MPEP Chapter 700 » Software Patents & More

Examination of Applications

Section 701 Statutory Authority for Examination
Section 702 Requisites of the Application
Section 702.01 Obviously Informal Cases
Section 703 [Reserved]
Section 704 Search and Requirements for Information
Section 704.01 Search
Section 704.02-704.09 [Reserved]
Section 704.10 Requirements for Information
Section 704.11 What Information May Be Required
Section 704.11(a) Examples of Information Reasonably Required
Section 704.11(b) When May a Requirement for Information Be Made
Section 704.12 Replies to a Requirement for Information
Section 704.12(a) Relationship of Requirement for Information to Duty of Disclosure
Section 704.12(b) What Constitutes a Complete Reply
Section 704.12(c) Treatment of an Incomplete Reply
Section 704.13 Time Periods for Reply
Section 704.14 Making a Requirement for Information
Section 704.14(a) Format of the Requirement
Section 704.14(b) Examiner’s Obligation Following Applicant’s Reply
Section 704.14(c) Petitions to Requirements Under 37 CFR 1.105
Section 704.14(d) Relationship to Information Disclosure Statements
Section 705 Patentability Reports
Section 705.01 Instructions re Patentability Reports
Section 705.01(a) Nature of P.R., Its Use and Disposal
Section 705.01(b) Sequence of Examination
Section 705.01(c) Counting and Recording P.R.s
Section 705.01(d) [Reserved]
Section 705.01(e) Limitation as to Use
Section 705.01(f) Interviews With Applicants
Section 706 Rejection of Claims
Section 706.01 Contrasted With Objections
Section 706.02 Rejection on Prior Art
Section 706.02(a) 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
Section 706.02(a)(1) Determining Whether To Apply 35 U.S.C. 102(a)(1) or 102(a)(2)
Section 706.02(a)(2) Determining Whether To Apply Pre-AIA 35 U.S.C. 102(a), (b), or (e)
Section 706.02(b) Overcoming a 35 U.S.C. 102 Rejection Based on a Printed Publication or Patent
Section 706.02(b)(1) Overcoming a 35 U.S.C. 102(a)(1) or 102(a)(2) Rejection Based on a Printed Publication or Patent
Section 706.02(b)(2) Overcoming a Pre-AIA 35 U.S.C. 102(a), (b), or (e) Rejection Based on a Printed Publication or Patent
Section 706.02(c) 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 Sale
Section 706.02(c)(1) Rejections under 35 U.S.C. 102(a)(1); Public Use or Public Sale
Section 706.02(c)(2) Rejections under Pre-AIA 35 U.S.C. 102(a) and (b); Public Use or On Sale
Section 706.02(d) Rejections Under Pre-AIA 35 U.S.C. 102(c)
Section 706.02(e) Rejections Under Pre-AIA 35 U.S.C. 102(d)
Section 706.02(f) Rejection Under Pre-AIA 35 U.S.C. 102(e)
Section 706.02(f)(1) Examination Guidelines for Applying References Under Pre-AIA 35 U.S.C. 102(e)
Section 706.02(f)(2) Provisional Rejections Under 35 U.S.C. 102(a)(2) or Pre-AIA 35 U.S.C. 102(e); Reference Is a Copending U.S. Patent Application
Section 706.02(g) Rejections Under Pre-AIA 35 U.S.C. 102(f)
Section 706.02(h) Rejections Under Pre-AIA 35 U.S.C. 102(g)
Section 706.02(i) Form Paragraphs for Use in Rejections Under 35 U.S.C. 102
Section 706.02(j) Contents of a 35 U.S.C. 103 Rejection
Section 706.02(k) Provisional Rejection (Obviousness) Under 35 U.S.C. 103 Using Provisional Prior Art Under Pre-AIA 35 U.S.C. 102(e)
Section 706.02(l) Rejections Under Pre-AIA 35 U.S.C. 103(a) Using Prior Art Under Only Pre-AIA 35 U.S.C. 102 (e), (f), or (g)
Section 706.02(l)(1) Rejections Under Pre-AIA 35 U.S.C. 103(a) Using Prior Art Under Pre-AIA 35 U.S.C. 102(e), (f), or (g); Prior Art Disqualification Under Pre-AIA 35 U.S.C. 103(c)
Section 706.02(l)(2) Establishing Common Ownership or Joint Research Agreement Under Pre-AIA 35 U.S.C. 103(c)
Section 706.02(l)(3) Examination Procedure With Respect to Pre-AIA 35 U.S.C. 103(c)
Section 706.02(m) Form Paragraphs for Use in Rejections Under 35 U.S.C. 103
Section 706.02(n) Biotechnology Process Applications; Pre-AIA 35 U.S.C. 103(b)
Section 706.03 Rejections Not Based on Prior Art
Section 706.03(a) Rejections Under 35 U.S.C. 101
Section 706.03(b) Barred by Atomic Energy Act
Section 706.03(c) Rejections Under 35 U.S.C. 112(a) or Pre-AIA 35 U.S.C. 112, First Paragraph
Section 706.03(d) Rejections Under 35 U.S.C. 112(b) or Pre-AIA 35 U.S.C. 112, Second Paragraph
Section 706.03(e) Form Paragraphs for Use Relating to 35 U.S.C. 112(f) or Pre-AIA 35 U.S.C. 112, Sixth Paragraph
Section 706.03(f) – 706.03(j) [Reserved]
Section 706.03(k) Duplicate Claims
Section 706.03(l) [Reserved]
Section 706.03(m) Nonelected Inventions
Section 706.03(n) [Reserved]
Section 706.03(o) New Matter
Section 706.03(p) – 706.03(r) [Reserved]
Section 706.03(s) Foreign Filing Without License
Section 706.03(t) [Reserved]
Section 706.03(u) Disclaimer
Section 706.03(v) After Interference or Former Public Use Proceeding
Section 706.03(w) Res Judicata
Section 706.03(x) Reissue
Section 706.03(y) Improper Markush Grouping
Section 706.04 Rejection of Previously Allowed Claims
Section 706.05 Rejection After Allowance of Application
Section 706.06 Rejection of Claims Copied From Patent
Section 706.07 Final Rejection
Section 706.07(a) Final Rejection, When Proper on Second Action
Section 706.07(b) Final Rejection, When Proper on First Action
Section 706.07(c) Final Rejection, Premature
Section 706.07(d) Final Rejection, Withdrawal of, Premature
Section 706.07(e) Withdrawal of Final Rejection, General
Section 706.07(f) Time for Reply to Final Rejection
Section 706.07(g) Transitional After-Final Practice
Section 706.07(h) Request for Continued Examination (RCE) Practice
Section 707 Examiner’s Letter or Action
Section 707.01 Primary Examiner Indicates Action for New Assistant
Section 707.02 Applications Up for Third Action and 5-Year Applications
Section 707.03‑707.04 [Reserved]
Section 707.05 Citation of References
Section 707.05(a) Copies of Cited References
Section 707.05(b) Citation of Related Art and Information by Applicants
Section 707.05(c) Order of Listing
Section 707.05(d) Reference Cited in Subsequent Actions
Section 707.05(e) Data Used in Citing References
Section 707.05(f) [Reserved]
Section 707.05(g) Incorrect Citation of References
Section 707.06 Citation of Decisions, Orders Memorandums, and Notices
Section 707.07 Completeness and Clarity of Examiner’s Action
Section 707.07(a) Complete Action on Formal Matters
Section 707.07(b) – 707.07(c) [Reserved]
Section 707.07(d) Language To Be Used in Rejecting Claims
Section 707.07(e) Note All Outstanding Requirements
Section 707.07(f) Answer All Material Traversed
Section 707.07(g) Piecemeal Examination
Section 707.07(h) Notify of Inaccuracies in Amendment
Section 707.07(i) Each Claim To Be Mentioned in Each Office Action
Section 707.07(j) State When Claims Are Allowable
Section 707.07(k) Numbering Paragraphs
Section 707.07(l) Comment on Examples
Section 707.08 Reviewing and Initialing by Assistant Examiner
Section 707.09 Signing by Primary or Other Authorized Examiner
Section 707.10 Entry
Section 707.11 Date
Section 707.12 Mailing
Section 707.13 Returned Office Action
Section 708 Order of Examination
Section 708.01 List of Special Cases
Section 708.02 Petition To Make Special
Section 708.02(a) Accelerated Examination
Section 708.02(b) Prioritized Examination
Section 708.02(c) Patent Prosecution Highway Program
Section 708.03 Examiner Tenders Resignation
Section 709 Suspension of Action
Section 709.01 Overlapping Applications by Same Applicant or Owned by Same Assignee
Section 710 Period for Reply
Section 710.01 Statutory Period
Section 710.01(a) Statutory Period, How Computed
Section 710.02 Shortened Statutory Period and Time Limit Actions Computed
Section 710.02(a) [Reserved]
Section 710.02(b) Shortened Statutory Period: Situations in Which Used
Section 710.02(c) Specified Time Limits: Situations in Which Used
Section 710.02(d) Difference Between Shortened Statutory Periods for Reply and Specified Time Limits
Section 710.02(e) Extension of Time
Section 710.03 [Reserved]
Section 710.04 Two Periods Running
Section 710.04(a) Copying Patent Claims
Section 710.05 Period Ending on Saturday, Sunday, or a Federal Holiday
Section 710.06 Situations When Reply Period Is Reset or Restarted
Section 711 Abandonment of Patent Application
Section 711.01 Express or Formal Abandonment
Section 711.02 Failure To Take Required Action During Statutory Period
Section 711.02(a) Insufficiency of Reply
Section 711.02(b) Special Situations Involving Abandonment
Section 711.02(c) Termination of Proceedings
Section 711.03 Reconsideration of Holding of Abandonment; Revival
Section 711.03(a) Holding Based on Insufficiency of Reply
Section 711.03(b) Holding Based on Failure To Reply Within Period
Section 711.03(c) Petitions Relating to Abandonment
Section 711.03(d) Examiner’s Statement on Petition To Set Aside Examiner’s Holding
Section 711.04 Public Access to Abandoned Applications
Section 711.04(a) Date of Abandonment
Section 711.04(b) Ordering of Patented and Abandoned Files
Section 711.04(c) Notifying Applicants of Abandonment
Section 711.05 Letter of Abandonment Received After Application Is Allowed
Section 711.06 Abstracts, Abbreviatures, and Defensive Publications
Section 711.06(a) Citation and Use of Abstracts, Abbreviatures, and Defensive Publications as References
Section 712 [Reserved]
Section 713 Interviews
Section 713.01 General Policy, How Conducted
Section 713.02 Interviews Prior to First Official Action
Section 713.03 Interview for “Sounding Out” Examiner Not Permitted
Section 713.04 Substance of Interview Must Be Made of Record
Section 713.05 Interviews Prohibited or Granted, Special Situations
Section 713.06 No Inter Partes Questions Discussed Ex Parte
Section 713.07 Exposure of Other Cases
Section 713.08 Demonstration, Exhibits, Models
Section 713.09 Interviews Between Final Rejection and Notice of Appeal
Section 713.10 Interview Preceding Filing Amendment Under 37 CFR 1.312
Section 714 Amendments, Applicant’s Action
Section 714.01 Signatures to Amendments
Section 714.01(a) Unsigned or Improperly Signed Amendment
Section 714.01(b) [Reserved]
Section 714.01(c) Signed by Attorney or Agent Not of Record
Section 714.01(d) Amendment Signed by Applicant but Not by Attorney or Agent of Record
Section 714.01(e) Amendments Before First Office Action
Section 714.02 Must Be Fully Responsive
Section 714.03 Amendments Not Fully Responsive, Action To Be Taken
Section 714.03(a) Supplemental Amendment
Section 714.04 Claims Presented in Amendment With No Attempt To Point Out Patentable Novelty
Section 714.05 Examiner Should Immediately Review
Section 714.06 [Reserved]
Section 714.07 Amendments Not in Permanent Ink
Section 714.08-714.09 [Reserved]
Section 714.10 Claims Added in Excess of Claims Previously Paid For
Section 714.11 Amendment Filed During Interference Proceedings
Section 714.12 Amendments and Other Replies After Final Rejection or Action
Section 714.13 Amendments and Other Replies After Final Rejection or Action, Procedure Followed
Section 714.14 Amendments After Allowance of All Claims
Section 714.15 Amendment Received in Technology Center After Mailing of Notice of Allowance
Section 714.16 Amendment After Notice of Allowance, 37 CFR 1.312
Section 714.16(a) Amendments Under 37 CFR 1.312, Copied Patent Claims
Section 714.16(b) Amendments Under 37 CFR 1.312 Filed With a Motion Under 37 CFR 41.208
Section 714.16(c) Amendments Under 37 CFR 1.312, Additional Claims
Section 714.16(d) Amendments Under 37 CFR 1.312, Handling
Section 714.16(e) Amendments Under 37 CFR 1.312, Entry in Part
Section 714.17 Amendment Filed After the Period for Reply Has Expired
Section 714.18 Entry of Amendments
Section 714.19 List of Amendments, Entry Denied
Section 714.20 List of Amendments Entered in Part
Section 714.21 Amendments Inadvertently Entered, No Legal Effect
Section 714.22-714.24 [Reserved]
Section 714.25 Discourtesy of Applicant or Attorney
Section 715 Swearing Behind a Reference — Affidavit or Declaration Under 37 CFR 1.131(a)
Section 715.01 37 CFR 1.131(a) Affidavits Versus 37 CFR 1.132 Affidavits
Section 715.01(a) Reference Is a Patent or Published Application Naming Different Inventive Entity With at Least One Common Inventor
Section 715.01(b) Reference and Application Have Common Assignee
Section 715.01(c) Reference Is Publication of Applicant’s Own Invention
Section 715.01(d) Activities Applied Against the Claims
Section 715.02 How Much of the Claimed Invention Must Be Shown, Including the General Rule as to Generic Claims
Section 715.03 Genus-Species, Practice Relative to Cases Where Predictability Is in Question
Section 715.04 Who May Make Affidavit or Declaration Under 37 CFR 1.131(a); Formal Requirements of Affidavits and Declarations
Section 715.05 U.S. Patent or Application Publication Claiming Same Invention
Section 715.06 [Reserved]
Section 715.07 Facts and Documentary Evidence
Section 715.07(a) Diligence
Section 715.07(b) Interference Testimony Sometimes Used
Section 715.07(c) Acts Relied Upon Must Have Been Carried Out in This Country or a NAFTA or WTO Member Country
Section 715.07(d) Disposition of Exhibits
Section 715.08 Decided by Primary Examiner
Section 715.09 Timely Presentation
Section 715.10 Review of Affidavit or Declaration for Evidence of Prior Public Use or Sale or Failure to Disclose Best Mode
Section 716 Affidavits or Declarations Traversing Rejections, 37 CFR 1.132
Section 716.01 Generally Applicable Criteria
Section 716.01(a) Objective Evidence of Nonobviousness
Section 716.01(b) Nexus Requirement and Evidence of Nonobviousness
Section 716.01(c) Probative Value of Objective Evidence
Section 716.01(d) Weighing Objective Evidence
Section 716.02 Allegations of Unexpected Results
Section 716.02(a) Evidence Must Show Unexpected Results
Section 716.02(b) Burden on Applicant
Section 716.02(c) Weighing Evidence of Expected and Unexpected Results
Section 716.02(d) Unexpected Results Commensurate in Scope With Claimed Invention
Section 716.02(e) Comparison With Closest Prior Art
Section 716.02(f) Advantages Disclosed or Inherent
Section 716.02(g) Declaration or Affidavit Form
Section 716.03 Commercial Success
Section 716.03(a) Commercial Success Commensurate in Scope With Claimed Invention
Section 716.03(b) Commercial Success Derived From Claimed Invention
Section 716.04 Long-Felt Need and Failure of Others
Section 716.05 Skepticism of Experts
Section 716.06 Copying
Section 716.07 Inoperability of References
Section 716.08 Utility and Operability of Applicant’s Disclosure
Section 716.09 Sufficiency of Disclosure
Section 716.10 Attribution Affidavit or Declaration to Overcome Rejection Under Pre-AIA 35 U.S.C. 102 or 103
Section 717 Prior Art Exceptions under AIA 35 U.S.C. 102(b)(1) and (2)
Section 717.01 Affidavit or Declaration Under 37 CFR 1.130
Section 717.01(a) Declarations or Affidavits under 37 CFR 1.130(a) – Attribution
Section 717.01(a)(1) Evaluation of Declarations or Affidavits under 37 CFR 1.130(a)
Section 717.01(b) Declarations or Affidavits under 37 CFR 1.130(b) – Prior Public Disclosure
Section 717.01(b)(1) Evaluation of Declarations or Affidavits under 37 CFR 1.130(b)
Section 717.01(b)(2) Determining if the Subject Matter of the Intervening Disclosure is the Same as the Subject Matter of the Inventor–Originated Prior Public Disclosure
Section 717.01(c) Who May Make Affidavit or Declaration; Formal Requirements of Affidavits and Declarations
Section 717.01(d) U.S. Patent or Application Publication Claiming Same Invention
Section 717.01(e) Passed Upon (or Decided by) by Primary Examiner
Section 717.01(f) Seasonable (or Timely) Presentation
Section 717.02 Prior Art Exception for Commonly Owned or Joint Research Agreement Subject Matter under AIA 35 U.S.C. 102(b)(2)(C)
Section 717.02(a) Invoking the Prior Art Exception under 35 U.S.C. 102(b)(2)(C)
Section 717.02(b) Evaluating Whether the Prior Art Exception under AIA 35 U.S.C. 102(b)(2)(C) is Properly Invoked
Section 717.02(c) Examination Procedure With Respect to the Prior Art Exception under AIA 35 U.S.C. 102(b)(2)(C)
Section 717.02(d) Form Paragraphs With Respect to the Prior Art Exception under AIA 35 U.S.C. 102(b)(2)(C)
Section 718 Affidavit or Declaration to Disqualify Commonly Owned Patent as Prior Art, 37 CFR 1.131(c)
Section 719 File Wrapper
Section 719.01 Papers in Image File Wrapper
Section 719.02 Residence of Inventor Changed
Section 719.03 Classification During Examination
Section 719.04 Index of Claims
Section 719.05 Field of Search
Section 720 Public Use Proceedings
Section 724 Trade Secret, Proprietary, and Protective Order Materials
Section 724.01 Completeness of the Patent File Wrapper
Section 724.02 Method of Submitting Trade Secret, Proprietary, and/or Protective Order Materials
Section 724.03 Types of Trade Secret, Proprietary, and/or Protective Order Materials Submitted Under MPEP § 724.02
Section 724.04 Office Treatment and Handling of Materials Submitted Under MPEP § 724.02
Section 724.04(a) Materials Submitted in an Application Covered by 35 U.S.C. 122
Section 724.04(b) Materials Submitted in Reissue Applications Open to the Public Under 37 CFR 1.11(b)
Section 724.04(c) Materials Submitted in Reexamination File Open to the Public Under 37 CFR 1.11(d)
Section 724.05 Petition To Expunge Information or Copy of Papers in Application File
Section 724.06 Handling of Petitions To Expunge Information or Copy of Papers in Application File

Examination of Applications

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