# Presentation: 674721

## LACK OF UNITY

**PCT APPLICATIONS**
**AND 35 U.S.C. 371 APPLICATIONS**
**IN**
**TECHNOLOGY CENTER 1600**

**LACK OF UNITY**

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## PCT TIMELINE A

***PCT Filing at the End of the Priority Year***

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## Lack of unity of invention before ISA(Article 17(3) and Rule 40)

**Where there are several inventions claimed, the first claimed invention (“main invention”) is always searched;  further inventions are searched only if additional search fees are paid. **
**The ISA will invite the applicant to pay additional search fees and will specify the reasons for the finding of lack of unity of invention. **
**Applicant can:**
**	****	****pay for the search of all additional inventions;**
**	****	****pay for the search of some additional (specified) inventions; or**
**	****	****pay for the search of none of the additional inventions**

## Lack of unity of invention before ISA(Article 17(3) and Rule 40) (con’t)

**Failure to pay additional fees does not affect the search of the first claimed invention.**
**	****However, the additional inventions will not be searched and, subsequently, the claims relating to unsearched inventions will not be examined by the IPEA.**
**4.****	****Additional fees may be paid with or without protest.**

## Protest procedure under Chapter I (Rule 40.2)

**If the applicant pays any or all additional fees under protest, the US/ISA carries out the search on the first claimed invention and the additional inventions paid for and, in parallel, reviews the protest of the invitation to pay additional fees.**
**If, upon review, the ISA concludes that the invitation was not justified or not justified-in-part, all or some of the additional search fees will be refunded.**
**If, upon review, the ISA concludes that the invitation was justified, ****the protest is denied. The applicant will be given detailed reasons for the denial.**

## A lack of unity requirement

**Can be made in Chapter II even if one had not been made in Chapter I.**
**Can be made in a 371 application even if one had not been made during Chapter I or Chapter II.**

## Lack of unity of invention before IPEA (Article 34(3)(a) and Rule 68)

**The IPEA may again **_**or **__**anew**_** hold lack of unity of invention among those inventions searched, and invite the applicant to restrict the claims or pay additional examination fees.**
**Applicant can select the invention to be examined as the “main invention” (it does not have to be the first claimed invention) as well as those inventions for which additional fees are paid for examination.**

**Lack of unity of invention before IPEA ****(Article 34(3)(a) and Rule 68)**

## Lack of unity of invention before IPEA (Article 34(3)(a) and Rule 68) (con’t)

**If the applicant fails to make an election, the first mentioned invention will be examined as indicated by the examiner on form IPEA/405.**
**Payment of additional examination fees may be made under protest.**
**Decision on a protest is made in same manner as in Chapter I.**

## Tools for Determining 

**Unity of Invention**
** **
**	****1.  PCT Rules 13.1-13.4, MPEP Appendix T.**
** **
**	****2.  PCT Administrative Instructions, Annex B, **
**	****Parts I and II (examples), MPEP Appendix AI.**
** **
**	****3.  37 CFR 1.475, MPEP Appendix R, MPEP ****	****	****1850**** .**

**Notes:**
Tools

## Requirement of unity of invention (Rule 13)

**1.****	****  An international application must relate to one invention only or, **
**	****“****if there is more than one invention, the inclusion of those inventions is only permitted if all inventions are so linked as to form a ****single general inventive concept.****”**** (Rule 13.1).**
**2.****	****	**** Unity of invention exists only when there is a ****technical ****  relationship**** involving **_**one or more of the same**_** or corresponding  ****  “****special technical features.****”**
**	****	****The expression “special technical features” means ****those****technical features that define a contribution that **_**each**_** of the inventions****, considered as a whole, ****make over the prior art.**** ****	****(Rule 13.2).**
**	****(For further explanation and examples concerning Unity of Invention, ****see Annex B, Administrative Instructions under the PCT)**

## Multiple Claim Practice

## 	Some claims are drawn to product A and other  claims are drawn to a completely different product B.  

	Unity of invention is lacking because no common special technical feature exists between the products.

- 	Unity of invention is lacking because no common _special technical feature_ exists between the products.

**Claims in the same category**

## Particular situations relating to unity of invention(Annex B of the PCT Administrative Instructions)

**There are three particular situations for which the method for determining unity of invention contained in Rule 13.2 is ****explained in greater detail in Annex B:**
**	****(i)****	****combinations of different categories of claims;**
**	****(ii)****	****“Markush practice”;  and**
**	****(iii)****	****intermediate and final products.**
**The principles set out in Annex B are interpretations of, and not exceptions to, the provisions of Rule 13.2.**

***Copies included in appendices of MPEP***

## Examples of combinations of different categories of claims that may satisfy the requirement of unity of invention

- An independent claim for a given _***product***_, and
- an independent claim for a _***process***_ specially adapted for the _*manufacture*_ of said ***product***, and
- an independent claim for a _***use***_ of said ***product***.

## Examples of combinations of different categories of claims that may satisfy the requirement of unity of invention

- 2.	An independent claim for a given _***process***_, and
- an independent claim for an _***apparatus***_ or means specifically designed for carrying out said _***process***_

## Examples of combinations of different categories of claims that may satisfy the requirement of unity of invention

- 3.	An independent claim for a given _***product***_, and
- an independent claim for a _***process***_ specially adapted for the manufacture of said _***product***__*,*_ and
- an independent claim for an _***apparatus***_ or means specifically designed for carrying out said _***process***__*.*_

## 	Example
Claims in Different Categories

Claim 1 is to product Z. 
Claim 2 is to a method of making product Z. 
Claim 3 is to a method of using product Z.  

	Product Z links the inventions together as the special technical feature. 

Therefore, unity exists

**Claims in Different Categories**
**Claim 1 is to product Z. **
**Claim 2 is to a method of making product Z. **
**Claim 3 is to a method of using product Z.**
- 	Product Z links the inventions together as the _***special technical feature***_.
**Therefore, unity exists**

## Lack of unity shown by lack of a special technical feature

**	**In the example, if product Z was known in the art, the inventions would lack unity because product Z was not applicant's contribution over the prior art

## Intermediate and final products (Rule 13.2 Part 1(g) of Annex Bof the PCT Administrative Instructions)

**	****The term “intermediate” means intermediate or starting products which have the ability to be used to produce final products through a physical or chemical change in which the **_**intermediate loses its**_** **_**identity.**_

## Intermediate and Final Products 

**	****Unity of invention may be present between intermediate and final products where the following **_**two conditions**_** are fulfilled:**
**(A)****	****the intermediate and final products have the **_**same essential structural element**_**, in that:**
**(1)  the **_**basic chemical structures**_** of the intermediate(s) and the final product(s) are the **_**same**_**, or**
**(2)  the chemical structures of the two products are technically closely interrelated, the intermediate incorporating an **_**essential structural element**_** into the final product, and**
**(B)  the intermediate and final products are technically interrelated,  this meaning that the final product is **_**manufactured directly**_** from the intermediate or is separated from it by a **_**small number of  intermediates all containing the same essential structural element. **_

## Intermediate/Final Products

**Example 25****	**
**	****	****    **
**Claim 1:****	****	****     ****	****	****Claim 2:**
**The chemical structure of the intermediate and final product are technically closely interrelated.  The essential structural element, a “pyrazolo”, incorporated into the final product is:**
**	****	****	****	****	****	****	**
**Therefore, unity exists between claims 1 and 2 if the ring structure makes a contribution over the prior art.**

- R1

- R2

- R3

- OH

- R1

- R2

- R3

- O

- P

- Y

- X

- O

- R4

- R5

- R1

- R2

- R3

- O

**N**

**N**

**N**

**N**

**N**

**N**

## Example 26

- Claim 1: (final product)

- Claim 2: (intermediate)

**R****4**

**R****3**

**R****1**

**R****2**

**Unity exists since the final product is made by a known ring closure reaction of the intermediate and the essential structural element is the linkage comprising the two phenyl rings and the triazole ring.  The compounds are closely interrelated.**

## Markush Practice (Rule 13.2 Part 1(f) of Annex Bof the PCT Administrative Instructions)

**	****Markush practice:  a single claim defines alternatives, chemical or non-chemical.**
**  ****The requirement of a technical interrelationship and the same or corresponding **_**special technical features**_** as defined in Rule 13.2 are considered to be met when the alternatives are of a **_**similar nature.**_**	**

## Markush Practice 

**	****When the Markush grouping is for alternatives of chemical compounds, they are regarded as being of a **_**similar nature**_** if the following criteria are fulfilled:**
**(A)****	****all alternatives have a **_**common property or activity**_**, and**
**(B)(1)   **_**a common structure**_** is present, *****i.e*****., a significant structural element is shared by all of the alternatives, ****	****or**
**(B)(2)   in cases where the common structure cannot be the unifying criteria, **_**all alternatives belong to a recognized class of chemical compounds**_** in the art to which the invention pertains.**

## Markush Practice

**Example 18 – common structure:**
**Claim 1:  A compound of the formula:**
**wherein R****1 ****is selected from the group consisting of phenyl, pyridyl, thiazolyl, triazinyl, alkylthio, alkoxy and methyl; R****2**** – R****4**** are methyl, benzyl or phenyl. **
**The disclosure states that the compounds are useful as pharmaceuticals for the purpose of enhancing the capacity of the blood to absorb oxygen.**

**R****1**

**R****2**

**R****4**

**R****3**

**N**

## 	In this case the indolyl moiety is the significant structural element that is shared by all of the alternatives. Since all the claimed compounds are alleged to possess the same utility, unity may be  present.

	But since the indolyl structure is known, it does not make a contribution over the prior art, therefore unity is lacking

**	****But since the indolyl structure is known, it does not make a contribution over the prior art, **_***therefore unity is lacking***_

**Markush Practice**

## Example

**Claim 1.  Compounds of the formula**

**where one or two of W, X, Y and Z is Nitrogen and the rest are Carbon;**
**R****1**** is H, Alkyl, Aryl, Heteroaryl....**
**How many **_**different**_** special technical features are found?**

**N**

**N**

**Z**

**Y**

**X**

**W**

## 10 Different STF’s 

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

**N**

## Example 22

**(Polyhexamethyleneterephthalate)****	****	****100********n ********50**

**X is:**

**CH****2****O**

**or**

- Claim 1: A compound of the formula

**CH****2****O**

**O**
**    ****C**
**H**

**O**
**C  COCH****2****CH****2****CH****2****CH****2****CH****2****CH****2 ****  O-]****n****-H**

** ****O**
**[C**

**X**

## Example 22 (con’t)

**Administrative Instructions Under the PCT**
**The compound obtained by esterifying the end COOH radical of known polyhexamethyleneterephthalate with                      CH****2****O  has a thermal degradation resistant property, due to the reduced number of free COOH radicals which cause thermal degradation.     **
**In contrast, the compound obtained by esterifying the end COOH radical of known polyhexamethyleneterephthalate with a vinyl compound containing a **
** ****CH****2****=CH                     CH****2****O moiety serves as raw material for a setting resin when mixed with unsaturated monomers and cured (addition reaction).**
**All esters covered by the claim do not have a property or activity in common. For example, the product obtained through esterification with the “CH****2****=CH” vinyl compound does not have a thermal degradation resistant property. **
**Since there is **_**no**_** common property or activity, **_***Unity of Invention***_** is ****lacking****.**

## Example

**Claim: A compound of the formula:**

**R****1**

**X**

**Y**

**R2**

**where R****1 **** is alkyl, alkenyl, alkynyl or Cy, where Cy stands for substituted or unsubstituted cycloalkyl, cycloheteroalkyl, aryl or heteroaryl;**
**X is a 1-5 carbon chain interrupted by or attached to one or more of the following groups: CO, COO, OCO, CONR****3****, NRCO, SO, SOO, NR****3****;**

## Example (con’t)

**Y is a 1-14 carbon chain which may be interrupted by or attached to one or more of the following groups; CO, COO, CONR****3****,  NR****3****CO, SO, SOO, NR****3****, **

**where R****3**** is the same as R****1**** or is a structure of the formula:**

**wherein R****5**** is .........................  ;**

## Example (con’t)

**provided that:**
**when X is saturated and 1-4C, X must contain a heteroatom of O, N or S; or R****2**** must contain a methyl-indolyl-phenyl moiety; or R****1**** must contain a Cy group.**

## Example (con’t)

**What is the main(or first) invention being claimed here?**
**The simplest structure formable is when**
**R****1****=C;****	**** X=C-O; ****	****	****Y=C; ****	****and R****2****=C**

**(Ethyl Ether)**

**C      C      O      C      C**