Wiki Law School will soon be moving! Please update your bookmarks. Our future address is www.wikilawschool.org |
Editing MPEP 715
From wikilawschool.net. Wiki Law School does not provide legal advice. For educational purposes only.
The edit can be undone. Please check the comparison below to verify that this is what you want to do, and then publish the changes below to finish undoing the edit.
Latest revision | Your text | ||
Line 3: | Line 3: | ||
==[[MPEP 715|715 Swearing Back of Reference — Affidavit or Declaration Under 37 CFR 1.131]]== | ==[[MPEP 715|715 Swearing Back of Reference — Affidavit or Declaration Under 37 CFR 1.131]]== | ||
<noinclude | <noinclude>__TOC__</noinclude> | ||
37 CFR 1.131. Affidavit or declaration of prior invention. | |||
(a) When any claim of an application or a patent under reexamination | |||
(a)When any claim of an application or a patent under reexamination | |||
is rejected, the inventor of the subject matter of the | is rejected, the inventor of the subject matter of the | ||
rejected claim, the owner of the patent under reexamination, or the | rejected claim, the owner of the patent under reexamination, or the | ||
Line 24: | Line 25: | ||
Prior invention may not be established under this section if either: | Prior invention may not be established under this section if either: | ||
(1)The rejection is based upon a U.S. patent or U.S. patent | |||
application publication of a pending or patented application to | application publication of a pending or patented application to | ||
another or others which claims the same patentable invention as | another or others which claims the same patentable invention as | ||
defined in § 41.203(a) of this title, in which case an applicant may | defined in § 41.203(a) of this title, in which case an applicant may | ||
suggest an interference pursuant to § 41.202(a) of this title; or | suggest an interference pursuant to § 41.202(a) of this title; or | ||
(2)The rejection is based upon a statutory bar. | |||
(b) The showing of facts shall be such, in character and | |||
(b)The showing of facts shall be such, in character and | |||
weight, as to establish reduction to practice prior to the effective | weight, as to establish reduction to practice prior to the effective | ||
date of the reference, or conception of the invention prior to the | date of the reference, or conception of the invention prior to the | ||
Line 41: | Line 44: | ||
or declaration or their absence must be satisfactorily | or declaration or their absence must be satisfactorily | ||
explained. | explained. | ||
37 CFR 1.131(a) has been amended to implement | |||
Under 37 CFR 1.131(a), which provides for the | the relevant provisions of Public Law 103-182, | ||
107 | |||
Stat. 2057 (1993) (North American Free Trade | |||
Agreement Act), Public Law 103-465, 108 Stat. 4809 | |||
(1994) (Uruguay Round Agreements Act), and Public | |||
Law 106-113, 113 Stat. 1501 (1999) (American | |||
Inventors Protection Act), respectively. Under | |||
37 | |||
CFR 1.131(a) as amended, which provides for the | |||
establishment of a date of completion of the invention | establishment of a date of completion of the invention | ||
in a NAFTA or WTO member country, as well as in | in a NAFTA or WTO member country, as well as in | ||
the United States, an applicant can establish a date of | the United States, an applicant can establish a date of | ||
completion in a NAFTA member country on or after | completion in a NAFTA member country on or after | ||
December 8, 1993 | December 8, 1993, the effective date of section 331 of | ||
Agreement Act | Public Law 103-182, the North American Free Trade | ||
member country on or after January 1, 1996 | Agreement Act, and can establish a date of completion | ||
in a WTO member country other than a NAFTA | |||
member country on or after January 1, 1996, the | |||
effective date of section 531 of Public Law 103-465, | |||
the Uruguay Round Agreements Act (URAA). Acts | |||
occurring prior to the effective dates of NAFTA or | |||
URAA may be relied upon to show completion of the | |||
invention; however, a date of completion of the invention | |||
may not be established under 37 CFR 1.131before December 8, 1993 in a NAFTA country or | |||
before January 1, 1996 in a WTO country other than a | |||
NAFTA country. | |||
If a country joined the WTO after January 1, 1996, the effective date for proving inventive activity in that country for the purpose of 35 U.S.C. 104 and 37 CFR 1.131 is the date the country becomes a member of the WTO. See | If a country joined the WTO after January 1, 1996, | ||
the effective date for proving inventive activity in that | |||
country for the purpose of 35 U.S.C. 104 and 37 CFR | |||
1.131 is the date the country becomes a member of the | |||
WTO. See MPEP § 201.13 for a list that includes | |||
WTO member countries (the notation “Wo” indicates | |||
the country became a WTO member after January 1, | |||
1996). | |||
Any printed publication or activity dated prior to an | Any printed publication or activity dated prior to an | ||
applicant’s or patent owner’s effective filing date, or | |||
any domestic patent of prior filing date, which is in its | any domestic patent of prior filing date, which is in its | ||
disclosure pertinent to the claimed invention, is available | disclosure pertinent to the claimed invention, is available | ||
Line 65: | Line 92: | ||
application publications having an effective | application publications having an effective | ||
prior art date prior to the application being examined | prior art date prior to the application being examined | ||
may be used in a rejection of the claims. See | |||
may be used in a rejection of the claims. See MPEP | |||
§ | |||
706.02(a) and § 2136 - § 2136.03. | |||
Such a rejection may be overcome, in certain | Such a rejection may be overcome, in certain | ||
Line 75: | Line 111: | ||
is withdrawn and not the reference. | is withdrawn and not the reference. | ||
I. SITUATIONS WHERE 37 CFR 1.131 AFFIDAVITS | I.SITUATIONS WHERE 37 CFR 1.131 AFFIDAVITS | ||
OR DECLARATIONS CAN BE | OR DECLARATIONS CAN BE | ||
USED | USED | ||
Line 99: | Line 135: | ||
effective filing date, and shows but does not | effective filing date, and shows but does not | ||
claim the same patentable invention. See MPEP | claim the same patentable invention. See MPEP | ||
§ 715.05 for a discussion of “same patentable invention.” | § | ||
715.05 for a discussion of “same patentable invention.” | |||
See MPEP § 706.02(a) and § 2136 through | See MPEP § 706.02(a) and § 2136 through | ||
§ 2136.03 for an explanation of what references qualify | § | ||
2136.03 for an explanation of what references qualify | |||
as prior art under 35 U.S.C. 102(e). | as prior art under 35 U.S.C. 102(e). | ||
II.SITUATIONS WHERE 37 CFR 1.131 AFFIDAVITS | II.SITUATIONS WHERE 37 CFR 1.131 AFFIDAVITS | ||
OR DECLARATIONS ARE INAPPROPRIATE | OR DECLARATIONS ARE INAPPROPRIATE | ||
An affidavit or declaration under 37 CFR 1.131 is | An affidavit or declaration under 37 CFR 1.131 is | ||
Line 145: | Line 186: | ||
under 37 CFR 1.131 is unnecessary because the | under 37 CFR 1.131 is unnecessary because the | ||
reference should not have been used. See MPEP § | reference should not have been used. See MPEP § | ||
201.11 to § 201.15. | 201.11 to § | ||
201.15. | |||
(E)Where the reference is a prior U.S. patent to | (E)Where the reference is a prior U.S. patent to | ||
Line 167: | Line 210: | ||
168 USPQ 659 (CCPA 1971); In re Blout, 333 F.2d | 168 USPQ 659 (CCPA 1971); In re Blout, 333 F.2d | ||
928, 142 USPQ 173 (CCPA 1964); In re Lopresti, | 928, 142 USPQ 173 (CCPA 1964); In re Lopresti, | ||
333 F.2d 932, 142 USPQ 177 (CCPA 1964). | 333 | ||
F.2d 932, 142 USPQ 177 (CCPA 1964). | |||
(H)Where the subject matter relied upon is prior | (H)Where the subject matter relied upon is prior | ||
Line 198: | Line 242: | ||
of interference estoppel. In re Bandel, 348 F.2d | of interference estoppel. In re Bandel, 348 F.2d | ||
563, 146 USPQ 389 (CCPA 1965); In re Kroekel, | 563, 146 USPQ 389 (CCPA 1965); In re Kroekel, | ||
803 F.2d 705, 231 USPQ 640 (Fed. Cir. 1986). See | 803 | ||
F.2d 705, 231 USPQ 640 (Fed. Cir. 1986). See | |||
also In re Deckler, 977 F.2d 1449, 24 | also In re Deckler, 977 F.2d 1449, 24 | ||
USPQ2d 1448 | USPQ2d 1448 | ||
Line 236: | Line 281: | ||
and International Application Publications | and International Application Publications | ||
See MPEP § 706.02(a), § 706.02(f)(1), and § | |||
See MPEP § 706.02(a), § 706.02(f)(1), and § | |||
2136through § | |||
2136.03 for a detailed discussion of the | |||
effective date of a U.S. patent, U.S. patent application | effective date of a U.S. patent, U.S. patent application | ||
publication, or WIPO publication of an international | publication, or WIPO publication of an international | ||
Line 245: | Line 295: | ||
are available as prior art under 35 U.S.C. 102(e) | are available as prior art under 35 U.S.C. 102(e) | ||
against all patent applications and patents under reexamination. | against all patent applications and patents under reexamination. | ||
The effective date of a domestic patent when | The effective date of a domestic patent when | ||
Line 257: | Line 308: | ||
benefit of an earlier filed application, its effective filing | benefit of an earlier filed application, its effective filing | ||
date is determined under 35 U.S.C. 102(e). See | date is determined under 35 U.S.C. 102(e). See | ||
MPEP § 706.02(a), § 706.02(f)(1), and § | MPEP § | ||
706.02(a), § 706.02(f)(1), and § 2136through § | |||
2136.03. | |||
B.Foreign Patents | B.Foreign Patents | ||
Line 270: | Line 325: | ||
date, not its date of receipt by the publisher. For | date, not its date of receipt by the publisher. For | ||
additional information regarding effective dates of | additional information regarding effective dates of | ||
printed publications, see MPEP § 2128 through § 2128.02. | |||
printed publications, see MPEP § 2128 through | |||
§ | |||
2128.02. | |||
D.Activities | D.Activities | ||
Line 279: | Line 343: | ||
knowledge that the invention was used or | knowledge that the invention was used or | ||
known by others in this country. See MPEP | known by others in this country. See MPEP | ||
§ 706.02(c) and § 2133.03. The effective date of the | § | ||
706.02(c) and § 2133.03. The effective date of the | |||
activity used to reject the claim(s) is the date the | activity used to reject the claim(s) is the date the | ||
activity was first known to have occurred. | activity was first known to have occurred. | ||
FORM PARAGRAPHS | |||
Form paragraphs 7.57-7.64 may be used to respond | |||
to 37 CFR 1.131 affidavits. | |||
¶ 7.57 Affidavit or Declaration Under 37 CFR 1.131: | |||
Ineffective- Heading | |||
The [1] filed on [2] under 37 CFR 1.131 has been considered | |||
but is ineffective to overcome the [3] reference. | |||
Examiner Note: | |||
1.In bracket 1, insert either --affidavit-- or --declaration--. | |||
2.This form paragraph must be followed by one or more of | |||
form paragraphs 7.58 to 7.63 or a paragraph setting forth proper | |||
basis for the insufficiency, such as failure to establish acts performed | |||
in this country, or that the scope of the declaration or affidavit | |||
is not commensurate with the scope of the claim(s). | |||
¶ 7.58 Affidavit or Declaration Under 37 CFR 1.131: | |||
Ineffective, Claiming Same Invention | |||
The [1] reference is a U.S. patent or U.S. patent application | |||
publication of a pending or patented application that claims the | |||
rejected invention. An affidavit or declaration is inappropriate | |||
under 37 CFR 1.131(a) when the reference is claiming the same | |||
patentable invention, see MPEP Chapter 2300. If the reference | |||
and this application are not commonly owned, the reference can | |||
only be overcome by establishing priority of invention through | |||
interference proceedings. See MPEP Chapter 2300 for information | |||
on initiating interference proceedings. If the reference and | |||
this application are commonly owned, the reference may be disqualified | |||
as prior art by an affidavit or declaration under 37 CFR | |||
1.130. See MPEP § 718. | |||
Examiner Note: | |||
1.If used to respond to the submission of an affidavit under 37 | |||
CFR 1.131, this paragraph must be preceded by paragraph 7.57. | |||
2.This form paragraph may be used without form paragraph | |||
7.57 when an affidavit has not yet been filed, and the examiner | |||
desires to notify applicant that the submission of an affidavit | |||
under 37 CFR 1.131 would be inappropriate. | |||
¶ 7.59 Affidavit or Declaration Under 37 CFR 1.131: | |||
Ineffective, Insufficient Evidence of Reduction to Practice | |||
Before Reference Date | |||
The evidence submitted is insufficient to establish a reduction | |||
to practice of the invention in this country or a NAFTA or WTO | |||
member country prior to the effective date of the [1] reference. [2] | |||
Examiner Note: | |||
1.This form paragraph must be preceded by form paragraph | |||
7.57. | |||
2.An explanation of the lack of showing of the alleged reduction | |||
to practice must be provided in bracket 2. | |||
¶ 7.60 Affidavit or Declaration Under 37 CFR 1.131: | |||
Ineffective, Reference Is a Statutory Bar | |||
The [1] reference is a statutory bar under 35 U.S.C. 102(b) and | |||
thus cannot be overcome by an affidavit or declaration under 37 | |||
CFR 1.131. | |||
Examiner Note: | |||
This form paragraph must be preceded by form paragraph 7.57. | |||
¶ 7.61 Affidavit or Declaration Under 37 CFR 1.131: | |||
Ineffective, Insufficient Evidence of Conception | |||
The evidence submitted is insufficient to establish a conception | |||
of the invention prior to the effective date of the [1] reference. | |||
While conception is the mental part of the inventive act, it must be | |||
capable of proof, such as by demonstrative evidence or by a complete | |||
disclosure to another. Conception is more than a vague idea | |||
of how to solve a problem. The requisite means themselves and | |||
their interaction must also be comprehended. See Mergenthaler v. | |||
Scudder, 1897 C.D. 724, 81 O.G. 1417 (D.C. Cir. 1897). [2] | |||
Examiner Note: | |||
1.This form paragraph must be preceded by form paragraph | |||
7.57. | |||
2.An explanation of the deficiency in the showing of conception | |||
must be presented in bracket 2. | |||
3.If the affidavit additionally fails to establish either diligence | |||
or a subsequent reduction to practice, this form paragraph should | |||
be followed by form paragraph 7.62 and/or 7.63. If either diligence | |||
or a reduction to practice is established, a statement to that | |||
effect should follow this paragraph. | |||
¶ 7.62 Affidavit or Declaration Under 37 CFR 1.131: | |||
Ineffective, Diligence Lacking | |||
The evidence submitted is insufficient to establish diligence | |||
from a date prior to the date of reduction to practice of the [1] reference | |||
to either a constructive reduction to practice or an actual | |||
reduction to practice. [2] | |||
Examiner Note: | |||
1.This form paragraph must be preceded by form paragraph | |||
7.57. | |||
2.If the affidavit additionally fails to establish conception, this | |||
paragraph must also be preceded by form paragraph 7.61. If the | |||
affidavit establishes conception, a statement to that effect should | |||
be added to this paragraph. | |||
3.If the affidavit additionally fails to establish an alleged | |||
reduction to practice prior to the application filing date, this paragraph | |||
must be followed by form paragraph 7.63. If such an | |||
alleged reduction to practice is established, a statement to that | |||
effect should be added to this paragraph. | |||
4.An explanation of the reasons for a holding of non-diligence | |||
must be provided in bracket 2. | |||
5.See MPEP § 715.07(a), Ex parte Merz, 75 USPQ 296 (Bd. | |||
App. 1947), which indicates that diligence is not required after | |||
reduction to practice. | |||
¶ 7.63 Affidavit or Declaration Under 37 CFR 1.131: | |||
Ineffective, Insufficient Evidence of Actual Reduction to | |||
Practice | |||
The evidence submitted is insufficient to establish applicant’s | |||
alleged actual reduction to practice of the invention in this country | |||
or a NAFTA or WTO member country after the effective date of | |||
the [1] reference. [2]. | |||
Examiner Note: | |||
1.This form paragraph must be preceded by form paragraph | |||
7.57. | |||
2.If the alleged reduction to practice is prior to the effective | |||
date of the reference, do not use this paragraph. See form paragraph | |||
7.59. | |||
3.If the affidavit additionally fails to establish either conception | |||
or diligence, form paragraphs 7.61 and/or 7.62 should precede | |||
this paragraph. If either conception or diligence is | |||
established, a statement to that effect should be included after this | |||
paragraph. | |||
4.An explanation of the lack of showing of the alleged reduction | |||
to practice must be given in bracket 2. | |||
¶ 7.64 Affidavit or Declaration Under 37 CFR 1.131: | |||
Effective To Overcome Reference | |||
The [1] filed on [2] under 37 CFR 1.131 is sufficient to overcome | |||
the [3] reference. | |||
Examiner Note: | |||
1.In bracket 1, insert either --affidavit-- or --declaration--. | |||
2.In bracket 2, insert the filing date of the affidavit or declaration. | |||
3.In bracket 3, insert the name of the reference. | |||
715.0137 CFR 1.131 Affidavits Versus37 CFR 1.132 Affidavits | |||
The purpose of a 37 CFR 1.131 affidavit or declaration | The purpose of a 37 CFR 1.131 affidavit or declaration | ||
Line 300: | Line 549: | ||
Similarly, where the reference relied upon in a | Similarly, where the reference relied upon in a | ||
35 U.S.C. 103 rejection qualifies as prior art only | 35 | ||
U.S.C. 103 rejection qualifies as prior art only | |||
under 35 U.S.C. 102(f) or (g), or, in an | under 35 U.S.C. 102(f) or (g), or, in an | ||
application | application | ||
Line 309: | Line 559: | ||
commonly owned or subject to common assignment | commonly owned or subject to common assignment | ||
at the time the later invention was made. See MPEP | at the time the later invention was made. See MPEP | ||
§ 706.02(l)(1) through § 706.02(l)(3). | § | ||
706.02(l)(1) through § | |||
706.02(l)(3). | |||
715.01(a)Reference Is a Joint Patent or | |||
Published Application to Applicant | |||
and Another [R-2] | |||
When subject matter, disclosed but not claimed in a | When subject matter, disclosed but not claimed in a | ||
Line 341: | Line 597: | ||
USPQ 294 (CCPA 1969). | USPQ 294 (CCPA 1969). | ||
715.01(b)Reference and Application | |||
Have Common Assignee | |||
The mere fact that the reference patent or application | The mere fact that the reference patent or application | ||
Line 373: | Line 635: | ||
MPEP § 706.02(l) and § 706.02(l)(1). | MPEP § 706.02(l) and § 706.02(l)(1). | ||
715.01(c)Reference Is Publication of Applicant’s | |||
Own Invention [R-2] | |||
Unless it is a statutory bar, a rejection based on a | Unless it is a statutory bar, a rejection based on a | ||
Line 392: | Line 655: | ||
CFR 1.132 affidavits submitted to show that the reference | CFR 1.132 affidavits submitted to show that the reference | ||
is a publication of applicant’s own invention. | is a publication of applicant’s own invention. | ||
I. CO-AUTHORSHIP | I. CO-AUTHORSHIP | ||
Line 407: | Line 672: | ||
reference under 35 U.S.C. 102(a). In re Katz, 687 F.2d | reference under 35 U.S.C. 102(a). In re Katz, 687 F.2d | ||
450, 215 USPQ 14 (CCPA 1982). | 450, 215 USPQ 14 (CCPA 1982). | ||
II. DERIVATION | II. DERIVATION | ||
Line 425: | Line 692: | ||
294 (CCPA 1969). | 294 (CCPA 1969). | ||
715.01(d)Activities Applied Against the | |||
Claims | |||
Unless it is a statutory bar, a rejection based on an | Unless it is a statutory bar, a rejection based on an | ||
Line 437: | Line 705: | ||
the activity was performed by the applicant(s). | the activity was performed by the applicant(s). | ||
715.02How Much of the Claimed Invention | |||
Must Be Shown, Including | |||
the General Rule as to | |||
Generic Claims [R-2] | |||
The 37 CFR 1.131 affidavit or declaration must | The 37 CFR 1.131 affidavit or declaration must | ||
Line 518: | Line 794: | ||
established possession of the basic invention, i.e., use | established possession of the basic invention, i.e., use | ||
of electrostatic forces to adhere starch to wet paper.). | of electrostatic forces to adhere starch to wet paper.). | ||
I. SWEARING BEHIND ONE OF A PLURALITY | I. SWEARING BEHIND ONE OF A PLURALITY | ||
Line 535: | Line 813: | ||
show if the reference does not teach the basic inventive | show if the reference does not teach the basic inventive | ||
concept. | concept. | ||
Where a claim has been rejected under 35 U.S.C. | Where a claim has been rejected under 35 U.S.C. | ||
Line 550: | Line 833: | ||
just what Reference A shows, if Reference A does not | just what Reference A shows, if Reference A does not | ||
teach the basic inventive concept. | teach the basic inventive concept. | ||
II. GENERAL RULE AS TO GENERIC | II. GENERAL RULE AS TO GENERIC | ||
Line 564: | Line 849: | ||
same invention). See Ex parte Biesecker, 144 USPQ | same invention). See Ex parte Biesecker, 144 USPQ | ||
129 (Bd. App. 1964). See, also, In re Fong, | 129 (Bd. App. 1964). See, also, In re Fong, | ||
288 F.2d 932, 129 USPQ 264 (CCPA 1961); In re | 288 | ||
F.2d | |||
932, 129 | |||
USPQ 264 (CCPA 1961); In re | |||
Defano, 392 F.2d 280, 157 USPQ 192 (CCPA 1968) | Defano, 392 F.2d 280, 157 USPQ 192 (CCPA 1968) | ||
(distinguishing chemical species of genus compounds | (distinguishing chemical species of genus compounds | ||
Line 571: | Line 859: | ||
unpredictable arts. | unpredictable arts. | ||
715.03Genus-Species, Practice Relative | |||
to Cases Where Predictability Is | |||
in Question [R-2] | |||
Where generic claims have been rejected on a reference | Where generic claims have been rejected on a reference | ||
Line 585: | Line 875: | ||
disclosure required by a patent specification to | disclosure required by a patent specification to | ||
furnish support for a generic claim. | furnish support for a generic claim. | ||
I. REFERENCE OR ACTIVITY DISCLOSES | I. REFERENCE OR ACTIVITY DISCLOSES | ||
Line 661: | Line 953: | ||
applicant possessed so much of the invention as is | applicant possessed so much of the invention as is | ||
shown in the reference or activity. In re Schaub, | shown in the reference or activity. In re Schaub, | ||
537 F.2d 509, 190 USPQ 324 (CCPA 1976). | 537 | ||
F.2d 509, 190 USPQ 324 (CCPA 1976). | |||
C.Species Versus Embodiments | C.Species Versus Embodiments | ||
Line 687: | Line 980: | ||
genus); In re Defano, 392 F.2d 280, 157 USPQ 192 | genus); In re Defano, 392 F.2d 280, 157 USPQ 192 | ||
(CCPA 1968). | (CCPA 1968). | ||
II. REFERENCE OR ACTIVITY DISCLOSES | II. REFERENCE OR ACTIVITY DISCLOSES | ||
Line 730: | Line 1,025: | ||
509, 190 USPQ 324 (CCPA 1976). | 509, 190 USPQ 324 (CCPA 1976). | ||
715.04Who May Make Affidavit or | |||
Declaration; Formal Requirements | |||
of Affidavits and Declarations | |||
[R-5] | |||
I.WHO MAY MAKE AFFIDAVIT OR | I.WHO MAY MAKE AFFIDAVIT OR | ||
Line 737: | Line 1,035: | ||
The following parties may make an affidavit or | The following parties may make an affidavit or | ||
declaration under 37 CFR 1.131: | declaration under 37 CFR 1.131: | ||
(A)All the inventors of the subject matter | (A)All the inventors of the subject matter | ||
Line 796: | Line 1,095: | ||
be true. | be true. | ||
715.05U.S. Patent or Application Publication | |||
Claiming Same Invention[R-5] | |||
When the reference in question is a noncommonly | When the reference in question is a noncommonly | ||
Line 811: | Line 1,111: | ||
the application, this fact should be noted in the Office | the application, this fact should be noted in the Office | ||
action. The reference can then be overcome only by | action. The reference can then be overcome only by | ||
way of interference. See | way of interference. See MPEP Chapter 2300. If the | ||
reference is a U.S. patent which claims the same | reference is a U.S. patent which claims the same | ||
invention as the application and its issue date is more | invention as the application and its issue date is more | ||
Line 817: | Line 1,117: | ||
invention in the application, a rejection of the claims | invention in the application, a rejection of the claims | ||
of the application under 35 U.S.C. 135(b)(1) should | of the application under 35 U.S.C. 135(b)(1) should | ||
be made. | be made. See In re McGrew, 120 | ||
F.3d 1236, 1238, 43 | |||
The expression | USPQ2d 1632, 1635 (Fed. Cir. 1997) (The court holding | ||
patent was | that application of 35 | ||
U.S.C. 135(b) is not limited | |||
to inter partes interference proceedings, but may be | |||
used as a basis for ex parte rejections.). The expression | |||
“prior to one year from the date on which the | |||
patent was granted” in 35 U.S.C. 135(b) includes the | |||
one-year anniversary date of the issuance of a patent. | one-year anniversary date of the issuance of a patent. | ||
See Switzer v. Sockman, 333 F.2d 935, 142 USPQ 226 | |||
(CCPA 1964). | |||
If the reference is a U.S. application publication | If the reference is a U.S. application publication | ||
Line 834: | Line 1,141: | ||
if the application being examined was filed after the | if the application being examined was filed after the | ||
publication date of the reference. | publication date of the reference. | ||
Form paragraph 23.14 or 23.14.01 may be used | |||
when making a rejection under 35 U.S.C. 135(b). | |||
¶ 23.14 Claims Not Copied Within One Year of Patent | |||
Issue Date | |||
Claim [l] rejected under 35 U.S.C. 135(b)(1) as not being | |||
made prior to one year from the date on which U.S. Patent No. [2] | |||
was granted. See In re McGrew, 120 F.3d 1236, 1238, 43 USPQ2d | |||
1632, 1635 (Fed. Cir. 1997) where the Court held that 35 U.S.C. | |||
135(b) may be used as a basis for ex parte rejections. | |||
¶ 23.14.01 Claims Not Copied Within One Year Of | |||
Application Publication Date | |||
Claim [l] rejected under 35 U.S.C. 135(b)(2) as not being made | |||
prior to one year from the date on which [2] was published under | |||
35 U.S.C. 122(b). See In re McGrew, 120 F.3d 1236, 1238, 43 | |||
USPQ2d 1632, 1635 (Fed. Cir. 1997) where the Court held that 35 | |||
U.S.C. 135(b) may be used as a basis for ex parte rejections. | |||
Examiner Note: | |||
1.In bracket 2, insert the publication number of the published | |||
application. | |||
2.This form paragraph should only be used if the application | |||
being examined was filed after the publication date of the published | |||
application. | |||
Where the reference and the application or | Where the reference and the application or | ||
Line 844: | Line 1,183: | ||
or declaration under 37 CFR 1.130 may be used | or declaration under 37 CFR 1.130 may be used | ||
to overcome a rejection under 35 U.S.C. 103. See | to overcome a rejection under 35 U.S.C. 103. See | ||
MPEP § 718. | |||
A 37 CFR 1.131 affidavit is ineffective to overcome | A 37 CFR 1.131 affidavit is ineffective to overcome | ||
Line 851: | Line 1,190: | ||
correspondence between claims of the application and | correspondence between claims of the application and | ||
of the patent, but also where there is no patentable distinction | of the patent, but also where there is no patentable distinction | ||
between the respective claims. | between the respective claims. In re Clark, | ||
457 F.2d 1004, 173 USPQ 359 (CCPA 1972); In re | |||
Hidy, 303 F.2d 954, 133 USPQ 650 (CCPA 1962); In | |||
re Teague, 254 F.2d 145, 117 USPQ 284 (CCPA | |||
1958); In re Ward, 236 F.2d 428, 111 USPQ 101 | |||
(CCPA 1956); In re Wagenhorst, 62 F.2d 831, | |||
16 | |||
USPQ 126 (CCPA 1933). | |||
If the application (or patent under reexamination) | If the application (or patent under reexamination) | ||
and the domestic reference contain claims which are | and the domestic reference contain claims which are | ||
identical, or which are not patentably distinct, then the | identical, or which are not patentably distinct, then the | ||
application and patent are claiming the | application and patent are claiming the “same patentable | ||
invention. | invention.” | ||
As provided in 37 CFR 41.203(a), an interference | As provided in 37 CFR 41.203(a), an interference | ||
Line 873: | Line 1,219: | ||
same invention. | same invention. | ||
Since 37 CFR 1.131 defines | Since 37 CFR 1.131 defines “same patentable | ||
invention” in the same way as the interference rules | |||
(37 CFR 41.203(a)), the USPTO cannot prevent an | (37 CFR 41.203(a)), the USPTO cannot prevent an | ||
applicant from overcoming a reference by a 37 CFR | applicant from overcoming a reference by a 37 CFR | ||
1.131 affidavit or declaration on the grounds that the | 1.131 affidavit or declaration on the grounds that the | ||
reference claims | reference claims applicant’s invention and, at the | ||
same time, deny applicant an interference on the | same time, deny applicant an interference on the | ||
grounds that the claims of the application and those of | grounds that the claims of the application and those of | ||
the reference are not for substantially the same invention. | the reference are not for substantially the same invention. | ||
See In re Eickmeyer, 602 F.2d 974, 202 USPQ | |||
Where, in denying an | 655 (CCPA 1979). Where, in denying an applicant’s | ||
motion in interference to substitute a broader count, it | motion in interference to substitute a broader count, it | ||
is held that the limitation to be deleted was material | is held that the limitation to be deleted was material | ||
for the opponent patentee, this constitutes a holding | for the opponent patentee, this constitutes a holding | ||
that the proposed count is for an invention which is | that the proposed count is for an invention which is | ||
not the | not the “same patentable invention” claimed by the | ||
reference. Therefore, the applicant may file an affidavit | reference. Therefore, the applicant may file an affidavit | ||
or declaration under 37 CFR 1.131 to overcome a | or declaration under 37 CFR 1.131 to overcome a | ||
prior art rejection based on the reference. | prior art rejection based on the reference. Adler v. Kluver, | ||
159 USPQ 511 (Bd. Pat. Int. 1968). | |||
Form paragraph 7.58 (reproduced in MPEP § 715) | |||
may be used to note such a situation in the Office | |||
action. | |||
715.07Facts and Documentary Evidence | |||
[R-3] | |||
I.GENERAL REQUIREMENTS | I.GENERAL REQUIREMENTS | ||
Line 905: | Line 1,257: | ||
referred to in the affidavit or declaration, in terms of | referred to in the affidavit or declaration, in terms of | ||
what it is relied upon to show. For example, the alle | what it is relied upon to show. For example, the alle | ||
gations of fact might be supported by submitting as | gations of fact might be supported by submitting as | ||
evidence one or more of the following: | evidence one or more of the following: | ||
Line 1,013: | Line 1,372: | ||
III.THREE WAYS TO SHOW PRIOR INVENTION | III.THREE WAYS TO SHOW PRIOR INVENTION | ||
The affidavit or declaration must state FACTS and | The affidavit or declaration must state FACTS and | ||
Line 1,018: | Line 1,378: | ||
support thereof as are available to show conception | support thereof as are available to show conception | ||
and completion of invention in this country or in | and completion of invention in this country or in | ||
a NAFTA or WTO member country (MPEP § 715.07(c)), at least the conception being at a date | |||
a | |||
NAFTA or WTO member country (MPEP | |||
§ | |||
715.07(c)), at least the conception being at a date | |||
prior to the effective date of the reference. Where | prior to the effective date of the reference. Where | ||
there has not been reduction to practice prior to the | there has not been reduction to practice prior to the | ||
Line 1,128: | Line 1,498: | ||
134 | 134 | ||
USPQ 171 (CCPA 1962); In re Moore, 444 F.2d | USPQ 171 (CCPA 1962); In re Moore, 444 F.2d | ||
572, 170 USPQ 260 (CCPA 1971). Where proof of | 572, 170 USPQ 260 (CCPA 1971). Where proof of | ||
utility is required, whether or not test results are | utility is required, whether or not test results are | ||
Line 1,149: | Line 1,525: | ||
is included in a 37 CFR 1.131 affidavit. | is included in a 37 CFR 1.131 affidavit. | ||
715.07(a)Diligence | |||
Where conception occurs prior to the date of the | Where conception occurs prior to the date of the | ||
Line 1,157: | Line 1,533: | ||
218, 49 O.G. 733 (Comm’r Pat. 1889). Rather, applicant | 218, 49 O.G. 733 (Comm’r Pat. 1889). Rather, applicant | ||
must show evidence of facts establishing diligence. | must show evidence of facts establishing diligence. | ||
In determining the sufficiency of a 37 CFR 1.131affidavit or declaration, diligence need not be considered | In determining the sufficiency of a 37 CFR 1.131affidavit or declaration, diligence need not be considered | ||
Line 1,200: | Line 1,577: | ||
where diligence is lacking. | where diligence is lacking. | ||
715.07(b)Interference Testimony Sometimes | |||
Used | |||
In place of an affidavit or declaration the testimony | In place of an affidavit or declaration the testimony | ||
Line 1,211: | Line 1,589: | ||
1939). | 1939). | ||
715.07(c)Acts Relied Upon Must Have | |||
Been Carried Out in This | |||
Country or a NAFTA or WTO | |||
Member Country | |||
35 U.S.C. 104. Invention Made Abroad. | 35 U.S.C. 104. Invention Made Abroad. | ||
Line 1,231: | Line 1,612: | ||
in any other country in connection with operations by or on behalf | in any other country in connection with operations by or on behalf | ||
of the United States, | of the United States, | ||
(B)while domiciled in a NAFTA country and serving | (B)while domiciled in a NAFTA country and serving | ||
Line 1,292: | Line 1,678: | ||
NAFTA country. | NAFTA country. | ||
715.07(d)Disposition of Exhibits | |||
Exhibits, such as those filed as part of an affidavit | Exhibits, such as those filed as part of an affidavit | ||
Line 1,302: | Line 1,688: | ||
See also MPEP § 608.03(a). | See also MPEP § 608.03(a). | ||
715.08Passed Upon by Primary Examiner | |||
The question of sufficiency of affidavits or declarations | The question of sufficiency of affidavits or declarations | ||
Line 1,312: | Line 1,699: | ||
by | by | ||
the Technology Center Directors (MPEP | the Technology Center Directors (MPEP | ||
§ 1002.02(c)). | § | ||
1002.02(c)). | |||
Review on the merits of a 37 CFR 1.131 affidavit | Review on the merits of a 37 CFR 1.131 affidavit | ||
Line 1,318: | Line 1,707: | ||
Appeals and Interferences. | Appeals and Interferences. | ||
715.09Seasonable Presentation [R-3] | |||
Affidavits or declarations under 37 CFR 1.131 must | Affidavits or declarations under 37 CFR 1.131 must | ||
Line 1,344: | Line 1,733: | ||
after June 8, 1995; or a continued prosecution application | after June 8, 1995; or a continued prosecution application | ||
(CPA) under 37 CFR 1.53(d) in a design application. | (CPA) under 37 CFR 1.53(d) in a design application. | ||
All admitted affidavits and declarations are | All admitted affidavits and declarations are | ||
Line 1,350: | Line 1,745: | ||
For affidavits or declarations under 37 CFR 1.131filed after appeal, see 37 CFR 41.33(d) and MPEP | For affidavits or declarations under 37 CFR 1.131filed after appeal, see 37 CFR 41.33(d) and MPEP | ||
§ 1206 and § 1211.03. | § | ||
1206 and § | |||
1211.03. | |||
Review of an examiner’s refusal to enter an affidavit | Review of an examiner’s refusal to enter an affidavit | ||
Line 1,361: | Line 1,760: | ||
of 37 CFR 1.131 affidavits and declarations. | of 37 CFR 1.131 affidavits and declarations. | ||
715.10Review of Affidavit or Declaration | |||
for Evidence of Prior Public | |||
Use or Sale or Failure to Disclose | |||
Best Mode | |||
Any affidavits or declarations submitted under | Any affidavits or declarations submitted under |