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Patents
Patent Laws, Regulations, Policies & Procedures
Manual of Patent Examining Procedure
Chapter 2100
Section 2118-2119
2118-2119 [Reserved]
[top]
2101-2102-[Reserved]
2103-Patent Examination Process
2104-Requirements of 35 U.S.C. 101
2104.01-Barred by Atomic Energy Act
2105-Patent Eligible Subject Matter — Living Subject Matter
2106-Patent Subject Matter Eligibility
2106.01-[Reserved]
2106.02-[Reserved]
2106.03-Eligibility Step 1: The Four Categories of Statutory Subject Matter
2106.04-Eligibility Step 2A: Whether a Claim is Directed to a Judicial Exception
2106.04(a)-Abstract Ideas
2106.04(a)(1)-Examples of Claims That Do Not Recite Abstract Ideas
2106.04(a)(2)-Abstract Idea Groupings
2106.04(a)(3)-Tentative Abstract Ideas
2106.04(b)-Laws of Nature, Natural Phenomena & Products of Nature
2106.04(c)-The Markedly Different Characteristics Analysis
2106.04(d)-Integration of a Judicial Exception Into A Practical Application
2106.04(d)(1)-Evaluating Improvements in the Functioning of a Computer, or an Improvement to Any Other Technology or Technical Field in Step 2A Prong Two
2106.04(d)(2)-Particular Treatment and Prophylaxis in Step 2A Prong Two
2106.05-Eligibility Step 2B: Whether a Claim Amounts to Significantly More
2106.05(a)-Improvements to the Functioning of a Computer or To Any Other Technology or Technical Field
2106.05(b)-Particular Machine
2106.05(c)-Particular Transformation
2106.05(d)-Well-Understood, Routine, Conventional Activity
2106.05(e)-Other Meaningful Limitations
2106.05(f)-Mere Instructions To Apply An Exception
2106.05(g)-Insignificant Extra-Solution Activity
2106.05(h)-Field of Use and Technological Environment
2106.06-Streamlined Analysis
2106.06(a)-Eligibility is Self Evident
2106.06(b)-Clear Improvement to a Technology or to Computer Functionality
2106.07-Formulating and Supporting Rejections For Lack Of Subject Matter Eligibility
2106.07(a)-Formulating a Rejection For Lack of Subject Matter Eligibility
2106.07(a)(1)-Form Paragraphs for use in Lack of Subject Matter Eligibility Rejections
2106.07(b)-Evaluating Applicant’s Response
2106.07(c)-Clarifying the Record
2107-Guidelines for Examination of Applications for Compliance with the Utility Requirement
2107.01-General Principles Governing Utility Rejections
2107.02-Procedural Considerations Related to Rejections for Lack of Utility
2107.03-Special Considerations for Asserted Therapeutic or Pharmacological Utilities
2108-[Reserved]
2109-Inventorship
2109.01-Joint Inventorship
2110-[Reserved]
2111-Claim Interpretation; Broadest Reasonable Interpretation
2111.01-Plain Meaning
2111.02-Effect of Preamble
2111.03-Transitional Phrases
2111.04-“Adapted to,” “Adapted for,” “Wherein,” “Whereby,” and Contingent Clauses
2111.05-Functional and Nonfunctional Descriptive Material
2112-Requirements of Rejection Based on Inherency; Burden of Proof
2112.01-Composition, Product, and Apparatus Claims
2112.02-Process Claims
2113-Product-by-Process Claims
2114-Apparatus and Article Claims — Functional Language
2115-Material or Article Worked Upon by Apparatus
2116-Novel, Nonobvious Starting Material or End Product
2116.01-Novel, Nonobvious Starting Material or End Product
2117-Markush Claims
2118-2119-[Reserved]
2120-Rejection on Prior Art
2120.01-Rejections Under 35 U.S.C. 102(a)(1) and (a)(2) and Pre-AIA 35 U.S.C. 102(a), (b), or (e): Printed Publication or Patent
2120.02-Rejections Under 35 U.S.C. 102(a)(1) or Pre-AIA 35 U.S.C. 102(a) or (b): Knowledge by Others, or Public Use, or On Sale
2121-Prior Art; General Level of Operability Required to Make a Prima Facie Case
2121.01-Use of Prior Art in Rejections Where Operability is in Question
2121.02-Compounds and Compositions — What Constitutes Enabling Prior Art
2121.03-Plant Genetics — What Constitutes Enabling Prior Art
2121.04-Apparatus and Articles — What Constitutes Enabling Prior Art
2122-Discussion of Utility in the Prior Art
2123-Rejection Over Prior Art’s Broad Disclosure Instead of Preferred Embodiments
2124-Exception to the Rule That the Reference Must be Prior Art
2124.01-Tax Strategies Deemed Within the Prior Art
2125-Drawings as Prior Art
2126-Availability of a Document as a “Patent” for Purposes of Rejection Under 35 U.S.C. 102(a) or Pre-AIA 35 U.S.C. 102(a), (b), and (d)
2126.01-Date of Availability of a Patent as a Reference
2126.02-Scope of Reference’s Disclosure Which Can Be Used to Reject Claims When the Reference Is a “Patent” but Not a “Publication”
2127-Domestic and Foreign Patent Applications as Prior Art
2128-“Printed Publications” as Prior Art
2128.01-Level of Public Accessibility Required
2128.02-Date Publication Is Available as a Reference
2129-Admissions as Prior Art
2130-[Reserved]
2131-Anticipation — Application of 35 U.S.C. 102
2131.01-Multiple Reference 35 U.S.C. 102 Rejections
2131.02-Genus-Species Situations
2131.03-Anticipation of Ranges
2131.04-Secondary Considerations
2131.05-Nonanalogous or Disparaging Prior Art
2132-Pre-AIA 35 U.S.C. 102(a)
2132.01-Overcoming a Pre-AIA 35 U.S.C. 102(a) Rejection based on a Printed Publication or Patent
2133-Pre-AIA 35 U.S.C. 102(b)
2133.01-Rejections of Continuation-In-Part (CIP) Applications
2133.02-Rejections Based on Publications and Patents
2133.02(a)-Overcoming a Pre-AIA 35 U.S.C. 102(b) Rejection Based on a Printed Publication or Patent
2133.03-Rejections Based on “Public Use” or “On Sale”
2133.03(a)-“Public Use”
2133.03(b)-“On Sale”
2133.03(c)-The “Invention”
2133.03(d)-“In This Country”
2133.03(e)-Permitted Activity; Experimental Use
2133.03(e)(1)-Commercial Exploitation
2133.03(e)(2)-Intent
2133.03(e)(3)-“Completeness” of the Invention
2133.03(e)(4)-Factors Indicative of an Experimental Purpose
2133.03(e)(5)-Experimentation and Degree of Supervision and Control
2133.03(e)(6)-Permitted Experimental Activity and Testing
2133.03(e)(7)-Activity of an Independent Third Party Inventor
2134-Pre-AIA 35 U.S.C. 102(c)
2135-Pre-AIA 35 U.S.C. 102(d)
2135.01-The Four Requirements of Pre-AIA 35 U.S.C. 102(d)
2136-Pre-AIA 35 U.S.C. 102(e)
2136.01-Status of Unpublished or Published as Redacted U.S. Application as a Reference Under Pre-AIA 35 U.S.C. 102(e)
2136.02-Content of the Prior Art Available Against the Claims
2136.03-Critical Reference Date
2136.04-Different Inventive Entity; Meaning of “By Another”
2136.05-Overcoming a Rejection Under Pre-AIA 35 U.S.C. 102(e)
2136.05(a)-Antedating a Pre-AIA 35 U.S.C. 102(e) Reference
2136.05(b)-Showing The Reference Is Describing An Inventor's Or At Least One Joint Inventor's Own Work
2137-Pre-AIA 35 U.S.C. 102(f)
2137.01-[Reserved]
2137.02-[Reserved]
2138-Pre-AIA 35 U.S.C. 102(g)
2138.01-Interference Practice
2138.02-“The Invention Was Made in This Country”
2138.03-“By Another Who Has Not Abandoned, Suppressed, or Concealed It”
2138.04-“Conception”
2138.05-“Reduction to Practice”
2138.06-“Reasonable Diligence”
2139-Rejections Under Pre-AIA 35 U.S.C. 102
2139.01-Effective Filing Date of a Claimed Invention Under Pre-AIA 35 U.S.C. 102
2139.02-Determining Whether To Apply Pre-AIA 35 U.S.C. 102(a), (b), or (e)
2139.03-Form Paragraphs for Use in Rejections Under Pre-AIA 35 U.S.C. 102
2140-[Reserved]
2141-Examination Guidelines for Determining Obviousness Under 35 U.S.C. 103
2141.01-Scope and Content of the Prior Art
2141.01(a)-Analogous and Nonanalogous Art
2141.02-Differences Between Prior Art and Claimed Invention
2141.03-Level of Ordinary Skill in the Art
2142-Legal Concept of Prima Facie Obviousness
2143-Examples of Basic Requirements of a Prima Facie Case of Obviousness
2143.01-Suggestion or Motivation To Modify the References
2143.02-Reasonable Expectation of Success Is Required
2143.03-All Claim Limitations Must Be Considered
2144-Supporting a Rejection Under 35 U.S.C. 103
2144.01-Implicit Disclosure
2144.02-Reliance on Scientific Theory
2144.03-Reliance on Common Knowledge in the Art or “Well Known” Prior Art
2144.04-Legal Precedent as Source of Supporting Rationale
2144.05-Obviousness of Similar and Overlapping Ranges, Amounts, and Proportions
2144.06-Art Recognized Equivalence for the Same Purpose
2144.07-Art Recognized Suitability for an Intended Purpose
2144.08-Obviousness of Species When Prior Art Teaches Genus
2144.09-Close Structural Similarity Between Chemical Compounds (Homologs, Analogues, Isomers)
2145-Consideration of Applicant’s Rebuttal Arguments and Evidence
2146-Pre-AIA 35 U.S.C. 103(c)
2146.01-Prior Art Disqualification Under Pre-AIA 35 U.S.C. 103(c)
2146.02-Establishing Common Ownership or Joint Research Agreement Under Pre-AIA 35 U.S.C. 103(c)
2146.03-Examination Procedure With Respect to Pre-AIA 35 U.S.C. 103(c)
2146.03(a)-Provisional Rejection (Obviousness) Under 35 U.S.C. 103(a) Using Provisional Prior Art Under Pre-AIA 35 U.S.C. 102(e)
2147-Biotechnology Process Applications; Pre-AIA 35 U.S.C. 103(b)
2148-Form Paragraphs for Use in Rejections Under Pre-AIA 35 U.S.C. 103
2149-[Reserved]
2150-Examination Guidelines for 35 U.S.C. 102 and 103 as Amended by the First Inventor To File Provisions of the Leahy-Smith America Invents Act
2151-Overview of the Changes to 35 U.S.C. 102 and 103 in the AIA
2152-Detailed Discussion of AIA 35 U.S.C. 102(a) and (b)
2152.01-Effective Filing Date of the Claimed Invention
2152.02-Prior Art Under AIA 35 U.S.C. 102(a)(1) (Patented, Described in a Printed Publication, or in Public Use, on Sale, or Otherwise Available to the Public)
2152.02(a)-Patented
2152.02(b)-Described in a Printed Publication
2152.02(c)-In Public Use
2152.02(d)-On Sale
2152.02(e)-Otherwise Available to the Public
2152.02(f)-No Requirement of “By Others”
2152.03-Admissions
2152.04-The Meaning of “Disclosure”
2152.05-Determining Whether To Apply 35 U.S.C. 102(a)(1) or 102(a)(2)
2152.06-Overcoming a 35 U.S.C. 102(a)(1) or 102(a)(2) Rejection
2152.07-Form Paragraphs for Use in Rejections Under AIA 35 U.S.C. 102
2153-Prior Art Exceptions Under 35 U.S.C. 102(b)(1) to AIA 35 U.S.C. 102(a)(1)
2153.01-Prior Art Exception Under AIA 35 U.S.C. 102(b)(1)(A) To AIA 35 U.S.C. 102(a)(1) (Grace Period Inventor-Originated Disclosure Exception)
2153.01(a)-Grace Period Inventor-Originated Disclosure Exception
2153.01(b)-[Reserved]
2153.02-Prior Art Exception Under AIA 35 U.S.C. 102(b)(1)(B) to AIA 35 U.S.C. 102(a)(1) (Inventor-Originated Prior Public Disclosure Exception)
2154-Provisions Pertaining to Subject Matter in a U.S. Patent or Application Effectively Filed Before the Effective Filing Date of the Claimed Invention
2154.01-Prior Art Under AIA 35 U.S.C. 102(a)(2) “U.S. Patent Documents”
2154.01(a)-WIPO Published Applications
2154.01(b)-Determining When Subject Matter Was Effectively Filed Under AIA 35 U.S.C. 102(d)
2154.01(c)-Requirement Of “Names Another Inventor”
2154.01(d)-Provisional Rejections Under 35 U.S.C. 102(a)(2); Reference Is a Copending U.S. Patent Application
2154.02-Prior Art Exceptions Under 35 U.S.C. 102(b)(2) to AIA 35 U.S.C. 102(a)(2)
2154.02(a)-Prior Art Exception Under AIA 35 U.S.C. 102(b)(2)(A) to AIA 35 U.S.C. 102(a)(2) (Inventor-Originated Disclosure Exception)
2154.02(b)-Prior Art Exception Under AIA 35 U.S.C. 102(b)(2)(B) to AIA 35 U.S.C. 102(a)(2) (Inventor-Originated Prior Public Disclosure Exception)
2154.02(c)-Prior Art Exception Under AIA 35 U.S.C. 102(b)(2)(C) to AIA 35 U.S.C. 102(a)(2) (Common Ownership or Obligation of Assignment)
2155-Use of Affidavits or Declarations Under 37 CFR 1.130 To Overcome Prior Art Rejections
2155.01-Showing That the Disclosure Was Made by the Inventor or a Joint Inventor
2155.02-Showing That the Subject Matter Disclosed Had Been Previously Publicly Disclosed by the Inventor or a Joint Inventor
2155.03-Showing That the Disclosure was Made, or That Subject Matter had Been Previously Publicly Disclosed, by Another Who Obtained the Subject Matter Disclosed Directly or Indirectly From the Inventor or a Joint Inventor
2155.04-Enablement
2155.05-Who May File an Affidavit or Declaration Under 37 CFR 1.130
2155.06-Situations in Which an Affidavit or Declaration Is Not Available
2156-Joint Research Agreements
2157-Improper Naming of Inventors
2158-AIA 35 U.S.C. 103
2158.01-Form Paragraphs for Use in Rejections Under AIA 35 U.S.C. 103
2159-Applicability Date Provisions and Determining Whether an Application Is Subject to the First Inventor To File Provisions of the AIA
2159.01-Applications Filed Before March 16, 2013
2159.02-Applications Filed on or After March 16, 2013
2159.03-Applications Subject to the AIA but Also Containing a Claimed Invention Having an Effective Filing Date Before March 16, 2013
2159.04-Applicant Statement in Transition Applications Containing a Claimed Invention Having an Effective Filing Date on or After March 16, 2013
2160-[Reserved]
2161-Three Separate Requirements for Specification Under 35 U.S.C. 112(a) or Pre-AIA 35 U.S.C. 112, First Paragraph
2161.01-Computer Programming, Computer Implemented Inventions, and 35 U.S.C. 112(a) or Pre-AIA 35 U.S.C. 112, First Paragraph
2162-Policy Underlying 35 U.S.C. 112(a) or Pre-AIA 35 U.S.C. 112, First Paragraph
2163-Guidelines for the Examination of Patent Applications Under the 35 U.S.C. 112(a) or Pre-AIA 35 U.S.C. 112, first paragraph, “Written Description” Requirement
2163.01-Support for the Claimed Subject Matter in Disclosure
2163.02-Standard for Determining Compliance With the Written Description Requirement
2163.03-Typical Circumstances Where Adequate Written Description Issue Arises
2163.04-Burden on the Examiner with Regard to the Written Description Requirement
2163.05-Changes to the Scope of Claims
2163.06-Relationship of Written Description Requirement to New Matter
2163.07-Amendments to Application Which Are Supported in the Original Description
2163.07(a)-Inherent Function, Theory, or Advantage
2163.07(b)-Incorporation by Reference
2164-The Enablement Requirement
2164.01-Test of Enablement
2164.01(a)-Undue Experimentation Factors
2164.01(b)-How to Make the Claimed Invention
2164.01(c)-How to Use the Claimed Invention
2164.02-Working and Prophetic Examples
2164.03-Relationship of Predictability of the Art and the Enablement Requirement
2164.04-Burden on the Examiner Under the Enablement Requirement
2164.05-Determination of Enablement Based on Evidence as a Whole
2164.05(a)-Specification Must Be Enabling as of the Filing Date
2164.05(b)-Specification Must Be Enabling to Persons Skilled in the Art
2164.06-Quantity of Experimentation
2164.06(a)-Examples of Enablement Issues-Missing Information
2164.06(b)-Examples of Enablement Issues — Biological and Chemical Cases
2164.06(c)-Examples of Enablement Issues – Computer Programming Cases
2164.07-Relationship of Enablement Requirement to Utility Requirement of 35 U.S.C. 101
2164.08-Enablement Commensurate in Scope With the Claims
2164.08(a)-Single Means Claim
2164.08(b)-Inoperative Subject Matter
2164.08(c)-Critical Feature Not Claimed
2165-The Best Mode Requirement
2165.01-Considerations Relevant to Best Mode
2165.02-Best Mode Requirement Compared to Enablement Requirement
2165.03-Requirements for Rejection for Lack of Best Mode
2165.04-Examples of Evidence of Concealment
2166-Rejections Under 35 U.S.C. 112(a) or Pre-AIA 35 U.S.C. 112, First Paragraph
2167-2170-[Reserved]
2171-Two Separate Requirements for Claims Under 35 U.S.C. 112 (b) or Pre-AIA 35 U.S.C. 112, Second Paragraph
2172-Subject Matter Which the Inventor or a Joint Inventor Regards as The Invention
2172.01-Unclaimed Essential Subject Matter
2173-Claims Must Particularly Point Out and Distinctly Claim the Invention
2173.01-Interpreting the Claims
2173.02-Determining Whether Claim Language is Definite
2173.03-Correspondence Between Specification and Claims
2173.04-Breadth Is Not Indefiniteness
2173.05-Specific Topics Related to Issues Under 35 U.S.C. 112(b) or Pre-AIA 35 U.S.C. 112, Second Paragraph
2173.05(a)-New Terminology
2173.05(b)-Relative Terminology
2173.05(c)-Numerical Ranges and Amounts Limitations
2173.05(d)-Exemplary Claim Language (“for example,” “such as”)
2173.05(e)-Lack of Antecedent Basis
2173.05(f)-Reference to Limitations in Another Claim
2173.05(g)-Functional Limitations
2173.05(h)-Alternative Limitations
2173.05(i)-Negative Limitations
2173.05(j)-Old Combination
2173.05(k)-Aggregation
2173.05(l)-[Reserved]
2173.05(m)-Prolix
2173.05(n)-Multiplicity
2173.05(o)-Double Inclusion
2173.05(p)-Claim Directed to Product-By- Process or Product and Process
2173.05(q)-“Use” Claims
2173.05(r)-Omnibus Claim
2173.05(s)-Reference to Figures or Tables
2173.05(t)-Chemical Formula
2173.05(u)-Trademarks or Trade Names in a Claim
2173.05(v)-Mere Function of Machine
2173.06-Practice Compact Prosecution
2174-Relationship Between the Requirements of 35 U.S.C. 112(a) and (b) or Pre-AIA 35 U.S.C. 112, First and Second Paragraphs
2175-Form Paragraphs for Use in Rejections Under 35 U.S.C. 112(b) or Pre-AIA 35 U.S.C. 112, Second Paragraph
2176-2180-[Reserved]
2181-Identifying and Interpreting a 35 U.S.C. 112(f) or Pre-AIA 35 U.S.C. 112, Sixth Paragraph Limitation
2182-Search and Identification of the Prior Art
2183-Making a Prima Facie Case of Equivalence
2184-Determining Whether an Applicant Has Met the Burden of Proving Nonequivalence After a Prima Facie Case Is Made
2185-Related Issues Under 35 U.S.C. 112(a) or (b) and Pre-AIA 35 U.S.C. 112, First or Second Paragraphs
2186-Relationship to the Doctrine of Equivalents
2187-Form Paragraphs for Use Relating to 35 U.S.C. 112(f) or Pre-AIA 35 U.S.C. 112, Sixth Paragraph
2188-2189-[Reserved]
2190-Prosecution Laches and Res Judicata
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Last Modified: 02/16/2023 12:58:20