnot,thedeficiencycanbecorrectedbyanappropriateclaimamendment. (  54       !% Therefore,rejecttheclaimsunder101and112,secondparagraph,butidentifythefeaturesoftheinventionthat,ifrecitedintheclaim,wouldrendertheclaimedsubjectmatterstatutory.$3#XXXX#XXX#X  X   $3^|  E.  ClaimDefinedUsingOnlyComputerProgramCode z Ԁ[Guidelines H&!+ I.B.2.(a)] |$3^||݌̌XXX#XXXXX  X    Aclaimdefinedentirelyincomputerprogramcode,whetherinsourceorobjectcodeformat,maybedeficientunder1122ifoneofordinaryskillintheartwouldnotbeabletoascertainthemetesandboundsoftheclaimedinvention.Suchaclaimshouldalsobeobjectedtounder37CFR1.52(a). (  55      ׀A +'2 computerprogramminglanguageisnottheEnglishlanguage,despitethefactthatEnglishwordsmaybeusedinthatlanguage.  Incertaincircumstances,aswhereselfdocumentingprogrammingcodeisemployed,useofprogramminglanguageinaclaimwouldbepermissible,sincesuchprogramsourcecodepresentssufficientlyhighlevellanguageanddescriptiveidentifierstomakeituniversallyunderstoodtoothersintheartwithouttheprogrammerhavingtoinsertanycomments. (  56        @   Applicantsshouldbeencouragedtofunctionallydefinethestepsthecomputerwillperformratherthansimplyprovidingsourceorobjectcode.$3#XXXX#XXX#X  X   $3Ƃ  V.  IssuesRelatedtoCompliancewith103[Guidelines   I.B.3.] N$3ƂY݌̌XXX#XXXXX  X    Asisthecaseforinventionsinanyfieldoftechnology,assessmentofaclaimedcomputerimplementedinventionforcompliancewith103beginswithacomparisonoftheclaimedsubjectmattertowhatisknowninthepriorart.Oncedistinctionsareidentifiedbetweentheclaimedinventionandthepriorart,thosedistinctionsmustbeassessedandresolvedinlightoftheknowledgepossessedbyapersonofordinaryskillintheart.Againstthisbackdrop,onemustdeterminewhethertheinventionwouldhavebeenobviousatthetimetheinventionwasmade.Ifnot,theclaimedinventionsatisfies103.Factorsandconsiderationsdictatedbylawgoverning103applywithoutmodificationtoinventionsinthisfieldoftechnology.  Ifthedifferencebetweenthepriorartandtheclaimedinventionislimitedtoinformationstoredonoremployedbyamachine,onemustdeterminewhatroletheinformationplayswithregardtotheinventionconsideredasawhole.Wheretheinformationimpartssomedegreeoffunctionalitytotheclaimedinventiontakenasawhole,itrepresentsacriticalelementoftheinvention.Assuch,theinformationmustbeconsideredandaddressedincidenttoapplicationof103.Thus,arejectionoftheclaimasawholeunder103isinappropriateunlessthefunctionalityimpartedbytheinformationwouldhavebeensuggestedbythepriorart.Toestablishaprimafaciecaseofobviousness,Officepersonnelmustexplainwhyitwouldhavebeenobvioustoapersonofordinaryskillintheart,atthetimetheinventionwasmade,toimpartthefunctionalityoftheprogrammedcomputerwiththatspecificinformation.  However,wheretheinformationimpartsnofunctionalitytoachievethespecificutilityoftheinvention,itcannotservetorendertheclaimedinvention,consideredasawhole,nonobvious.Generallyspeaking,situationswhereinformationimpartsnofunctionalitywillbelimitedtothefollowing: +'2 Ї0p) XXXXXXXX  ݄ ) acomputerreadablestoragemediumthatdiffersfromthe  priorartsolelywithrespecttoinformationencodedonthemediumthatdoesnotalteritsfunctionalityconsideredasawhole,̄ ) acomputerthatdiffersfromthepriorartsolelywith  respecttoinformationwhosecontentdoesnotalterhowthemachinefunctions(i.e.,theinformationdoesnotreconfigurethecomputer),or̄ ) aprocessthatdiffersfromthepriorartonlywithrespect    toinformationthatdoesnotalterhowtheprocessstepsaretobeperformedtoachievetheutilityoftheinvention.0pfash) XXXXXXXX  Thus,ifthepriorartsuggestsstoringasongonadisk,merelychoosingaparticularsongtostoreonthediskwouldbepresumedtohavebeenobviousasbeingwellwithinthelevelofordinaryskillintheartatthetimetheinventionwasmade.Suchadifferenceissimplyarearrangementofnonfunctionalinformation.$3#XXXX#XXX#X  X   $3  VI.  Conclusion $3(݌ 0 ЌXXX#XXXXX  X    OnceOfficepersonnelhaveconcludedananalysisoftheclaimedinventionunderallthestatutoryprovisions,including101,112,102and103,whencomposinganyOfficialaction,theyshouldreviewalltheproposedrejectionsandtheirbasestoconfirmtheircorrectness.Onlythenshouldanyrejectionbeimposed.  X B $                    йh)  h)  a   @ /APPENDIX  $3#XXXX#XXX#X  X  # CTCa:;  mTCa:; $3ҕ  I.  GuidelinesforExaminationofComputerImplemented  Inventions$3ҕ݌̌XXX#XXXXX  X    (Proposed) @ 60Fed.Reg.28,778(June2,1995)$3#XXXX#XXX#X  X    $3  A.  GeneralConsiderations$3݌  ЌXXX#XXXXX  X        ThefollowingguidelineshavebeendevelopedtoassistOfficepersonnelintheirreviewofapplicationsdrawntocomputerimplementedinventions.Theseguidelinesrespondtorecentchangesinthelawthatgovernsthepatentabilityofcomputerimplementedinventions,andsetforththeofficialpolicyoftheOfficeregardinginventionsinthisfieldoftechnology.  Itisessentialthatpatentapplicantsobtainapromptyetcompleteexaminationoftheirapplications.TheOfficecanbestachievethisgoalbyraisinganyissuethatmayaffectpatentabilityintheinitialactiononthemerits.Undertheprinciplesofcompactprosecution,eachclaimshouldbereviewedforcompliancewitheverystatutoryrequirementofpatentabilityintheinitialreviewoftheapplication,evenifoneormoreclaimsisfoundtobedeficientwithrespecttoonestatutoryrequirement.Deficienciesshouldbeexplainedclearly,particularlywhentheyserveasabasisofarejection.Wherepossible,examinersshouldindicatehowrejectionsmaybeovercomeandproblemsresolved.Afailuretofollowthisapproachcanleadtounnecessarydelaysintheprosecutionoftheapplication.$3#XXXX#XXX#X  X  $3Y  B.  ProcedurestobeFollowedWhenEvaluatingComputer  p    p  ImplementedInventions$3Y݌̌XXX#XXXXX  X  0pfash) XXXXXXXX   ) Thefollowingproceduresshouldbeusedwhenreviewingapplicationsdrawntocomputerimplementedinventions.) : 1. : Determinewhattheapplicanthasinventedbyreviewingthe  $ writtendescriptionandtheclaims.: `  (a) ` Identifyanyspecificembodimentsoftheinventionthat (#x' havebeendisclosed,reviewthedetaileddescriptionoftheinventionandnotethespecificutilitythathasbeenassertedfortheinvention.(b) ` Analyzeeachclaimcarefully,correlatingeachclaim '`", elementtotherelevantportionofthewrittendescriptionthatdescribesthatelement.Giveclaimelementstheirbroadestreasonableinterpretationthatisconsistentwiththewrittendescription.Ifelementsofaclaimedinventionaredefinedinmeans *H&1 plusfunctionformat,reviewthewrittendescriptiontoidentifythespecificstructure,materialsoractsthatcorrespondtoeachsuchelement.(c) ` Consideringeachclaimasawhole,classifythe   inventiondefinedbyeachclaimastoitsstatutorycategory(i.e.,process,machine,manufactureorcompositionofmatter).Relyonthefollowingpresumptionsinmakingthisclassification. ` (i) Acomputerorotherprogrammableapparatuswhose    actionsaredirectedbyacomputerprogramorotherformof"software"isastatutory machine. `  Ѐ(ii) Acomputerreadablememorythatcanbeusedto   directacomputertofunctioninaparticularmannerwhenusedbythecomputer[1]isastatutory articleofmanufacture. H  (iii)Aseriesofspecificoperationalstepstobeperformedonorwiththeaidofacomputerisastatutory process. h `  `   Aclaimthatclearlydefinesacomputer  implementedprocessbutisnotcastasanelementofacomputerreadablememoryorasimplementedonacomputershouldbeclassifiedasastatutory process.[2]Ifan P applicantrespondstoanactionoftheOfficebasedonthisclassificationbyassertingthatsubjectmatterclaimedinthisformatisamachineoranarticleofmanufacture,rejecttheclaimunder35U.S.C.112,secondparagraph,forfailingtoreciteatleastonephysicalelementintheclaimsthatwouldotherwiseplacetheinventionineitherofthesetwo product x! categories.TheExaminershouldalsoobjecttothespecificationunder37CFR1.71(b)ifsuchanassertionismade,asthecompleteinventioncontemplatedbytheapplicanthasnotbeencastpreciselyasbeinganinventionwithinoneofthestatutorycategories. ` Aclaimthatdefinesaninventionasanyofthefollowingsubjectmattershouldbeclassifiedasnon  statutory: ` ҄ acompilationorarrangementofdata,independent '`", ofanyphysicalelement;̄ aknownmachinereadablestoragemediumthatis h)$/  encodedwithdatarepresentingcreativeor 0*%0 artisticexpression(e.g.,aworkofmusic,artorliterature)[3],[4];̄ a"datastructure"independentofanyphysical X element(i.e.,notasimplementedonaphysicalcomponentofacomputersuchasacomputerreadablememorytorenderthatcomponentcapableofcausingacomputertooperateinaparticularmanner);or  P  Pӄ aprocessthatdoesnothingmorethanmanipulate    abstractideasorconcepts(e.g.,aprocessconsistingsolelyofthestepsonewouldfollowinsolvingamathematicalproblem[5]).`  ` Claimsinthisformareindistinguishablefromabstractideas,lawsofnatureandnaturalphenomenaandmaynotbepatented.Nonstatutoryclaimsshouldbehandledinthemannerdescribedinsection(2)(c)below.` 2.  Analyzeeachclaimtodetermineifitcomplieswith112, P secondparagraph,andwith112,firstparagraph.. (a) . Determineiftheclaimsparticularlypointoutand  distinctlyclaimtheinvention.Todothis,comparetheinventionasclaimedtotheinventionasithasbeendescribedinthespecification.Payparticularattentiontothespecificutilitycontemplatedfortheinventionfeaturesorelementsoftheinventionthatarenecessarytoprovidethespecificutilitycontemplatedforthatinventionmustbereflectedintheclaims.Iftheclaimsfailtoaccuratelydefinetheinvention,theyshouldberejectedunder112,secondparagraph.Afailuretolimittheclaimtoreflectfeaturesoftheinventionthatarenecessarytoi % : % ,  mpartthespecificutilitycontemplatedmayalsocreateadeficiencyunder112,firstparagraph. . Ifelementsofaclaimedinventionaredefinedusing"meansplusfunction"language,butitisunclearwhatstructure,materialsoractsareintendedtocorrespondtothoseelements,rejecttheclaimunder112,secondparagraph.Arejectionimposedonthisbasisshiftstheburdentotheapplicanttodescribethespecificstructure,materialoractsthatcorrespondtothemeanselementinquestion,andtoidentifythepreciselocationinthespecificationwhereadescriptionofthatmeanselementcanbefound.Interpretationof meanselementsfor112,secondparagraphpurposes 0*%0 mustbeconsistentwithinterpretationofsuchelementsfor102and103purposes. . Computerprogramrelatedelementsofacomputer  implemented[6]inventionmayserveasthespecificstructure,materialoractsthatcorrespondtoanelementofaninventiondefinedusingameansplusfunctionlimitation.Forexample,aseriesofoperationsperformedbyacomputerunderthedirectionofacomputerprogrammayserveas"specificacts"thatcorrespondtoameanselement.Similarly,acomputer  readablememoryencodedwithdatarepresentingacomputerprogramthatcancauseacomputertofunctioninaparticularfashion,oracomponentofacomputerthathasbeenreconfiguredwithacomputerprogramtooperateinaparticularfashion,canserveasthe"specificstructure"correspondingtoameanselement. . ClaimsmustbedefinedusingtheEnglishlanguage.See,37CFR1.52(a).AcomputerprogramminglanguageisnottheEnglishlanguage,despitethefactthatEnglishwordsmaybeusedinthatlanguage.Thus,anapplicantmaynotusecomputerprogramcode,ineithersourceorobjectformat,todefinethemetesandboundsofaclaim.Aclaimwhichattemptstodefineelementsofaninventionusingcomputerprogramcode,ratherthanthefunctionalstepswhicharetobeperformed,shouldberejectedunder112,secondparagraph,andshouldbeobjectedtounder37CFR1.52(a)(b) . Construethescopeoftheclaimedinventionto  p determineifitisadequatelysupportedbyanenablingdisclosure.Construeanyelementdefinedinmeansplusfunctionlanguagetoencompassallreasonableequivalentsofthespecificstructure,materialoractsdisclosedinthespecificationcorrespondingtothatmeanselement.Specialcareshouldbetakentoensurethateachclaimcomplieswiththewrittendescriptionandenablementrequirementsof35U.S.C.112.(c) . Aclaimasawholethatdefinesnonstatutorysubject #@( matterisdeficientunder101,andunder112,secondparagraph.Determiningthescopeofaclaimasawholerequiresaclearunderstandingofwhattheapplicantregardsastheinvention.Thereviewperformedinstep1shouldbeusedtogainthisunderstanding. . (i) Iftheinventionasdisclosedinthewritten 0*%0 descriptionisstatutory,buttheclaimsdefine *H&1 subjectmatterthatisnot,thedeficiencycanbecorrectedbyanappropriateclaimamendment.Therefore,rejecttheclaimsunder101and112,secondparagraph,butidentifythefeaturesoftheinventionthat,ifrecitedintheclaim,wouldrendertheclaimedsubjectmatterstatutory.(ii) Iftheinvention,bothasdisclosedandas ( x claimed,isnotstatutorysubjectmatter,rejecttheclaimsunder101forbeingdrawntonon  statutorysubjectmatter,andunder112,secondparagraph,forfailingtoparticularlypointoutanddistinctlyclaimaninventionentitledtoprotectionunderU.S.patentlaw. Aninventionisnotstatutoryifitfallswithinanyofthenonstatutoryclaimcategoriesoutlinedinsection(1)(c)above.Also,inraresituations,aclaimclassifiedasastatutorymachineorarticleofmanufacturemaydefinenon  statutorysubjectmatter.Nonstatutorysubjectmatter(i.e.,abstractideas,lawsofnatureandnaturalphenomena)doesnotbecomestatutorymerelythroughadifferentformofclaimpresentation.Suchaclaimwill(a)definethe"invention"notthroughcharacteristicsofthemachineorarticleofmanufactureclaimedbutexclusivelyintermsofanonstatutoryprocessthatistobeperformedonorusingthatmachineorarticleofmanufacture,and(b)encompassanyproductinthestatedclass(e.g.,computer,computerreadablememory)configuredinanymannertoperformthatprocess. 3.  Determineiftheclaimedinventionisnovelandnonobvious @" under102and103.Whenevaluatingclaimsdefinedusing"meanplusfunction"language,refertothespecificguidanceprovidedintheInreDonaldsonguidelines[1162OG59]andsection(3)(a)above.. .   C.  NotesontheGuidelines  #@(  [1]  Articlesofmanufactureencompassedbythisdefinition % * consistoftwoelements:(1)acomputerreadablestoragemedium,suchasamemorydevice,acompactdiscorafloppydisk,and(2)dataencodedonthatstoragemediuminsuchawaythatthestoragemediumcausesacomputertooperateinaspecificandpredefinedmanner.Thecompositeofthetwo elementsisastoragemediumwithaparticularphysical 0*%0 structureandfunction(e.g.,onethatwillimpartthefunctionalityrepresentedbythedataontoacomputer).[2]  Forexample,aclaimthatiscastas"acomputerprogram" X butwhichthenrecitesspecificstepstobeimplementedonorusingacomputershouldbeclassifiedasa"process."Aclaimtosimplya"computerprogram"thatdoesnotdefinetheinventionintermsofspecificstepstobeperformedonorusingacomputershouldnotbeclassifiedasastatutoryprocess.[3]  Thespecificwordsorsymbolsthatconstituteacomputer H   programrepresenttheexpressionofthecomputerprogramandassucharealiterarycreation.[4]  Aclaiminthisformatshouldalsoberejectedunder103, h  asbeingobviousovertheknownmachinereadablestoragemediumstandingalone.[5]  Aclaimtoamethodconsistingsolelyofthestepsnecessary  toconvertingonesetofnumberstoanothersetofnumberswithoutrecitinganycomputerimplementedstepswouldbeanonstatutoryclaimunderthisdefinition.[6]  Thisincludesthesoftwareandanyassociatedcomputer p hardwarethatisnecessarytoperformthefunctionsdirectedbythesoftware.% -