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Chapter 700 Examination of Applications

Statutory Authority for Examination701Requisites of the Application702

Obviously Informal Cases702.01[Reserved]703Search and Requirements forInformation

704

Search704.01[Reserved]704.02

704.09Requirements for Information704.10What Information May Be Required704.11

Examples of InformationReasonably Required

704.11(a)

When May a Requirement forInformation Be Made

704.11(b)

Replies to a Requirement forInformation

704.12

Relationship of Requirement forInformation to Duty of Disclosure

704.12(a)

What Constitutes a CompleteReply

704.12(b)

Treatment of an IncompleteReply

704.12(c)

Time Periods for Reply704.13Making a Requirement forInformation

704.14

Format of the Requirement704.14(a)Examiners Obligation FollowingApplicants Reply

704.14(b)

Petitions to Requirements Under37 CFR 1.105

704.14(c)

Relationship to InformationDisclosure Statements

704.14(d)

Patentability Reports705Instructions re Patentability Reports705.01

Nature of P.R., Its Use andDisposal

705.01(a)

Sequence of Examination705.01(b)Counting and Recording P.R.s705.01(c)[Reserved]705.01(d)Limitation as to Use705.01(e)Interviews With Applicants705.01(f)

Rejection of Claims706Contrasted With Objections706.01Rejection on Prior Art706.02

Rejections Under 35 U.S.C.102(a)(1) and (a)(2) and pre-AIA

706.02(a)

35 U.S.C. 102(a), (b), or (e);Printed Publication or Patent

Determining Whether ToApply 35 U.S.C. 102(a)(1) or102(a)(2)

706.02(a)(1)

Determining Whether ToApply Pre-AIA 35 U.S.C.102(a), (b), or (e)

706.02(a)(2)

Overcoming a 35 U.S.C. 102Rejection Based on a PrintedPublication or Patent

706.02(b)

Overcoming a 35 U.S.C.102(a)(1) or 102(a)(2)

706.02(b)(1)

Rejection Based on a PrintedPublication or PatentOvercoming a Pre-AIA 35U.S.C. 102(a), (b), or (e)

706.02(b)(2)

Rejection Based on a PrintedPublication or Patent

Rejections Under 35 U.S.C.102(a)(1) or pre-AIA 35 U.S.C.

706.02(c)

102(a) or (b); Knowledge byOthers or Public Use or Sale

Rejections under 35 U.S.C.102(a)(1); Public Use orPublic Sale

706.02(c)(1)

Rejections under pre-AIA 35U.S.C. 102(a) and (b); PublicUse or On Sale

706.02(c)(2)

Rejections Under Pre-AIA 35U.S.C. 102(c)

706.02(d)

Rejections Under Pre-AIA 35U.S.C. 102(d)

706.02(e)

Rejection Under pre-AIA 35U.S.C. 102(e)

706.02(f)

Examination Guidelines forApplying References UnderPre-AIA 35 U.S.C. 102(e)

706.02(f)(1)

Provisional Rejections Under35 U.S.C. 102(a)(2) or

706.02(f)(2)

pre-AIA 35 U.S.C. 102(e);Reference Is a CopendingU.S. Patent Application

Rejections Under Pre-AIA 35U.S.C. 102(f)

706.02(g)

Rejections Under pre-AIA 35U.S.C. 102(g)

706.02(h)

Form Paragraphs for Use inRejections Under 35 U.S.C. 102

706.02(i)

Contents of a 35 U.S.C. 103Rejection

706.02(j)

Provisional Rejection(Obviousness) Under 35 U.S.C.

706.02(k)

March 2014700-1

103 Using Provisional Prior ArtUnder Pre-AIA 35 U.S.C. 102(e)Rejections Under Pre-AIA 35U.S.C. 103(a) Using Prior Art

706.02(l)

Under Only Pre-AIA 35 U.S.C.102 (e), (f), or (g)

Rejections Under Pre-AIA 35U.S.C. 103(a) Using Prior Art

706.02(l)(1)

Under Pre-AIA 35 U.S.C.102(e), (f), or (g); Prior ArtDisqualification UnderPre-AIA 35 U.S.C. 103(c)Establishing CommonOwnership or Joint Research

706.02(l)(2)

Agreement Under Pre-AIA35 U.S.C. 103(c)Examination Procedure WithRespect to pre-AIA 35 U.S.C.103(c)

706.02(l)(3)

Form Paragraphs for Use inRejections Under 35 U.S.C. 103

706.02(m)

Biotechnology ProcessApplications; pre-AIA 35 U.S.C.103(b)

706.02(n)

Rejections Not Based on Prior Art706.03Rejections Under 35 U.S.C. 101706.03(a)Barred by Atomic Energy Act706.03(b)Rejections Under 35 U.S.C.112(a) or pre-AIA 35 U.S.C. 112,First Paragraph

706.03(c)

Rejections Under 35 U.S.C.112(b) or pre-AIA 35 U.S.C. 112,Second Paragraph

706.03(d)

Form Paragraphs for Use Relatingto 35 U.S.C. 112(f) or pre-AIA35 U.S.C. 112, Sixth Paragraph

706.03(e)

[Reserved]706.03(f)- 706.03(j)

Duplicate Claims706.03(k)[Reserved]706.03(l)Nonelected Inventions706.03(m)[Reserved]706.03(n)New Matter706.03(o)[Reserved]706.03(p)

-

706.03(r)Foreign Filing Without License706.03(s)[Reserved]706.03(t)Disclaimer706.03(u)After Interference or FormerPublic Use Proceeding

706.03(v)

Res Judicata706.03(w)Reissue706.03(x)

Rejection of Previously AllowedClaims

706.04

Rejection After Allowance ofApplication

706.05

Rejection of Claims Copied FromPatent

706.06

Final Rejection706.07Final Rejection, When Proper onSecond Action

706.07(a)

Final Rejection, When Proper onFirst Action

706.07(b)

Final Rejection, Premature706.07(c)Final Rejection, Withdrawal of,Premature

706.07(d)

Withdrawal of Final Rejection,General

706.07(e)

Time for Reply to Final Rejection706.07(f)Transitional After-Final Practice706.07(g)Request for ContinuedExamination (RCE) Practice

706.07(h)

Examiners Letter or Action707Primary Examiner Indicates Actionfor New Assistant

707.01

Applications Up for Third Action and5-Year Applications

707.02

[Reserved]707.03-707.04Citation of References707.05

Copies of Cited References707.05(a)Citation of Related Art andInformation by Applicants

707.05(b)

Order of Listing707.05(c)Reference Cited in SubsequentActions

707.05(d)

Data Used in Citing References707.05(e)[Reserved]707.05(f)Incorrect Citation of References707.05(g)

Citation of Decisions, OrdersMemorandums, and Notices

707.06

Completeness and Clarity ofExaminers Action

707.07

Complete Action on FormalMatters

707.07(a)

[Reserved]707.07(b)-

707.07(c)Language To Be Used inRejecting Claims

707.07(d)

Note All OutstandingRequirements

707.07(e)

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MANUAL OF PATENT EXAMINING PROCEDURE

Answer All Material Traversed707.07(f)Piecemeal Examination707.07(g)Notify of Inaccuracies inAmendment

707.07(h)

Each Claim To Be Mentioned inEach Office Action

707.07(i)

State When Claims AreAllowable

707.07(j)

Numbering Paragraphs707.07(k)Comment on Examples707.07(l)

Reviewing and Initialing by AssistantExaminer

707.08

Signing by Primary or OtherAuthorized Examiner

707.09

Entry707.10Date707.11Mailing707.12Returned Office Action707.13

Order of Examination708List of Special Cases708.01Petition To Make Special708.02

Accelerated Examination708.02(a)Prioritized Examination708.02(b)Patent Prosecution HighwayProgram

708.02(c)

Examiner Tenders Resignation708.03Suspension of Action709

Overlapping Applications by SameApplicant or Owned by SameAssignee

709.01

Period for Reply710Statutory Period710.01

Statutory Period, How Computed710.01(a)Shortened Statutory Period and TimeLimit Actions Computed

710.02

[Reserved]710.02(a)Shortened Statutory Period:Situations in Which Used

710.02(b)

Specified Time Limits: Situationsin Which Used

710.02(c)

Difference Between ShortenedStatutory Periods for Reply andSpecified Time Limits

710.02(d)

Extension of Time710.02(e)[Reserved]710.03Two Periods Running710.04

Copying Patent Claims710.04(a)Period Ending on Saturday, Sunday,or a Federal Holiday

710.05

Situations When Reply Period IsReset or Restarted

710.06

Abandonment of Patent Application711Express or Formal Abandonment711.01Failure To Take Required ActionDuring Statutory Period

711.02

Insufficiency of Reply711.02(a)Special Situations InvolvingAbandonment

711.02(b)

Termination of Proceedings711.02(c)Reconsideration of Holding ofAbandonment; Revival

711.03

Holding Based on Insufficiencyof Reply

711.03(a)

Holding Based on Failure ToReply Within Period

711.03(b)

Petitions Relating toAbandonment

711.03(c)

Examiners Statement on PetitionTo Set Aside Examiners Holding

711.03(d)

Public Access to AbandonedApplications

711.04

Date of Abandonment711.04(a)Ordering of Patented andAbandoned Files

711.04(b)

Notifying Applicants ofAbandonment

711.04(c)

Letter of Abandonment ReceivedAfter Application Is Allowed

711.05

Abstracts, Abbreviatures, andDefensive Publications

711.06

Citation and Use of Abstracts,Abbreviatures, and DefensivePublications as References

711.06(a)

[Reserved]712Interviews713

General Policy, How Conducted713.01Interviews Prior to First OfficialAction

713.02

Interview for Sounding OutExaminer Not Permitted

713.03

Substance of Interview Must Be Madeof Record

713.04

Interviews Prohibited or Granted,Special Situations

713.05

No Inter Partes Questions DiscussedEx Parte

713.06

Exposure of Other Cases713.07Demonstration, Exhibits, Models713.08Finally Rejected Application713.09Interview Preceding FilingAmendment Under 37 CFR 1.312

713.10

Amendments, Applicants Action714

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EXAMINATION OF APPLICATIONS

Signatures to Amendments714.01Unsigned or Improperly SignedAmendment

714.01(a)

[Reserved]714.01(b)Signed by Attorney or Agent Notof Record

714.01(c)

Amendment Signed by Applicantbut Not by Attorney or Agent ofRecord

714.01(d)

Amendments Before First OfficeAction

714.01(e)

Must Be Fully Responsive714.02Amendments Not Fully Responsive,Action To Be Taken

714.03

Supplemental Amendment714.03(a)Claims Presented in Amendment WithNo Attempt To Point Out PatentableNovelty

714.04

Examiner Should ImmediatelyReview

714.05

[Reserved]714.06Amendments Not in Permanent Ink714.07[Reserved]714.08 -

714.09Claims Added in Excess of ClaimsPreviously Paid For

714.10

Amendment Filed During InterferenceProceedings

714.11

Amendments and Other Replies AfterFinal Rejection or Action

714.12

Amendments and Other Replies AfterFinal Rejection or Action, ProcedureFollowed

714.13

Amendments After Allowance of AllClaims

714.14

Amendment Received in TechnologyCenter After Mailing of Notice ofAllowance

714.15

Amendment After Notice ofAllowance, 37 CFR 1.312

714.16

Amendments Under 37 CFR1.312, Copied Patent Claims

714.16(a)

Amendments Under 37 CFR1.312 Filed With a Motion Under37 CFR 41.208

714.16(b)

Amendments Under 37 CFR1.312, Additional Claims

714.16(c)

Amendments Under 37 CFR1.312, Handling

714.16(d)

Amendments Under 37 CFR1.312, Entry in Part

714.16(e)

Amendment Filed After the Periodfor Reply Has Expired

714.17

Entry of Amendments714.18List of Amendments, Entry Denied714.19List of Amendments Entered in Part714.20Amendments Inadvertently Entered,No Legal Effect

714.21

[Reserved]714.22 -714.24

Discourtesy of Applicant or Attorney714.25Swearing Behind a Reference Affidavit or Declaration Under 37 CFR1.131(a)

715

37 CFR 1.131(a) Affidavits Versus37 CFR 1.132 Affidavits

715.01

Reference Is a Joint Patent orPublished Application toApplicant and Another

715.01(a)

Reference and Application HaveCommon Assignee

715.01(b)

Reference Is Publication ofApplicants Own Invention

715.01(c)

Activities Applied Against theClaims

715.01(d)

How Much of the Claimed InventionMust Be Shown, Including theGeneral Rule as to Generic Claims

715.02

Genus-Species, Practice Relative toCases Where Predictability Is inQuestion

715.03

Who May Make Affidavit orDeclaration Under 37 CFR 1.131(a);

715.04

Formal Requirements of Affidavitsand DeclarationsU.S. Patent or Application PublicationClaiming Same Invention

715.05

[Reserved]715.06Facts and Documentary Evidence715.07

Diligence715.07(a)Interference TestimonySometimes Used

715.07(b)

Acts Relied Upon Must HaveBeen Carried Out in This Country

715.07(c)

or a NAFTA or WTO MemberCountryDisposition of Exhibits715.07(d)

Decided by Primary Examiner715.08Timely Presentation715.09Review of Affidavit or Declarationfor Evidence of Prior Public Use orSale or Failure to Disclose Best Mode

715.10

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MANUAL OF PATENT EXAMINING PROCEDURE

Affidavits or Declarations TraversingRejections, 37 CFR 1.132

716

Generally Applicable Criteria716.01Objective Evidence ofNonobviousness

716.01(a)

Nexus Requirement and Evidenceof Nonobviousness

716.01(b)

Probative Value of ObjectiveEvidence

716.01(c)

Weighing Objective Evidence716.01(d)Allegations of Unexpected Results716.02

Evidence Must Show UnexpectedResults

716.02(a)

Burden on Applicant716.02(b)Weighing Evidence of Expectedand Unexpected Results

716.02(c)

Unexpected ResultsCommensurate in Scope WithClaimed Invention

716.02(d)

Comparison With Closest PriorArt

716.02(e)

Advantages Disclosed or Inherent716.02(f)Declaration or Affidavit Form716.02(g)

Commercial Success716.03Commercial SuccessCommensurate in Scope WithClaimed Invention

716.03(a)

Commercial Success DerivedFrom Claimed Invention

716.03(b)

Long-Felt Need and Failure of Others716.04Skepticism of Experts716.05Copying716.06Inoperability of References716.07Utility and Operability of ApplicantsDisclosure

716.08

Sufficiency of Disclosure716.09Attribution Affidavit or Declarationto Overcome Rejection UnderPre-AIA 35 U.S.C. 102 or 103

716.10

Prior Art Exceptions under AIA 35U.S.C. 102(b)(1) and (2)

717

Affidavit or Declaration Under 37CFR 1.130

717.01

Declarations or Affidavits under37 CFR 1.130(a) Attribution

717.01(a)

Evaluation of Declarations orAffidavits under 37 CFR1.130(a)

717.01(a)(1)

Declarations or Affidavits under37 CFR 1.130(b) Prior PublicDisclosure

717.01(b)

Evaluation of Declarations orAffidavits under 37 CFR1.130(b)

717.01(b)(1)

Determining if the SubjectMatter of the Intervening

717.01(b)(2)

Disclosure is the Same as theSubject Matter of theInventorOriginated PriorPublic Disclosure

Who May Make Affidavit orDeclaration; Formal

717.01(c)

Requirements of Affidavits andDeclarationsU.S. Patent or ApplicationPublication Claiming SameInvention

717.01(d)

Passed Upon (or Decided by) byPrimary Examiner

717.01(e)

Seasonable (or Timely)Presentation

717.01(f)

Prior Art Exception for CommonlyOwned or Joint Research Agreement

717.02

Subject Matter under AIA 35 U.S.C.102(b)(2)(C)

Invoking the Prior Art Exceptionunder 35 U.S.C. 102(b)(2)(C)

717.02(a)

Evaluating Whether the Prior ArtException under AIA 35 U.S.C.102(b)(2)(C) is Properly Invoked

717.02(b)

Examination Procedure WithRespect to the Prior Art

717.02(c)

Exception under AIA 35 U.S.C.102(b)(2)(C)Form Paragraphs With Respectto the Prior Art Exception underAIA 35 U.S.C. 102(b)(2)(C)

717.02(d)

Affidavit or Declaration to DisqualifyCommonly Owned Patent as Prior Art,37 CFR 1.131(c)

718

File Wrapper719Papers in Image File Wrapper719.01Residence of Inventor Changed719.02Classification During Examination719.03Index of Claims719.04Field of Search719.05

Public Use Proceedings720[Reserved]721 - 723Trade Secret, Proprietary, andProtective Order Materials

724

Completeness of the Patent FileWrapper

724.01

March 2014700-5

EXAMINATION OF APPLICATIONS

Method of Submitting Trade Secret,Proprietary, and/or Protective OrderMaterials

724.02

Types of Trade Secret, Proprietary,and/or Protective Order MaterialsSubmitted Under MPEP 724.02

724.03

Office Treatment and Handling ofMaterials Submitted Under MPEP 724.02

724.04

Materials Submitted in anApplication Covered by 35U.S.C. 122

724.04(a)

Materials Submitted in ReissueApplications Open to the PublicUnder 37 CFR 1.11(b)

724.04(b)

Materials Submitted inReexamination File Open to thePublic Under 37 CFR 1.11(d)

724.04(c)

Petition To Expunge Information orCopy of Papers in Application File

724.05

Handling of Petitions To ExpungeInformation or Copy of Papers inApplication File

724.06

701 Statutory Authority for Examination[R-11.2013]

35 U.S.C. 131 Examination of application.The Director shall cause an examination to be made of the applicationand the alleged new invention; and if on such examination it appearsthat the applicant is entitled to a patent under the law, the Director shallissue a patent therefor.

The main conditions precedent to the grant of apatent to an applicant are set forth in 35 U.S.C. 101,102 , 103, and 112 .

35 U.S.C. 101 Inventions patentable.

Whoever invents or discovers any new and useful process, machine,manufacture, or composition of matter, or any new and usefulimprovement thereof, may obtain a patent therefor, subject to theconditions and requirements of this title.

Form paragraph 7.04.01 copies 35 U.S.C. 101. SeeMPEP 706.03(a).

35 U.S.C. 100 Definitions. [Editor Note: 35 U.S.C. 100(e)-(j) as set forth below are only applicableto patent applications and patents subject to the first inventor to fileprovisions of the AIA (35 U.S.C. 100 (note)). See pre-AIA 35 U.S.C.100(e) for paragraph (e) as applicable to patent applications and patentsnot subject to the first inventor to file provisions of the AIA.]

When used in this title unless the context otherwise indicates -

(a) The term invention means invention or discovery.(b) The term process means process, art, or method, and includes

a new use of a known process, machine, manufacture, composition ofmatter, or material.

(c) The terms United States and this country mean the UnitedStates of America, its territories and possessions.

(d) The word patentee includes not only the patentee to whomthe patent was issued but also the successors in title to the patentee.

(e) The term third-party requester means a person requestingex parte reexamination under section 302 who is not the patent owner.

(f) The term "inventor" means the individual or, if a jointinvention, the individuals collectively who invented or discovered thesubject matter of the invention.

(g) The terms "joint inventor" and "coinventor" mean any 1 ofthe individuals who invented or discovered the subject matter of a jointinvention.

(h) The term "joint research agreement" means a written contract,grant, or cooperative agreement entered into by 2 or more persons orentities for the performance of experimental, developmental, or researchwork in the field of the claimed invention.

(i) (1) The term "effective filing date" for a claimed invention ina patent or application for patent means

(A) if subparagraph (B) does not apply, the actual filingdate of the patent or the application for the patent containing a claim tothe invention; or

(B) the filing date of the earliest application for whichthe patent or application is entitled, as to such invention, to a right ofpriority under section 119, 365(a), or 365(b) or to the benefit of anearlier filing date under section 120, 121, or 365(c).

(2) The effective filing date for a claimed invention in anapplication for reissue or reissued patent shall be determined by deemingthe claim to the invention to have been contained in the patent for whichreissue was sought.

(j) The term "claimed invention" means the subject matter definedby a claim in a patent or an application for a patent.

Pre-AIA 35 U.S.C. 100 Definitions. [Editor Note: Pre-AIA 35 U.S.C. 100(e) as set forth below is notapplicable to any patent application subject to the first inventor to fileprovisions of the AIA (see 35 U.S.C. 100 (note)). For an application orpatent subject to the first inventor to file provisions of the AIA, see 35U.S.C. 100.]

When used in this title unless the context otherwise indicates -

*****

(e) The term third-party requester means a person requestingex parte reexamination under section 302 or inter partes reexaminationunder section 311 who is not the patent owner.

702 Requisites of the Application [R-11.2013]

The Office of Patent Application Processing (OPAP)reviews application papers to determine whether anew application is entitled to a filing date, i.e.,whether the application contains something that canbe construed as a written description, at least onedrawing, if necessary under 35 U.S.C. 113, and, ina nonprovisional application, at least one claim.OPAP then determines whether the application asfiled is complete, e.g., includes the required fees,

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MANUAL OF PATENT EXAMINING PROCEDURE701

the inventors oath or declaration, and all pages ofthe specification and drawings. If the papers filedare not entitled to a filing date, OPAP will send aNotice of Incomplete Application informingapplicant of the deficiencies; if the application isentitled to a filing date but it is not complete, anOPAP notice (e.g., a Notice of Omitted Item(s))will be sent indicating that the application papers sodeposited have been accorded a filing date andindicating what papers must be filed to complete theapplication.

The examiner should be careful to see that theapplication is complete when taken up forexamination. If, for example, pages of thespecification or drawings are missing, the examinershould determine whether the application is entitledto the filing date assigned, and what action shouldbe taken. See MPEP 601.01(d) and 601.01(g)for guidance.

702.01 Obviously Informal Cases [R-11.2013]

When an application is taken up for examination andit is then discovered to be impractical to give acomplete action on the merits because of an informalor insufficient disclosure, the following proceduremay be followed:

(A) A reasonable search should be made of theinvention so far as it can be understood from thedisclosure, objects of invention and claims and anyapparently pertinent art cited. In the rare case inwhich the disclosure is so incomprehensible as topreclude a reasonable search, the Office actionshould clearly inform applicant that no search wasmade;

(B) Any form that lists informalities and anyadditional formal requirements to be made shouldbe included in the first Office action (see MPEP 707.07(a));

(C) A requirement should be made that thespecification be revised to conform to idiomaticEnglish and United States patent practice;

(D) The claims should be rejected as failing todefine the invention in the manner required by35 U.S.C. 112 if they are informal. A blanketrejection is usually sufficient.The examiner should attempt to point out the pointsof informality in the specification and claims. The

burden is on the applicant to revise the applicationto render it in proper form for a completeexamination.

If a number of obviously informal claims are filedin an application, such claims should be treated asbeing a single claim for fee and examinationpurposes.

It is to applicants advantage to file the applicationwith an adequate disclosure and with claims whichconform to the U.S. Patent and Trademark Officeusages and requirements. This should be donewhenever possible. If, however, due to the pressureof a Convention deadline or other reasons, this isnot possible, applicants are urged to submit promptly, preferably within 3 months after filing, apreliminary amendment which corrects the obviousinformalities. The informalities should be correctedto the extent that the disclosure is readily understoodand the claims to be initially examined are in properform, particularly as to dependency, and otherwiseclearly define the invention. New matter must beexcluded from these amendments since preliminaryamendments filed after the filing date of theapplication do not enjoy original disclosure status.See MPEP 608.04(b).

Whenever, upon examination, it is found that theterms or phrases or modes of characterization usedto describe the invention are not sufficientlyconsonant with the art to which the inventionpertains, or with which it is most nearly connected,to enable the examiner to make the examinationspecified in 37 CFR 1.104, the examiner shouldmake a reasonable search of the invention so far asit can be understood from the disclosure. The actionof the examiner may be limited to a citation of whatappears to be the most pertinent prior art found anda request that applicant correlate the terminology ofthe specification with art-accepted terminologybefore further action is made.

Use form paragraph 7.01 where the terminology issuch that a proper search cannot be made.

7.01 Use of Unconventional Terminology, Cannot BeExamined

A preliminary examination of this application reveals that it includesterminology which is so different from that which is generally accepted

March 2014700-7

702.01EXAMINATION OF APPLICATIONS

in the art to which this invention pertains that a proper search of theprior art cannot be made. For example: [1]

Applicant is required to provide a clarification of these matters orcorrelation with art-accepted terminology so that a proper comparisonwith the prior art can be made. Applicant should be careful not tointroduce any new matter into the disclosure (i.e., matter which is notsupported by the disclosure as originally filed).

A shortened statutory period for reply to this action is set to expire ONEMONTH or THIRTY DAYS, whichever is longer, from the mailingdate of this letter.

Examiner Note:1. Use this or form paragraph 7.02 when a proper search cannotbe made. However, see MPEP 702.01 which requires areasonable search.

2. In bracket 1, fill in an appropriate indication of theterminology, properties, units of data, etc. that are the problemas well as the pages of the specification involved.

3. For the procedure to be followed when the drawing is notacceptable, see MPEP 608.02(a) and 608.02(b).

Use form paragraph 7.02 where the application isso incomprehensible that a reasonable search cannotbe made.

7.02 Disclosure Is Incomprehensible

The disclosure is objected to under 37 CFR 1.71, as being soincomprehensible as to preclude a reasonable search of the prior art bythe examiner. For example, the following items are not understood: [1]

Applicant is required to submit an amendment which clarifies thedisclosure so that the examiner may make a proper comparison of theinvention with the prior art.

Applicant should be careful not to introduce any new matter into thedisclosure ( i.e., matter which is not supported by the disclosure asoriginally filed).

A shortened statutory period for reply to this action is set to expire ONEMONTH or THIRTY DAYS, whichever is longer, from the mailingdate of this letter.

Examiner Note:1. Use this form paragraph when a search cannot be made.

2. In bracket 1, indicate the page numbers and features whichare not understood.

3. See form paragraphs 6.28 and 6.30 for improper idiomaticEnglish.

4. Use form paragraphs 7.31.01 7.31.04, as appropriate, fora rejection of claims (when necessary) based on the deficienciesset forth in this form paragraph.

For the procedure to be followed when the drawingis not acceptable, see MPEP 608.02(a) and 608.02(b).

703 [Reserved]

704 Search and Requirements forInformation [R-08.2012]

704.01 Search [R-08.2012]

After reading the specification and claims, theexaminer searches the prior art. The subject ofsearching is more fully treated in MPEP Chapter900. See especially MPEP 904 through 904.03.The invention should be thoroughly understoodbefore a search is undertaken. However, informalcases, or those which can only be imperfectlyunderstood when they come up for action in theirregular turn are also given a search, in order to avoidpiecemeal prosecution.

PREVIOUS EXAMINERS SEARCH

When an examiner is assigned to act on anapplication which has received one or more actionsby some other examiner, full faith and credit shouldbe given to the search and action of the previousexaminer unless there is a clear error in the previousaction or knowledge of other prior art. In general thesecond examiner should not take an entirely newapproach to the application or attempt to reorient thepoint of view of the previous examiner, or make anew search in the mere hope of finding something.See MPEP 719.05.

704.02 704.09 [Reserved]

704.10 Requirements for Information[R-11.2013]37 CFR 1.105 Requirements for information.

(a) (1) In the course of examining or treating a matter in a pendingor abandoned application filed under 35 U.S.C. 111 or 371 (includinga reissue application), in a patent, or in a reexamination proceeding, theexaminer or other Office employee may require the submission, fromindividuals identified under 1.56(c), or any assignee, of suchinformation as may be reasonably necessary to properly examine ortreat the matter, for example:

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(i) Commercial databases: The existence of anyparticularly relevant commercial database known to any of the inventorsthat could be searched for a particular aspect of the invention.

(ii) Search: Whether a search of the prior art was made,and if so, what was searched.

(iii) Related information: A copy of any non-patentliterature, published application, or patent (U.S. or foreign), by any ofthe inventors, that relates to the claimed invention.

(iv) Information used to draft application: A copy ofany non-patent literature, published application, or patent (U.S. orforeign) that was used to draft the application.

(v) Information used in invention process: A copy ofany non-patent literature, published application, or patent (U.S. orforeign) that was used in the invention process, such as by designingaround or providing a solution to accomplish an invention result.

(vi) Improvements: Where the claimed invention is animprovement, identification of what is being improved.

(vii) In Use: Identification of any use of the claimedinvention known to any of the inventors at the time the application wasfiled notwithstanding the date of the use.

(viii) Technical information known to applicant.Technical information known to applicant concerning the related art,the disclosure, the claimed subject matter, other factual informationpertinent to patentability, or concerning the accuracy of the examinersstated interpretation of such items.

(2) Requirements for factual information known to applicantmay be presented in any appropriate manner, for example:

(i) A requirement for factual information;(ii) Interrogatories in the form of specific questions

seeking applicants factual knowledge; or(iii) Stipulations as to facts with which the applicant

may agree or disagree.(3) Any reply to a requirement for information pursuant to

this section that states either that the information required to be submittedis unknown to or is not readily available to the party or parties fromwhich it was requested may be accepted as a complete reply.

(b) The requirement for information of paragraph (a)(1) of thissection may be included in an Office action, or sent separately.

(c) A reply, or a failure to reply, to a requirement for informationunder this section will be governed by 1.135 and 1.136.

An examiner or other Office employee may requirefrom individuals identified under 37 CFR 1.56(c),the submission of such information as may bereasonably necessary to properly examine or treat amatter in a pending or abandoned application filedunder 35 U.S.C. 111, in a pending or abandonedapplication that has entered the national stage under35 U.S.C. 371, in a patent, or in a reexaminationproceeding. The scope of 37 CFR 1.105 is extendedto any assignee or anyone to whom there is anobligation to assign the application because theinformation required may be known to somemembers of the assignee or obligated assignee evenif not known by the inventors.

The authority for the Office to make suchrequirements arises from the statutory requirementsof examination pursuant to 35 U.S.C. 131 and 132.An examiner or other Office employee may make arequirement for information reasonably necessary

to the examination or treatment of a matter inaccordance with the policies and practices set forthby the Director(s) of the Technology Center or otheradministrative unit to which that examiner or otherOffice employee reports. See Star Fruits S.N.C. v.United States , 393 F.3d 1277, 1283, 73 USPQ2d1409, 1414 (Fed. Cir. 2005) (Star Fruits argumentfails to come to grips with the real issue in this case,which is whether the Office can use section 1.105to compel disclosure of information that theexaminer deems pertinent to patentability when theapplicant has a contrary view of the applicable law.We answer this question in the affirmative.)

704.11 What Information May Be Required[R-11.2013]

Information which may be required under37 CFR 1.105 is that information reasonablynecessary to properly examine or treat a matter in apending or abandoned application filed under35 U.S.C. 111 (including a reissue application), ina pending or abandoned application that has enteredthe national stage under 35 U.S.C. 371, in a patent,or in a reexamination proceeding.

There must be a reasonable basis for the informationrequired that would aid in the examination of anapplication or treatment of some matter. Arequirement for information under 37 CFR 1.105places a substantial burden on the applicant that isto be minimized by clearly focusing the reason forthe requirement and the scope of the expectedresponse. Thus, the scope of the requirement shouldbe narrowly defined, and a requirement under 37CFR 1.105 may only be made when the examinerhas a reasonable basis for requiring information.

The terms factual and facts are included in 37CFR 1.105 to make it clear that it is facts and factualinformation, that are known to applicant, or readilyobtained after reasonable inquiry by applicant, thatare sought, and that requirements under 37 CFR1.105 are not requesting opinions that may be heldor would be required to be formulated by applicant.Where the factual information requested related tothe subject application, and details thereof, applicantwould be expected to make a reasonable inquiryunder the circumstances to find the factualinformation requested (37 CFR 11.18(b)(2)).

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Applicant need not, however, derive orindependently discover a fact, such as byexperimentation, in response to a requirement forinformation. The purpose of 37 CFR 1.105 is toimprove patent quality, and render better decisions,and not to put applicants in jeopardy of meeting theirduties of candor and good faith in their replies to arequirement for information.

INFORMATION REASONABLY NECESSARYFOR FINDING PRIOR ART

The criteria stated in 37 CFR 1.105 for making arequirement for information is that the informationbe reasonably necessary to the examination ortreatment of a matter in an application. Theinformation required would typically be thatnecessary for finding prior art or for resolving anissue arising from the results of the search for art orfrom analysis of the application file. A requirementfor information necessary for finding prior art is nota substitute for the examiner performing a search ofthe relevant prior art; the examiner must make asearch of the art according to MPEP 704.01 and904 904.03.

The criteria of reasonable necessity is generally met,e.g., where:

(A) the examiners search and preliminaryanalysis demonstrates that the claimed subject mattercannot be adequately searched by class or keywordamong patents and typical sources of non-patentliterature, or

(B) either the application file or the lack ofrelevant prior art found in the examiners searchjustifies asking the applicant if he or she hasinformation that would be relevant to thepatentability determination.

The first instance generally occurs where theinvention as a whole is in a new area of technologywhich has no patent classification or has a class withfew pieces of art that diverge substantially from thenature of the claimed subject matter. In this situation,the applicant is likely to be among the mostknowledgeable in the art, as evidenced by thescarcity of art, and requiring the applicantsinformation of areas of search is justified by the needfor the applicants expertise.

The second instance generally occurs wherethe application file, or other related applications orpublications authored by the applicant, suggests theapplicant likely has access to information necessaryto a more complete understanding of the inventionand its context. In this situation, the record suggeststhat the details of such information may be relevantto the issue of patentability, and thus shows the needfor information in addition to that already submittedby the applicant.

704.11(a) Examples of InformationReasonably Required [R-11.2013]

37 CFR 1.105(a)(1)(i)-(viii) list specific examplesof information that may be reasonably required.Other examples, not meant to be exhaustive, ofinformation that may be reasonably required forexamination of an application include:

(A) The name and citation of any particularlyrelevant indexed journal, or treatise.

(B) The trade name of any goods or servicesthe claimed subject matter is embodied in.

(C) The citation for, the dates initially publishedand copies of any advertising and promotionalliterature prepared for any goods or services theclaimed subject matter has been embodied in.

(D) The citation for and copies of any journalarticles describing any goods or services the claimedsubject matter has been embodied in.

(E) The trade names and providers of any goodsor services in competition with the goods or servicesthe claimed subject matter has been embodied in.

(F) Any written descriptions or analyses,prepared by any of the inventors or assignees, ofgoods or services in competition with the goods orservices the claimed subject matter has beenembodied in.

(G) Identification of pending or abandonedapplications filed by at least one of the inventors orassigned to the same assignee as the currentapplication that disclose similar subject matter thatare not otherwise identified in the currentapplication.

(H) A reply to a matter raised in a protest under37 CFR 1.291.

(I) An explanation of technical material in apublication, such as one of the inventorspublications.

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(J) The identification of changes made in areformatted continuing application filed under 37CFR 1.53(b).

(K) A mark-up for a continuation-in-partapplication showing the subject matter added wherethere is an intervening reference.

(L) Comments on a new decision by the FederalCircuit that appears on point.

(M) The publication date of an undateddocument mentioned by applicant that may qualifyas printed publication prior art (35 U.S.C. 102(a) orpre-AIA 35 U.S.C. 102(a) or (b)).

(N) Comments on information of record whichraises a question of whether applicant derived theinvention from another under 35 U.S.C. 101 and115, and pre-AIA 35 U.S.C. 102(f).

(O) Art related to applicants invention,applicants disclosure, or the claimed subject matter.

(P) Other factual information pertinent topatentability.

(Q) The accuracy of the examiners statedanalysis of such items.

(R) Clarification of the correlation andidentification of what structure, material, or acts setforth in the specification would be capable ofcarrying out a function recited in a means or stepsplus function claim limitation. If it is not apparentto the examiner where in the specification anddrawings there is support for a particular claimlimitation reciting a means to accomplish a function,and if an inquiry by the examiner for such supportis met by a stated lack of knowledge thereof by theapplicant, the examiner could very well concludethat there is no such support and make appropriaterejections under, for example, .35 U.S.C. 112(a) orpre-AIA 35 U.S.C. 112, first paragraph (writtendescription) and 35 U.S.C. 112(b) or pre-AIA 35U.S.C. 112 , second paragraph

(S) Interrogatories or Stipulations.(1) Of the common technical features shared

among all claims, or admission that certain groupsof claims do not share any common technicalfeatures,

(2) About the support found in thedisclosure for means or steps plus function claims(35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112 ,paragraph 6),

(3) Of precisely which portion(s) of thedisclosure provide the written description andenablement support for specific claim element(s),

(4) Of the meaning of claim limitations orterms used in the claims, such as what teachings inthe prior art would be covered by particularlimitations or terms in a claim and which dictionarydefinitions would define a particular claim term,particularly where those terms are not used per sein the specification,

(5) Of which portions of each claimcorrespond to any admitted prior art in thespecification,

(6) Of the specific utility provided by theclaimed subject matter on a claim-by-claim basis,

(7) As to whether a dependent claimelement is known in the prior art based on theexaminer having a reasonable basis for believing so,

(8) Of support for added limitations in anamended claim,

(9) Of facts related to public use or salesituations.

(T) Information from the applicant regarding athird party submission under 37 CFR 1.290. In nocircumstance may an examiner direct a requirementfor information to the third party that submitted thepaper under 37 CFR 1.290. See MPEP 1134.

(U) Information from the applicant regardingrescission of a statement under 37 CFR 1.55 or 1.78.See form paragraphs 7.104.02.fti and 7.104.02.aia.

704.11(b) When May a Requirement forInformation Be Made [R-08.2012]

A requirement for information under 37 CFR 1.105is discretionary. A requirement may be made at anytime once the necessity for it is recognized andshould be made at the earliest opportunity after thenecessity is recognized. The optimum time formaking a requirement is prior to or with a first actionon the merits because the examiner has the maximumopportunity to consider and apply the response.Ordinarily, a request for information should not bemade with or after a final rejection.

I. PRIOR TO THE FIRST ACTION ON THEMERITS

It may be appropriate to make a requirement forinformation prior to the first action on the merits,such as with a restriction requirement, when theexaminers search and preliminary analysisdemonstrates that the claimed subject matter cannotbe adequately searched by class or keyword among

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patents or in areas of emerging technology wherethe Office has minimal prior art.

Factors to be considered for the appropriateness ofa separate requirement for information prior to thefirst action on the merits include:

(A) Whether the claimed subject matter is in anewly established art area without a well-developedprior art resource pool;

(B) Whether the applicant submitted anInformation Disclosure Statement;

(C) Whether the specifications backgrounddescription adequately describes the background ofthe disclosed subject matter;

(D) Whether related documents, written by aninventor or an employee of the assignee, which werenot submitted, are found during the search ordescribed in the application file;

(E) Whether non-patent literature is referred toin the disclosure, but a copy has not been supplied;and

(F) Whether the specifications background ofthe invention describes information as being knownor conventional, which may be considered as anadmission of prior art, but such information isunfamiliar to examiner and cannot be found withinthe application file or from the examiners search,and further details of the information would berelevant to the question of patentability.

II. WITH THE FIRST ACTION ON THEMERITS

A requirement for information may be combinedwith a first action on the merits that includes at leastone rejection, if, for example, either the applicationfile or the lack of relevant prior art found in theexaminers search justifies asking the applicant ifhe or she has information that would be relevant tothe patentability determination.

It is not appropriate to make a requirement forinformation based on a lack of relevant prior art witha first action on the merits allowance or Ex parteQuayle action.

III. AFTER THE FIRST ACTION ON THEMERITS

A requirement for information made after the firstaction on the merits may be appropriate when theapplication file justifies asking the applicant if he orshe has information that would be relevant to thepatentability determination. It is rarely appropriateto require information because of a lack of relevantprior art after the first action on the merits.

A requirement for information is not proper whenno further action would be taken by the examiner.The reasonable necessity criteria for a requirementfor information implies further action by theexaminer. This means that actions in whichrequirements for information necessary forexamination are made should generally be anon-final action because the applicants reply mustbe considered and applied as appropriate.

Under limited circumstances, requirements under37 CFR 1.105 may be made in an application thatis issued or abandoned. Such a requirement wouldnormally be made only during part of some ongoingproceeding involving the issued patent or abandonedapplication. Examples of proceedings when anexaminer or other Office employee would issue sucha request in an abandoned application includeproceedings to revive the abandoned application.Examples of proceedings when an examiner or otherOffice employee would issue such a request in apatent include proceedings to change inventorshipand reexamination proceedings.

704.12 Replies to a Requirement forInformation [R-08.2012]

Replies to requirements for information must becomplete and filed within the time period setincluding any extensions. Failure to reply within thetime period set will result in the abandonment of theapplication. All replies for a request for informationshould be checked for completeness. Any incompletereply can be completed within the original timeperiod set including any extensions. Supplementalreplies filed after the expiration of the original periodfor reply including any extensions of time must

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comply with all other rules for submissions ofinformation.

704.12(a) Relationship of Requirement forInformation to Duty of Disclosure [R-08.2012]

The duty of candor and good faith under 37 CFR1.56 applies to the applicants reply to a requirementfor information under 37 CFR 1.105, and requiresthat the applicant reply to a requirement under 37CFR 1.105 with information reasonably and readilyavailable.

37 CFR 1.56 requires parties identified in 37 CFR1.56(c) to disclose to the Office information materialto the patentability of the claimed subject matter.This threshold is substantially higher than that forrequiring information under 37 CFR 1.105, whichis reasonable necessity to the examination of theapplication. See, e.g., Star Fruits S.N.C. v. UnitedStates, 280 F.Supp.2d 512, 515-16 (E.D. Va2003)(Beyond that which a patent applicant isduty-bound to disclose pursuant to 37 CFR 1.56, anexaminer may require the production of suchinformation as may be reasonably necessary toproperly examine or treat the matter.)

In contrast with the applicants duty to disclose onhis or her own initiative information material topatentability under 37 CFR 1.56, the Office has theauthority to require information reasonably necessaryto the examination or treatment of a matter in anapplication. Such information may not be consideredmaterial to patentability by applicant, hence applicantwould not be required to provide the informationunder 37 CFR 1.56. The information is insteadreasonably necessary to determine the state of theart, the context in which the invention is practiced,the directions in which the relevant art are advancing,the similarity between the claimed subject matterand other art worked on by the applicants and theirassignees or to otherwise proceed in the examinationand treatment of matters in an application.

Similar to 37 CFR 1.56, applicant is required by37 CFR 1.105 to submit information already known,but there is no requirement to search for informationthat is unknown. Unlike 37 CFR 1.56, applicant isrequired by 37 CFR 1.105 to submit informationthat may not be material to patentability in itself, but

that is necessary to obtain a complete record fromwhich a determination of patentability may bedetermined.

704.12(b) What Constitutes a CompleteReply [R-08.2012]

A complete reply to a 37 CFR 1.105 requirement isa reply to each enumerated requirement forinformation giving either the information requiredor a statement that the information required to besubmitted is unknown and/or is not readily availableto the party or parties from which it was requested.There is no requirement for the applicant to showthat the required information was not, in fact, readilyattainable, but applicant is required to make a goodfaith attempt to obtain the information and to makea reasonable inquiry once the information isrequested.

There is no need for applicants to distinguishbetween whether the required information isunknown or is not readily available. Thus, ifinformation remains unknown after a reasonableinquiry is made, applicant may simply reply that therequested information is either unknown or is notreadily available rather than be required to make acategorical position either that the information isunknown to the applicant, or that the information isnot readily available to the applicant.

A reply stating that the information required to besubmitted is unknown and/or is not readily availableto the party or parties from which it was requestedwill generally be sufficient unless, for example, it isclear the applicant did not understand therequirement, or the reply was ambiguous and a morespecific answer is possible.

Depending on the facts surrounding the requirementand the reply, a follow up requirement may be madewhere both reasonable and warranted.

704.12(c) Treatment of an Incomplete Reply[R-08.2012]

An incomplete reply to a 37 CFR 1.105 requirementin a pending application or reexamination proceedingis handled in the same manner as an amendment not

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704.12(c)EXAMINATION OF APPLICATIONS

fully responsive to a non-final Office action. See 37CFR 1.135(c) and MPEP 714.03. Where the replyis a bona fide reply, form paragraph 7.95 may beused. Note that a 37 CFR 1.105 requirement, evenabsent an action on the merits, is an Office action.

7.95 Bona Fide, Non-Responsive Amendments

The reply filed on [1] is not fully responsive to the prior Office actionbecause of the following omission(s) or matter(s): [2]. See 37 CFR1.111. Since the above-mentioned reply appears to be bona fide ,applicant is given a TIME PERIOD of ONE (1) MONTH or THIRTY(30) DAYS from the mailing date of this notice, whichever is longer,within which to supply the omission or correction in order to avoidabandonment. EXTENSIONS OF THIS TIME PERIOD MAY BEGRANTED UNDER 37 CFR 1.136(a).

Examiner Note:

This practice does not apply where there has been a deliberate omissionof some necessary part of a complete reply, or where the application issubject to a final Office action. Under such cases, the examiner has noauthority to grant an extension if the period for reply has expired. Seeform paragraph 7.91.

704.13 Time Periods for Reply [R-08.2012]

A reply, or a failure to reply, to a requirement forinformation under 37 CFR 1.105 will be governedby 37 CFR 1.135 and 1.136. See MPEP 710 etseq.

Requirements for information under 37 CFR 1.105made without an action on the merits should set ashortened statutory period of two months for reply.Applicant may extend the time period for reply upto six months in accordance with 37 CFR 1.136(a).

Requirements sent with an Office action on themerits, and not as a separate Office action, will begiven the same period for reply as the action on themerits.

A requirement for information under 37 CFR 1.105is an Office action under 35 U.S.C. 132 for patentterm adjustment purposes. See MPEP 2730 forinformation pertaining to patent term adjustment.

704.14 Making a Requirement forInformation [R-08.2012]

A requirement for information under 37 CFR 1.105should be narrowly specified and limited in scope.It is a significant burden on both the applicant andthe Office since the applicant must collect and

submit the required information and the examinermust consider all the information that is submitted.A requirement for information is only warrantedwhere the benefit from the information exceeds theburden in obtaining information.

704.14(a) Format of the Requirement[R-08.2012]

The requirement must clearly indicate that arequirement under 37 CFR 1.105 is being made, thebasis for the requirement, and what information isbeing required. Requirements should specify theparticular art area involved, and the particularclaimed subject matter within such art area, in whichthe information is required in order to avoid overlyburdening the applicant and to avoid inviting largevolumes of information that are not relevant to theneed for the information. The requirement shouldalso clearly indicate the form the requiredinformation is expected to take. That is, whether therequirement is for citations and copies of individualart references, for the identification of wholecollections of art, for answers to questions, or foranother specified form.

A requirement for information under 37 CFR 1.105is generally prepared as a separate document thatmay be attached to an Office action on the merits ormailed as a stand alone action. The rule permits arequirement to be included within an Office action,but creating a separate document is preferablebecause the existence of the requirement isimmediately brought to the attention of the recipientand it is more readily routed by the applicant to theparties best able to respond.

The requirement should state why the requirementhas been made and how the information is necessaryto the examination.

Interrogatories may be used to ask specific questionsseeking applicants factual knowledge. Such arequirement for information may include an inquiryas to the existence of a particular document or otherpiece of information and a requirement that suchinformation be supplied if it is known to exist andis readily available. A stipulation may be used as tofacts with which applicant may agree or disagree in

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order to clarify the record about uncontrovertedmatters.

FORM PARAGRAPHS

The following form paragraphs should be used whenpreparing a requirement for information:

7.105 Requirement for Information, Heading

Applicant and the assignee of this application are required under 37CFR 1.105 to provide the following information that the examiner hasdetermined is reasonably necessary to the examination of thisapplication.

Examiner Note:1. This form paragraph should appear at the beginning of anyrequirement for information under 37 CFR 1.105, and shouldbe followed by an explanation of why the required informationis necessary for examination. Form paragraphs 7.106 7.121may be used as appropriate.

2. The requirement for information should conclude with formparagraphs 7.122 7.126 as appropriate.

The following form paragraphs should be used asappropriate where the information required pertainsto stipulations of facts or interrogatories of factsknown to the applicant:

7.105.01 Stipulations of Facts Known to Applicant

In response to this requirement, please agree or disagree to the stipulationof each of the following assertions of facts:

[1].

Examiner Note:1. This form paragraph must be preceded by form paragraph7.105, and should be followed by form paragraphs 7.122 7.126as appropriate.

2. In bracket 1, specify each factual assertion, in the form ofa separate, numbered sentence, that the applicant is to eitheragree or disagree to so stipulate. It is suggested that at the endof each assertion, the parenthetic phrase, (agree/disagree) beappended to facilitate a reply by way of applicant marking upa copy of the requested stipulations.

7.105.02 Interrogatories of Facts Known to Applicant

In response to this requirement, please provide answers to each of thefollowing interrogatories eliciting factual information:

[1].


2. In bracket 1, specify each interrogatory question, in theform of a separate, numbered sentence, that the applicant is toanswer. The scope of each query must be clearly set forth andthe content of the expected reply is to be characterized as factualinformation.

The following form paragraphs should be used asappropriate where the information required pertainsto a search for prior art, or to citations and/or copiesof publications:

7.106 Domain of Search

The information is required to extend the domain of search for prior art.Limited amounts of art related to the claimed subject matter are availablewithin the Office, and are generally found in class [1] and subclasses[2], which describe [3]. A broader range of art to search is necessary toestablish the level of knowledge of those of ordinary skill in the claimedsubject matter art of [4].Examiner Note:1. This form paragraph must be preceded by form paragraph7.105, and should be followed by form paragraphs 7.122 7.126as appropriate.

2. In bracket 4, insert a description of the art claimed but notfound in the classification system.

7.107 Level of Skill and Knowledge in the Art

The information is required to document the level of skill and knowledgein the art of [1].

Examiner Note:

This form paragraph must be preceded by form paragraph 7.105, andshould be followed by form paragraphs 7.122 7.126 as appropriate.

7.108 Background Description

The information is required to complete the background description inthe disclosure by documenting [1].

Examiner Note:


7.109 Products and Services Embodying Invention

The information is required to identify products and services embodyingthe disclosed subject matter of [1] and identify the properties of similarproducts and services found in the prior art.

Examiner Note:


7.110 Art Suggested as Relevant

The information is required to enter in the record the art suggested bythe applicant as relevant to this examination in [1].

Examiner Note:

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1. This form paragraph must be preceded by form paragraph7.105, and should be followed by form paragraphs 7.122 7.126as appropriate.

2. In bracket 1, describe where in the application file applicantsuggests that the art is relevant, e.g., the specification and therelevant page thereof, or a paper received in the Office on aspecified date and the relevant page thereof.

7.111 List of Keywords

In response to this requirement, please provide a list of keywords thatare particularly helpful in locating publications related to the disclosedart of [1].

Examiner Note:


7.112 Citations for Electronically Searchable Databases orOther Indexed Collections

In response to this requirement, please provide a list of citations toelectronically searchable databases or other indexed collectionscontaining publications that document the knowledge within thedisclosed art of [1].

Examiner Note:


7.113 Copy of Art Referred to in the Disclosure, But NotSubmitted

In response to this requirement, please provide a copy of each of thefollowing items of art referred to in the [1].


2. In bracket 1, describe where in the application file applicantrefers to art that has not been previously submitted, e.g., thespecification and the relevant page thereof, or a paper receivedin the Office on a specified date and the relevant page thereof.

7.114 Copies of Publications Authored by Inventor(s)

In response to this requirement, please provide copies of each publicationwhich any of the applicants authored or co-authored and which describethe disclosed subject matter of [1].Examiner Note:


7.115 Art Relied Upon for Description of Prior Art

In response to this requirement, please provide the title, citation andcopy of each publication that is a source used for the description of theprior art in the disclosure. For each publication, please provide a conciseexplanation of that publications contribution to the description of theprior art.

Examiner Note:

1. This form paragraph must be preceded by form paragraph7.105, and should be followed by form paragraphs 7.122 7.126as appropriate.

2. This requirement is limited in that only those documentsactually relied on, rather than documents believed to be relevant,are required.

7.116 Art Relied Upon for Development of Invention

In response to this requirement, please provide the title, citation andcopy of each publication that any of the applicants relied upon to developthe disclosed subject matter that describes the applicants invention,particularly as to developing [1]. For each publication, please providea concise explanation of the reliance placed on that publication in thedevelopment of the disclosed subject matter.Examiner Note:1. This form paragraph must be preceded by form paragraph7.105, and should be followed by form paragraphs 7.122 7.126as appropriate.


3. In bracket 1, insert a description of the most importantinventive elements.

7.117 Art Relied Upon for Drafting Claimed Subject Matter

In response to this requirement, please provide the title, citation andcopy of each publication that was relied upon to draft the claimed subjectmatter. For each publication, please provide a concise explanation ofthe reliance placed on that publication in distinguishing the claimedsubject matter from the prior art.Examiner Note:1. This form paragraph must be preceded by form paragraph7.105, and should be followed by form paragraphs 7.122 7.126as appropriate.


7.118 Results of Applicants Prior Art Search

In response to this requirement, please state whether any search of priorart was performed. If a search was performed, please state the citationfor each prior art collection searched. If any art retrieved from the searchwas considered material to demonstrating the knowledge of a personhaving ordinary skill in the art to the disclosed [1] , please provide thecitation for each piece of art considered and a copy of the art.


2. In bracket 1, describe the subject matter for which art isrequired.

7.119 Names of Products or Services Incorporating ClaimedInvention

In response to this requirement, please provide the names of any productsor services that have incorporated the claimed subject matter.

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Examiner Note:


7.120 Names of Products or Services Incorporating DisclosedPrior Art

In response to this requirement, please provide the names of any productsor services that have incorporated the disclosed prior art [1].


2. In bracket 1, specify the attributes of the prior art that mostclosely approximate the claimed subject matter to narrow thefocus of the reply.

7.121 Details of Improvement Over the Prior Art

In response to this requirement, please state the specific improvementsof the subject matter in claims [1] over the disclosed prior art andindicate the specific elements in the claimed subject matter that providethose improvements. For those claims expressed as means or steps plusfunction, please provide the specific page and line numbers within thedisclosure which describe the claimed structure and acts.

Examiner Note:


The following form paragraphs should appear at theend of the requirement for information, asappropriate:

7.122 Submission of Only Pertinent Pages Where Documentis Large

In responding to those requirements that require copies of documents,where the document is a bound text or a single article over 50 pages,the requirement may be met by providing copies of those pages thatprovide the particular subject matter indicated in the requirement, orwhere such subject matter is not indicated, the subject matter found inapplicants disclosure.


2. Use this form paragraph where the scope of the requirementfor information specifically includes copies of publications.

7.123 Waiver of Fee and Statement Requirements for CertainInformation Disclosures

The fee and certification requirements of 37 CFR 1.97 are waived forthose documents submitted in reply to this requirement. This waiverextends only to those documents within the scope of the requirementunder 37 CFR 1.105 that are included in the applicants first completecommunication responding to this requirement. Any supplemental repliessubsequent to the first communication responding to this requirementand any information disclosures beyond the scope of this requirement

under 37 CFR 1.105 are subject to the fee and certification requirementsof 37 CFR 1.97 where appropriate.

Examiner Note:1. This form paragraph must be preceded by form paragraph7.105, and should be followed by form paragraph 7.124 andeither form paragraph 7.125 or 7.126 as appropriate.

2. Use this form paragraph where the scope of the requirementfor information specifically includes citations to and/or copiesof publications.

7.124 Contents of Good Faith Reply

The applicant is reminded that the reply to this requirement must bemade with candor and good faith under 37 CFR 1.56. Where theapplicant does not have or cannot readily obtain an item of requiredinformation, a statement that the item is unknown or cannot be readilyobtained may be accepted as a complete reply to the requirement forthat item.

Examiner Note:1. This form paragraph must be preceded by form paragraph7.105, and should be followed by form paragraph 7.125 or 7.126as appropriate.

2. This form paragraph should appear in the conclusion of anyrequirement for information.

7.125 Conclusion of Requirement That Accompanies OfficeAction

This requirement is an attachment of the enclosed Office action. Acomplete reply to the enclosed Office action must include a completereply to this requirement. The time period for reply to this requirementcoincides with the time period for reply to the enclosed Office action.

Examiner Note:1. This form paragraph must be preceded by form paragraph7.105, and should appear at the conclusion of any requirementfor information that accompanies an Office action. If therequirement for information is mailed without any other Officeaction, use form paragraph 7.126 instead.

2. Form paragraph 7.127 should appear at the end of any Officeaction that includes an attached requirement for information.

7.126 Conclusion Of Requirement Mailed Without Any OtherOffice Action

This requirement is subject to the provisions of 37 CFR 1.134, 1.135and 1.136 and has a shortened statutory period of [1] months.EXTENSIONS OF THIS TIME PERIOD MAY BE GRANTEDUNDER 37 CFR 1.136(a).

Examiner Note:1. This form paragraph must be preceded by form paragraph7.105, and should appear at the conclusion of any requirementfor information mailed without any other Office action. If therequirement for information is mailed with an Office action, useform paragraph 7.125 instead .

2. The period for reply is ordinarily set for 2 months.

7.127 Conclusion of Office Action That Includes Requirement

This Office action has an attached requirement for information under37 CFR 1.105. A complete reply to this Office action must include a

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complete reply to the attached requirement for information. The timeperiod for reply to the attached requirement coincides with the timeperiod for reply to this Office action.

Examiner Note:

This form paragraph should appear at the end of any Office action thatincludes an attached requirement for information.

704.14(b) Examiners Obligation FollowingApplicants Reply [R-11.2013]

The examiner must consider the informationsubmitted with the applicants reply and apply theinformation as the examiner deems appropriate. Thisobligation arises from the examiners assertion thatthe information is necessary to the examination inmaking the requirement.

Information constituting identification of areas ofsearch must be considered and the examiner mustindicate which areas were used and which areas werenot used in performing a search.

The examiner must record in the appropriate sectionsof the OACS Search Notes page the areas in whichthe search for prior art was made. See MPEP 719.05. Information constituting answers to queriesposed by the examiner or another Office employeemust be considered, and the record must indicatethat the answers were considered. This indicationmay be made minimally by indicating Consideredwith the Stamper tool in Adobe Acrobat andincluding the receipt date on the reply.

Art that is submitted in response to a 37 CFR 1.105requirement must be considered, at least to the extentthat art submitted with an Information DisclosureStatement under 37 CFR 1.97 and 1.98 isconsidered. See MPEP 609. If the applicantprovides a written list of citations for the artsubmitted with a reply to a 37 CFR 1.105requirement, an examiner must indicate on that listwhich art has been considered and which art has notbeen considered, in the same manner as with anInformation Disclosure Statement under37 CFR 1.97 and 1.98. The examiner may annotatethe list by using Adobe Acrobat to stamp thedocument with All References Considered whilealso providing the receipt date, application numberand art unit. If the applicant provides no such list,there is no requirement for the examiner to prepare

such a list or otherwise make the submitted art ofrecord unless the examiner relies on such art in arejection.

It is never appropriate to deny consideringinformation that is submitted in reply to, and iswithin the scope of, a requirement under 37 CFR1.105. However, information that is beyond thescope of a 37 CFR 1.105 requirement, submittedalong with information responding to a requirementunder 37 CFR 1.105, need not be considered unlessthe submission of such art conforms to the provisionsof 37 CFR 1.97 and 1.98, and MPEP 609. Thecriteria for measuring the scope of a 37 CFR 1.105requirement is the plain meaning of the text of therequirement. For this reason, it is essential that thescope of information required be carefully specified.If art which is beyond the scope of a 37 CFR 1.105requirement is submitted in accordance with theprovisions of 37 CFR 1.97 and 1.98, and MPEP 609, such art must be considered according to theprovisions of 37 CFR 1.97 and 37 CFR 1.98.

704.14(c) Petitions to Requirements Under37 CFR 1.105 [R-08.2012]

Applicants who seek to have a requirement under37 CFR 1.105 withdrawn or modified, or who seekto have information submitted under 37 CFR 1.105considered, may submit a petition under37 CFR 1.181 to the Director of the TechnologyCenter in which the requirement was issued.However, a petition is not a reply to a 37 CFR 1.105requirement. The time period for the applicant toreply to the 37 CFR 1.105 requirement continues torun, even where a petition has been submitted.

704.14(d) Relationship to InformationDisclosure Statements [R-08.2012]

The initial reply, if responsive to the requirementfor information under 37 CFR 1.105 and submittedwithin the original time period for reply includingany extensions of time, does not have to satisfy thefee and/or certification requirements of 37 CFR 1.97and 1.98. Applicant should list the references on acopy of Form PTO/SB/08 to have the citationsentered in the record. Any replies made subsequent

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MANUAL OF PATENT EXAMINING PROCEDURE704.14(b)

to the initial reply must meet the provisions of 37CFR 1.97 and 1.98 as appropriate.

Any submission of art beyond the scope of arequirement for information under 37 CFR 1.105 isa submission of art under 37 CFR 1.97 and 1.98 andMPEP 609, and must meet the provisions of 37CFR 1.97 and 1.98 for the art to be considered.

Where information is submitted in a reply to arequirement under 37 CFR 1.105, the examiner mayNOT make the next Office action relying on thatart final unless all instances of the application ofsuch art are necessitated by amendment. This sectionexplicitly distinguishes the practice following a replyunder 37 CFR 1.105 from the practice in MPEP 609.04(b) and MPEP 706.07(a) following asubmission of an Information Disclosure Statementunder 37 CFR 1.97 and 1.98.

705 Patentability Reports [R-08.2012]

Where an application, properly assigned to oneTechnology Center (TC), is found to contain one ormore claims, per se, classifiable in one or moreother TCs, which claims are not divisible inter seor from the claims which govern classification ofthe application in the first TC, the application maybe referred to the other TC(s) concerned for a reportas to the patentability of certain designated claims.This report is known as a Patentability Report (P.R.)and is signed by the primary examiner in thereporting TC.

Note that the Patentability Report practice is onlyto be used in extraordinary circumstances. SeeMPEP 705.01(e).

705.01 Instructions re Patentability Reports[R-08.2012]

When an application comes up for any action andthe primary examiners involved (i.e., from both therequesting and the requested Technology Center(TC)) agree that a Patentability Report is necessary,and if the TC Director of the requesting TCapproves, the application is forwarded to the properTC with a memorandum attached, for instance, ForPatentability Report from TC -- as to claims --. For

Image File Wrapper (IFW) processing, see IFWManual.

705.01(a) Nature of P.R., Its Use andDisposal [R-11.2013]

The primary examiner in the Technology Center(TC) from which the Patentability Report isrequested, if he or she approves the request, willdirect the preparation of the Patentability Report.This Patentability Report is in memorandum formand will include the citation of all pertinentreferences and a complete action on all claimsinvolved. The field of search covered must berecorded in the appropriate section of the OACS"Search Notes" page. When an examiner to whoman application has been forwarded for a PatentabilityReport is of the opinion that final action is in orderas to the referred claims, he or she should so state.The Patentability Report when signed by the primaryexaminer in the reporting TC will be returned to theTC to which the application is regularly assignedand placed in the file wrapper.

The examiner preparing the Patentability Report willbe entitled to receive an explanation of the disclosurefrom the examiner to whom the case is assigned toavoid duplication of work.

If the primary examiner in a reporting TC is of theopinion that a Patentability Report is not in order,he or she should so advise the primary examiner inthe forwarding TC.

I. DISAGREEMENT AS TO CLASSIFICATION

Conflict of opinion as to classification may bereferred to a classification dispute TC representativepanel for decision.

If the primary examiner in the TC having jurisdictionof the application agrees with the PatentabilityReport, he or she should incorporate the substancethereof in his or her action, which action will becomplete as to all claims. The Patentability Reportin such a case is not given a paper number but isallowed to remain in the file until the application isfinally disposed of by allowance or abandonment,

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at which time it should be removed. For Image FileWrapper (IFW) processing, see IFW Manual.

II. DISAGREEMENT ON PATENTABILITYREPORT

If the primary examiner does not agree with thePatentability Report or any portion thereof, he orshe may consult with the primary examinerresponsible for the report. If agreement as to theresulting action cannot be reached, the primaryexaminer having jurisdiction of the application neednot rely on the Patentability Report but may makehis or her own action on the referred claims, in whichcase the Patentability Report should be removedfrom the file.

III. APPEAL TAKEN

When an appeal is taken from the rejection of claims,all of which are examinable in the TC preparing aPatentability Report, the application should betransferred to said TC for the purpose of appeal. Thereceiving TC will take jurisdiction of the applicationand prepare the examiners answer. If allowed, theapplication may be sent to issue by said TC with itsclassification determined by the controlling claimsremaining in the application.

705.01(b) Sequence of Examination[R-08.2012]

In the event that the supervisory patent examinersconcerned in a P.R. case cannot agree as to the orderof examination by their Technology Centers (TCs),the supervisory patent examiner having jurisdictionof the application will direct that a complete searchbe made of the art relevant to his or her claims priorto referring the application to another TC for report.The TC to which the application is referred will beadvised of the results of this search.

If the supervisory patent examiners are of the opinionthat a different sequence of search is expedient, theorder of search should be correspondingly modified.

705.01(c) Counting and Recording P.R.s[R-08.2012]

The forwarding of the application for a PatentabilityReport is not to be treated as a transfer by theforwarding Technology Center (TC). When the P.R.is completed and the application is ready for returnto the forwarding TC, it is not counted either as areceipt or action by transfer. Credit, however, isgiven for the time spent.

The date status of the application in the reportingTC will be determined on the basis of the dates inthe TC of original jurisdiction. To ensure orderlyprogress in the reported dates, a timely remindershould be furnished to the TC making the P.R.

705.01(d) [Reserved]

705.01(e) Limitation as to Use [R-08.2012]

The above outlined Patentability Report practice isnot obligatory and should be resorted to only whereit will save total examiner time or result in improvedquality of action due to specialized knowledge. Asaving of total examiner time that is required to givea complete examination of an application is ofprimary importance. Patentability Report practice isbased on the proposition that when plural, indivisibleinventions are claimed, in some instances either lesstime is required for examination, or the results areof better quality, when specialists on each characterof the claimed invention treat the claims directed totheir specialty. However, in many instances a singleexaminer can give a complete examination of asgood quality on all claims, and in less total examinertime than would be consumed by the use of thePatentability Report practice.

Where claims are directed to the same character ofinvention but differ in scope only, prosecution byPatentability Report is never proper.

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MANUAL OF PATENT EXAMINING PROCEDURE705.01(b)

Exemplary situation where Patentability Reports areordinarily not proper are as follows:

(A) Where the claims are related as amanufacturing process and a product defined by theprocess of manufacture. The examiner havingjurisdiction of the process can usually give acomplete, adequate examination in less totalexaminer time than would be consumed by the useof a Patentability Report.

(B) Where the claims are related as product anda process which involves merely the fact that aproduct having certain characteristics is made. Theexaminer having jurisdiction of the product canusually make a complete and adequate examination.

(C) Where the claims are related as acombination distinguished solely by thecharacteristics of a subcombination and suchsubcombination, per se. The examiner havingjurisdiction of the subcombination can usually makea complete and adequate examination.

Where it can be shown that a Patentability Reportwill save total examiner time, one is permitted withthe approval of the Director of the TechnologyCenter to which the application is assigned. TheApproved stamp should be impressed on thememorandum requesting the Patentability Report.For Image File Wrapper (IFW) processing, see IFWManual.

705.01(f) Interviews With Applicants[R-08.2012]

In situations where an interview is held on anapplication in which a Patentability Report has beenadopted, the reporting Technology Center may becalled on for assistance at the interview when itconcerns claims treated by them. See MPEP 713to 713.10 regarding interviews in general.

706 Rejection of Claims [R-11.2013]

After the application has been read and the claimedinvention understood, a prior art search for theclaimed invention is made. With the results of theprior art search, including any references providedby the applicant, the patent application should bereviewed and analyzed in conjunction with the stateof the prior art to determine whether the claimsdefine a useful, novel, nonobvious, and enabled

invention that has been clearly described in thespecification. The goal of examination is to clearlyarticulate any rejection early in the prosecutionprocess so that the applicant has the opportunity toprovide evidence of patentability and otherwise replycompletely at the earliest opportunity. The examinerthen reviews all the evidence, including argumentsand evidence responsive to any rejection, beforeissuing the next Office action. Where the examinerdetermines that information reasonably necessaryfor the examination should be required from theapplicant under 37 CFR 1.105, such a requirementshould generally be made either prior to or with thefirst Office action on the merits and should followthe procedures in MPEP 704.10 et seq.

Although this part of the Manual explains theprocedure in rejecting claims, the examiner shouldnever overlook the importance of his or her role inallowing claims which properly define the invention.

37 CFR 1.104 Nature of examination.*****

(c) Rejection of claims.

(1) If the invention is not considered patentable, or notconsidered patentable as claimed, the claims, or those consideredunpatentable will be rejected.

(2) In rejecting claims for want of novelty or forobviousness, the examiner must cite the best references at his or hercommand. When a reference is complex or shows or describes inventionsother than that claimed by the applicant, the particular part relied onmust be designated as nearly as practicable. The pertinence of eachreference, if not apparent, must be clearly explained and each rejectedclaim specified.

(3) In rejecting claims the examiner may rely uponadmissions by the applicant, or the patent owner in a reexaminationproceeding, as to any matter affecting patentability and, insofar asrejections in applications are concerned, may also rely upon facts withinhis or her knowledge pursuant to paragraph (d)(2) of this section.

(4) (i) Subject matter which would otherwise qualify asprior art under 35 U.S.C. 102(a)(2) and a claimed invention will betreated as commonly owned for purposes of 35 U.S.C. 102(b)(2)(C) ifthe applicant or patent owner provides a statement to the effect that thesubject matter and the claimed invention, not later than the effectivefiling date of the claimed invention, were owned by the same person orsubject to an obligation of assignment to the same person.

(ii) Subject matter which would otherwise qualify asprior art under 35 U.S.C. 102(a)(2) and a claimed invention will betreated as commonly owned for purposes of 35 U.S.C. 102(b)(2)(C)on35 U.S.C. 102(b)(2)(C) the basis of a joint research agreement under35 U.S.C. 102(c) if:

(A) The applicant or patent owner provides astatement to the effect that the subject matter was developed and theclaimed invention was made by or on behalf of one or more parties toa joint research agreement, within the meaning of 35 U.S.C. 100(h) and 1.9(e), that was in effect on or before the effective filing date of theclaimed invention, and the claimed invention was made as a result ofactivities undertaken within the scope of the joint research agreement;and

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706EXAMINATION OF APPLICATIONS

(B) The application for patent for the claimedinvention discloses or is amended to disclose the names of the partiesto the joint research agreement.

(5) (i) Subject matter which qualifies as prior art under 35U.S.C. 102(e), (f), or (g) in effect prior to March 16, 2013, and a claimedinvention in an application filed on or after November 29, 1999, or anypatent issuing thereon, in an application filed before November 29,1999, but pending on December 10, 2004, or any patent issuing thereon,or in any patent granted on or after December 10, 2004, will be treatedas commonly owned for purposes of 35 U.S.C. 103(c) in effect prior toMar

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