Brief Summary:
Determining whether specific subject matter is patentable is a very difficult task. Therefore, the PTO has many rules and guidelines used to help sort out this dilemma. The patentability guidelines extend to living subject matter and computer related inventions as well as basic engineering designs.
The statutes under 35 U.S.C. 101, 102 and 103 are used to reject an application’s disclosed subject matter. 35 U.S.C. 101 discusses the types of inventions that are patentable. 35 U.S.C. 102 discusses the conditions for patenting in as far as their novelty requirements and the loss of the right to patent. 35 U.S.C. 103 states the conditions for patenting in relation to non-obvious subject matter.
The requirements for the specification are outlined in the paragraphs of 35 U.S.C. 112. The general requirements for a specification can be broken down into three basic categories; the written description, the enablement and the best mode.
Key Terms:
Best Mode | The Best Mode requirement mandates that a patent application must disclose the best method known to the inventor for carrying out the invention at the time of filing. |
Compositions of Matter | Compositions of Matter refers to chemical compositions, including mixtures and compounds of ingredients, that can be patented if they are new, useful, and non-obvious. |
Enabling Disclosure | Enabling Disclosure requires that a patent application provide sufficient information for someone skilled in the relevant field to make and use the invention without undue experimentation. |
Obviousness | Obviousness is a criterion for patentability that assesses whether an invention is sufficiently inventive or if it would be obvious to someone with ordinary skill in the relevant field, based on prior art. |
Patentable Subject Matter | Patentable Subject Matter refers to the types of inventions or discoveries that can be legally protected by a patent, typically including processes, machines, manufactures, and compositions of matter, but excluding abstract ideas, natural phenomena, and laws of nature. |
Written Description | The “Written Description” requirement mandates that a patent application clearly describe the invention in sufficient detail to demonstrate that the inventor was in possession of the claimed invention at the time of filing. |
35 USC (United States Code):
35 USC 101 – Inventions patentable. |
35 USC 101 defines that any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, is eligible for patent protection in the United States. |
35 USC 112 – Specification. |
35 USC 112 requires a patent application to include a written specification that clearly describes the invention, enabling a person skilled in the art to make and use it, and to distinctly claim the subject matter regarded as the invention. |
Quick Statistics:
Number of Pages: 524 pgs
Sections: 2101 – 2190
List of Sections:
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 |