Source: http://www.uspto.gov/web/offices/pac/mpep/s714.html
Timestamp: 2015-07-28 01:32:40
Document Index: 527823179

Matched Legal Cases: ['§\n1', '§\n1', '§ 1', '§ 1', '§ 1', '§ 608', '§ 1302', '§\n714', '§ 2666', '§ 2672', '§ 1', '§ 1', '§\n1', '§ 1', '§ 1', '§ 3', '§ 1', '§ 3', 'art 11', '§\n402', '§ 602', '§ 706', '§ 1121', '§ 1893', '§ 706', '§ 714', '§ 201', '§ 1121', '§ 201', '§\n608', '§ 502', '§\n714', '§ 601', '§ 714', '§ 1002', '§\n714', '§\n1', '§ 1', '§ 1', '§\n1', '§ 1', '§ 709', '§ 714', '§ 714', '§ 710', '§ 714', '§\n607', '§ 1', '§ 1', '§ 1', '§ 1', '§ 41', '§ 41', '§ 1', '§\n1', '§\n1', '§\n1', '§\n1', '§ 1', '§ 1', '§\n41', '§ 1', '§\n1', '§\n41', '§\n41', '§\n41', '§ 1206', '§ 706', '§ 714', '§ 1206', '§ 706', '§\n706', '§ 706', '§ 1206', '§ 201', '§ 502', '§ 714', '§ 714', '§\n714', '§ 711', '§ 714', '§ 714', '§ 714', '§ 714', '§ 1002']

Amendments, Applicant’s Action [R-11.2013]
1.52, directing that specified amendments be
specification, other than the claims, computer listings (§
1.96) and sequence listings (§
1.825), must be made by adding, deleting or replacing a
§ 1.77(b),
§ 1.154(b), or
§ 1.163(c),
amendments to the specification, other than the claims, may be made by
(5) Reinstatement of previously canceled
claim. A claim which was previously canceled may be
reinstated only by adding the claim as a “new” claim with a new claim
number. (d) Drawings: One or more application drawings shall be amended in the following
reexamination proceedings must be made in accordance with §
(A) ) before or after the first
Office action and also after the second Office actions as specified in
37 CFR 1.112;
(B) after final rejection, if
notice of appeal pursuant to 37 CFR
41.31(a), if the amendment meets the criteria of
37 CFR 41.33; and
(D) when and as specifically
application, however, it must comply with the provisions of 37 CFR
1.121. Any amendments to a provisional application will be placed
30, 2003 must comply with 37 CFR 1.121 as revised in the
notice of final rule making published in the Federal
Register on June 30, 2003 at 65 Fed.
Reg. 38611. The manner of making amendments has been revised to assist in the
implementation of beginning-to-end electronic image processing of patent applications.
Specifically, changes have been made to facilitate electronic image data capture and
processing and streamline the patent application process. If an amendment filed on or
after July 30, 2003 does not comply with revised 37 CFR 1.121, the
Office will notify applicants via a Notice of Non-Compliant Amendment that the amendment
is not accepted. The revised amendment practice is
disclosure. A more detailed discussion is provided in subsection
II.B. below; (C) a section (must begin on
are any amendments to the claims). A more detailed discussion is provided in
II.C. below;
to the drawings are discussed (if there are any amendments to the drawings).
A more detailed discussion is provided in subsection
II.D. below;
sequence listings (37 CFR 1.825), must be made by
adding, deleting or replacing a paragraph, by replacing a section, or by a substitute
modified either by paragraph number (see MPEP § 608.01), page
and line, or any other unambiguous method and be accompanied by any replacement or
new paragraph(s). Replacement paragraphs must include markings to show the changes. A
separate clean version of any replacement paragraphs is not required. Any new
paragraphs must be presented in clean form without any markings (i.e.,
included in an application as provided in 37 CFR
1.52(b)(6), applicants can easily refer to a specific paragraph by
number when presenting an amendment. If a numbered paragraph is to be replaced by a
single paragraph, the added replacement paragraph should be numbered with the same
number of the paragraph being replaced. Where more than one paragraph is to replace a
single original paragraph, the added paragraphs should be numbered using the number
of the original paragraph for the first replacement paragraph, followed by increasing
decimal numbers for the second and subsequent added paragraphs, e.g., original
paragraph [0071] has been replaced with paragraphs [0071], [0071.1], and [0071.2]. If
a numbered paragraph is deleted, the numbering of the subsequent paragraphs should
1.121(b)(1)(ii) requires that the full text of any replacement
(e.g., [[eroor]]). The term “brackets” set forth in 37 CFR
1.121 means square brackets – [ ], and not parentheses – ( ).
change (e.g., number 4 asnumber 14 as). For added paragraphs,
37 CFR 1.121(b)(1)(iii) requires that the full text of any
added paragraph(s) be presented in clean form without any underlining. Similarly,
under 37 CFR 1.121(b)(1)(iv), a marked
up version does not have to be supplied for any deleted paragraph(s). It is
sufficient to merely indicate or identify any paragraph that has been deleted. The
instruction to delete may identify a paragraph by its paragraph number, page and line
number, or include a few words from the beginning, and end, or the paragraph, if
needed for paragraph identification.
amend the specification by replacement sections (e.g., as provided in
37 CFR 1.77(b), 1.154(b), or
1.163(c)). As with replacement paragraphs, the amended version
Specifically regarding amendments to the abstract of the disclosure,
where the amendments to the abstract are minor in nature, the abstract should be
provided as a marked-up version under 37 CFR
1.121(b)(2)(ii) using strike-through and underlining as the
methods to show all changes relative to the immediate prior version. Where the
abstract is being substantially rewritten and the amended abstract bears little or no
resemblance to the previously filed version of the abstract, a new (substitute)
abstract may be provided in clean form accompanied by an instruction for the
cancellation of the previous version of the abstract. The text of the new abstract
must not be underlined. It would be counterproductive for applicant to prepare and
provide an abstract so riddled with strike-through and underlining that its meaning
and language are obscured from view and comprehension. Whether supplying a marked-up
version of a previous abstract or a clean form new abstract, the abstract must comply
with 37 CFR 1.72(b) regarding the
length and placement of the abstract on a separate sheet of paper.
requirements of 37 CFR 1.125(b) and (c) are met.
Under 37 CFR 1.125, a clean version of
the substitute specification, a separate marked up version showing the changes in the
91 must have the status identifier (original); claims
that were amended or added under PCT Article
19 or 34 with
effect in the U.S. national stage application must have the status
identifier (previously presented); and claims that were canceled pursuant to
PCT Article 19 or
entered or not) in compliance with 37 CFR
Office will waive certain provisions of 37 CFR
1.121 and accept alternative status identifiers not
specifically set forth in 37 CFR
1.121(c). See Acceptance of
complies with 37 CFR
Status Identifiers Set Forth
in 37 CFR 1.121(c) Acceptable Alternatives 1.
additional variations of the status identifiers provided in 37 CFR
1.121(c) not listed above if an Office personnel determines
drawing must comply with 37 CFR 1.84 and must be submitted
on a replacement sheet of drawings, even when applicant is only submitting better
quality drawings without any substantive changes. Any additional new drawings must be
Office of Data Management. E.
1.121(g) permits the Office to make amendments to the
comply with paragraphs (b)(1), (b)(2), or (c) of 37 CFR 1.121. See
MPEP § 1302.04.
after July 30, 2003, fails to comply with 37 CFR 1.121 (as
revised on June 30, 2003), the Office will notify applicant by a Notice of
Non-Compliant Amendment, Form PTOL-324, that the amendment fails to comply with the
requirements of 37 CFR 1.121 and identify: (1)
which section of the amendment is non-compliant (e.g., the amendments to the claims
section); (2) items that are required for compliance (e.g., a claim listing in
compliance with 37 CFR 1.121(c)); and (3) the
reasons why the section of the amendment fails to comply with 37 CFR
1.121 (e.g., the status identifiers are missing). The type of
amendment will determine whether applicant will be given a period of time in which to
comply with the rule and whether applicant’s reply to a notice should consist of the
corrected section of the amendment (e.g., a complete claim listing in compliance of
37 CFR 1.121(c)) instead of the entire corrected amendment. If
the noncompliant amendment is:
date of the application, the Office of Patent Application Processing (OPAP) will send
applicant a notice (e.g., Notice to File Corrected Application Papers) which
sets a time period of 2 months for reply. Extensions of time are available
under 37 CFR 1.136(a). Failure
to reply to the (OPAP) notice will result in abandonment of the application.
Applicant’s reply is required to include either a substitute specification
under 37 CFR 1.125 if the
amendment is to the specification, or a complete claim listing under
37 CFR 1.121(c) if the
whichever is later, for reply. Extensions of time are available under
37 CFR 1.136(a). Failure
to reply to this notice will result in abandonment of the application.
is not in compliance with 37 CFR
1.116 (e.g., the proposed amendment raises new issues
that would require further consideration and/or search), the examiner should
also indicate in the advisory action any non-compliance in the after-final
amendment. The examiner should attach a Notice of Non-Compliant Amendment to
the advisory action. The notice provides no new time period for correcting
the non-compliance. The time period for reply continues to run from the
mailing of the final Office action. Applicant still needs to respond to the
final Office action to avoid abandonment of the application. If the
applicant wishes to file another after-final amendment, the entire corrected
amendment (not only the corrected section of the amendment) must be
submitted within the time period set forth in the final Office
suspension of action under 37 CFR 1.103(a) or (c),
the amendment will be forwarded to the examiner. Such a supplemental
amendment is not entered as a matter of right. See 37 CFR
1.111(a)(2)(ii). The examiner will notify the
form paragraph 7.147. See MPEP §
periodunder 37 CFR 1.103(a) or (c)
(e.g., applicant requested a suspension of action at the time of filing an
RCE), the TSS will send the notice which sets a time period of 30 days or
one month, whichever is later, for reply. No extensions of time are
permitted. Failure to submit a timely reply will result in the application
being examined without entry of the supplemental amendment. Applicant’s
reply is required to include the corrected section of the
amendment. (H) An after-allowance amendment under 37 CFR 1.312, the
amendment will be forwarded to the examiner. Amendments under
37 CFR 1.312 are not
entered as matter of right. The examiner will notify the applicant if the
amendment is not approved for entry. The examiner may attach a Notice of
Non-Compliant Amendment (37 CFR 1.121) to the
form PTO-271, Response to Rule 312 Communication (see MPEP §
714.16(d)). The notice provides no new time
period. If applicant wishes to file another after-allowance amendment under
37 CFR 1.312, the entire
corrected amendment must be submitted before the payment of the issue
non-entry of the amendment. See MPEP §
must be made in accordance with 37 CFR 1.173. Amendments in ex parte and inter
partes reexamination proceedings must be made in accordance with
CFR 1.530. In patent-owner-filed ex
proceeding, see MPEP § 2666.01 and
§ 2672. For amendments in reissue applications, see
Signatures to Amendments [R-08.2012]
***** (b) Amendments and other papers. Amendments and other papers, except for written assertions
pursuant to § 1.27(c)(2)(iii) or
(c)(2)(iv), filed in the application must be
(1) A patent
practitioner of record;
(2) A patent
practitioner not of record who acts in a representative capacity
under the provisions of § 1.34; or;
(3) The applicant (§
1.42). Unless otherwise specified, all papers submitted on behalf
of a juristic entity must be signed by a patent
***** Pre-AIA 37 C.F.R. 1.33 Correspondence respecting patent
applications, reexamination proceedings, and other proceedings (applicable to
applications filed before September 16, 2012).
***** (b) Amendments and other
papers. Amendments and other papers, except for written
assertions pursuant to § 1.27(c)(2)(ii) of
this part, filed in the application must be signed by: (1) A registered patent
attorney or patent agent of record appointed in compliance with
§ 1.32(b);
(2) A registered attorney or
agent not of record who acts in a representative capacity under the
provisions of §
(3) An assignee as provided
for under § 3.71(b) of
this chapter; or (4) All of the applicants
(§ 1.41(b)) for
assignee has taken action in the application in accordance with
§ 3.71 of this
joint inventors and the one signing has not been given a power of attorney by the
other inventor.
When an unsigned or improperly
authority to sign the amendment. An amendment signed by a
practitioner who has been suspended or excluded from practice under the provisions of
37 CFR Part 11 is not entered. The file and unentered amendment are submitted to the
Office of Enrollment and Discipline for appropriate action.
714.01(b) [Reserved]
A registered attorney or agent
acting in a representative capacity under 37 CFR 1.34, may
sign amendments even though he or she does not have a power of attorney in the
application. SeeMPEP §
402.03 .
to 37 CFR
1.33 in patent applications. Two copies of the action should be
prepared, one being sent to the attorney and the other directly to the applicant. The
notation: "Copy to applicant"
1.215(a)).
Office action under 37 CFR 1.104. See
37 CFR 1.115(a). For applications filed on or after September
21, 2004 (the effective date of 37 CFR 1.115(a)(1)), a
preliminary amendment that is present on the filing date of the application is part
of the original disclosure of the application. For applications filed before
application is part of the original disclosure of the application if the preliminary
amendment was referred to in the first executed oath or declaration under
37 CFR 1.63 filed in the application. See
§ 602. Any amendment filed after the filing date of the
application is not part of the original disclosure of the application. See
§ 706.03(o) regarding new matter. When the Office publishes
the application under 35 U.S.C. 122(b), the Office may
include preliminary amendments in the patent application publication. See
MPEP § 1121.
filed in a format that cannot be included in the publication, the Office of Patent
Application Processing (OPAP) will issue a notice to the applicant requiring the
applicant to submit the amendment in a format usable for publication purposes. See
37 CFR 1.115(a)(1) and 1.215. The only
result, the Office has revised its procedures to mail a notice (e.g.,
"Notice to File Corrected Application
) requiring a substitute specification in compliance
with 37 CFR 1.121(b)(3) and
1.125, if an applicant included a preliminary amendment to the
specification (other than the claims) on filing. For applications filed prior to September
16, 2012, where applicant intends to claim the benefit of a prior application under
35 U.S.C. 120 or 119(e) and
37 CFR 1.78, the specific reference to the benefit application
may be submitted in an application data sheet (ADS) under 37 CFR
1.76or in a preliminary amendment to the
first sentence(s) of the specification. See 37 CFR 1.78(a).
If the specific reference is submitted in a preliminary amendment, a substitute
specification will not be required if the preliminary amendment only adds or amends a
benefit claim to a prior-filed application under 35 U.S.C. 120,
121, 365(c), or 119(e). If an applicant receives a notice from OPAP (e.g.,
) requiring a substitute specification because a
treated as an incomplete reply with no new time period for reply being provided. Note
that the above does not apply to applications filed on or after September 16, 2012,
because the reference to a prior application as required by 35 U.S.C.
120 or119(e) and 37 CFR
1.78(a), must be submitted in an application data sheet (ADS)
1.76. Requiring a substitute
set forth in 35 U.S.C. 122(b)(2)(B)(v). As
preliminary amendments to the specification, excluding the claims, cannot be easily
published, the Office must require a substitute specification whenever an application
is filed with a preliminary amendment to the specification, excluding the claims, in
order to ensure that the application, including any new matter added by way of a
preliminary amendment included on the filing date of the application, is
the claims or abstract in compliance with 37 CFR 1.121(c)
or 1.121(b)(2) will include a complete claim listing or
specification (on sequentially numbered pages of the specification (see
37 CFR 1.52(b)(5))), no status identifiers and no markings
showing the changes need to be used.
a submission to enter the national stage of an international application under
35 U.S.C. 371 is not part of the original disclosure under
37 CFR 1.115(a) because it was not present on the
international filing date accorded to the application under PCT Article 11. See
MPEP § 1893.03(b). Accordingly, a “Notice to File
Corrected Application Papers” requiring a substitute specification will not
Office action after the filing of the RCE is not a preliminary amendment. See
§ 706.07(h). Any amendment canceling claims in order to
regardless of when it is filed, must comply with 37 CFR
1.121, e.g., the preliminary amendment must include a
on a separate sheet of paper. See MPEP § 714.
Preliminary amendments made in a transmittal letter of the application will not
comply with 37 CFR 1.121. For example,
applicants should include the reference to a prior filed application in the first
sentence(s) of the specification following the title or in an application data
sheet in compliance with 37 CFR 1.78 instead of
submitting the reference in a preliminary amendment in a transmittal letter. See
MPEP § 201.11. If a preliminary amendment filed after
the filing date of the application fails to comply with 37 CFR
1.121, applicant will be notified by way of a Notice of
the amendment into compliance with 37 CFR 1.121.
If the applicant takes no corrective action, examination of the application will
commence without consideration of the proposed changes in the non-compliant
preliminary amendment. If a preliminary amendment that is present on the filing
date of the application fails to comply with 37 CFR 1.121,
the Office of Patent Application Processing (OPAP) will notify applicant of the
non-compliance and give a two-month time period to correct the non-compliance to
avoid the abandonment of the application. See MPEP §
on publication of applications, see MPEP § 1121.
Applicants may avoid preliminary amendments by incorporating any desired
amendments into the text of the specification including a new set of claims, even
where the application is a continuation or divisional application of a previously
filed patent application. In such a continuation or divisional application, a
clean copy of a specification (i.e., reflecting amendments made in the parent
application) may be submitted together with a copy of the oath or declaration from
the previously filed application so long as no new matter is included in the
specification. See 37 CFR 1.63(d)(1)(iii) and
MPEP § 201.06(c).
after September 21, 2004 (the effective date of 37 CFR
1.115(a)(1), a preliminary amendment that is present on the
filing date of the application is part of the original disclosure of the
to in the first executed oath or declaration under 37 CFR
602 and §
608.04(b).
present on the filing date of an application, and the oath or declaration under
37 CFR 1.63 does not refer to
the preliminary amendment, the normal operating procedure is to not screen the
supplemental oath or declaration under 37 CFR 1.67
referring to such preliminary amendment. The failure to submit a supplemental oath
or declaration under 37 CFR 1.67 referring to a
an oath or declaration that refers to the preliminary amendment, or (2) a request
referred to in a first filed oath or declaration in compliance with
37 CFR 1.63. If the
preliminary amendment was not referred to in the oath or declaration, applicant
will be required to submit a supplemental oath or declaration under
37 CFR 1.67 referring to both
the application and the preliminary amendment filed with the original application.
A surcharge under 37 CFR 1.16(f) will also be
required unless it has been previously paid.
filing date). See MPEP § 502. Any amendments filed
after the mail date of the first Office action is not a preliminary amendment. If
the date of receipt (37 CFR 1.6) of the amendment
is later than the mail date of the first Office action and is not responsive to
the first Office action, the Office will not mail a new Office action, but simply advise the applicant that
the amendment is nonresponsive to the first Office action and that a responsive
reply must be timely filed to avoid abandonment. See MPEP §
714.03.
1.53(b);
filing date of a continued prosecution application under
1.53(d); or
forth in §
(Fed. Cir. 2001), 37 CFR 1.115(b)(1), and
MPEP § 601.01(e). Thus, the
1.121(c) that requires a complete claim listing. See
MPEP § 714. The Office will
send a notice of non-compliant amendment (37 CFR
1.121) to applicant and require an amendment in
will not be disapproved under 37 CFR
1.115(b)(2) if it is filed no later than:
filing date of the application under 37
CFR 1.53(b);
date the national stage is entered as set forth in 37
CFR 1.491 in an international
a CPA under 37 CFR 1.53(d) in
suspension period requested by applicant under 37
CFR 1.103 (see MPEP §
time periods should not be disapproved under 37
CFR 1.115(b)(2). These time periods are not
extendable. See 37 CFR
1.115(b)(4).
subject to the approval of the supervisory patent examiner
(MPEP § 1002.02(d)).
considered for denying entry of preliminary amendments under
37 CFR 1.115
preparation of a first Office action as of the date of receipt
(37 CFR 1.6) of
the preliminary amendment; and (B) The nature of
the 37 CFR 1.6
receipt date of the amendment); and (B) the entry of the
affidavit or declaration under 37 CFR
1.131 or 37 CFR
1.132; or
preliminary amendment under 37 CFR
1.115(b)(2) is inappropriate if either: (A) the examiner has
receipt date of the amendment); or (B) the entry of the
reasons such as those listed in MPEP §
714.19. For example, if
claims to overcome rejections under 35 U.S.C. 112, second paragraph;
Must Be Fully Responsive [R-08.2012]
action after the first examination (§
1.104) is adverse in any respect, the applicant
is supplemental to a reply that is in compliance with
§ 1.111(b)
(b) In order to be entitled
with the provisions of 37 CFR 1.121(b), (c), (d), and (h)
may be held not fully responsive. See MPEP §
Amendments Not Fully Responsive, Action To Be Taken [R-08.2012]
Where an amendment substantially
within any extension pursuant to 37 CFR 1.136(a)), notify applicant
that the omission must be supplied within the time period for reply; or B) if there is
insufficient time remaining, issue an Office action setting a 1-month time period to
complete the reply pursuant to 37 CFR 1.135(c). In either event,
the examiner should not further examine the application on its merits unless and until
the omission is timely supplied.
1.136(a)), applicant will be notified to complete the reply within
the remaining time period to avoid abandonment. Likewise, once an inadvertent omission
is brought to the attention of the applicant, the question of inadvertence no longer
exists. Therefore, a second Office action giving another new (1 month) time period to
supply the omission would not be appropriate under 37 CFR 1.135(c). 37 CFR
action (e.g., an amendment under 37 CFR
1.116) does not place the application in condition for allowance,
the period for reply under 37 CFR 1.113 continues to run until
a reply under 37 CFR 1.113 (i.e., a notice of
appeal or an amendment that places the application in condition for allowance) is filed.
The nature of the omission (e.g., whether the
amendment raises new issues, or would place the application in condition for allowance
but for it being unsigned or not in compliance with 37 CFR 1.121) is
immaterial. The examiner cannot give the applicant a time period under 37 CFR
7.95.01, should be used where a bona fide reply to a non-final Office action is not fully
714.03(a) Supplemental Amendment 37 C.F.R. 1.111 Reply by applicant or patent owner to a non-final Office
amendment. See §§ 1.135 and
1.136 for time
for reply to avoid abandonment.
in compliance with §
1.111(b) will not be entered as a
is suspended under § 1.103(a)
***** Applicants are encouraged to
include a complete fully responsive reply in compliance with 37 CFR
1.111(b) to an outstanding Office action in the first reply to
prevent the need for supplemental replies. Supplemental replies will not be entered
as a matter of right, except when a supplemental reply is filed within a suspended
period under 37 CFR 1.103(a) or (c) (e.g., a
suspension of action requested by the applicant when filing an RCE). See
§ 709 regarding suspension of action. The Office may enter
a supplemental reply if the supplemental reply is clearly limited to:
listed above. If a supplemental reply is a non-compliant amendment under
37 CFR 1.121 (see MPEP § 714), the
adjustment under 37 CFR 1.704(c)(8). If the
supplemental reply is approved for entry, the examiner should clearly indicate that
the subsequent Office action is responsive to the first reply and the supplemental
reply. Examiners may use form paragraph
If a supplemental reply is
714.03 for replies not fully responsive and
§ 714.05 when the Office action crosses in the mail with a
Patentable Novelty [R-08.2012]
Examiner Should Immediately Review [R-11.2013]
those filed near the end of the period for reply, should be reviewed as soon as possible
upon becoming available to the examiner to determine whether they are completely
responsive to the preceding Office action so as to prevent abandonment of the
application. If found inadequate, and sufficient time remains, applicant should be
notified of the deficiencies and warned to complete the reply within the period. See
the examiner should be reviewed at once to determine the following:
filed within the statutory period, set shortened statutory period, or time
limit (MPEP § 710 -
(MPEP § 714).
applicant for interference purposes have been copied. (MPEP Chapter
2300 ).
(H) If applicant has cited
(I) If a terminal disclaimer has
(J) If any matter involving
A supplemental action may be
necessary when an amendment is filed on or before the mailing date of the regular
action but reaches the Technology Center later. The supplemental action should be
promptly prepared. It need not reiterate all portions of the previous action that are
still applicable but it should specify which portions are to be disregarded, pointing
out that the period for reply runs from the mailing of the supplemental action. The
action should be headed “Responsive to amendment of (date) and supplemental to the
action mailed (date).”
Amendments Not in Permanent Ink [R-11.2013]
1.52(a) requires "permanent dark ink or its
to be used on papers which will become part of the
record. So-called “Easily Erasable” paper having a special coating so that erasures can
be made more easily may not provide a “permanent” copy. However, because application
papers are now maintained in an Image File Wrapper, the type of paper is unlikely to be
an issue so long as the Office is able to scan and reproduce the papers that were
714.08 - 714.09
Claims Added in Excess of Claims Previously Paid For [R-08.2012]
Applicant is required to pay excess
claims fees for each claim that is in excess of 3 in independent form or in excess of 20
(whether dependent or independent). Fees for a proper multiple dependent claim are
calculated based on the number of claims to which the multiple dependent claim refers
CFR 1.75(c)) and a separate fee is also required in each
application containing a proper multiple dependent claim. See MPEP §
607. When applicant adds a new excess claim that is in excess
of the number of claims that were previously paid for after taking into account claims
that have been canceled, applicant must pay the required excess claims fees before the
examiner considers the new claim. For example, in an application that contains 6
independent claims and 30 total claims for which the excess claims fees were previously
paid, when applicant cancels 10 claims, 2 of which are independent, and adds 11 claims,
3 of which are independent, excess claims fees for a 7th independent claim and a 31st claim are required.
Amendment Filed During Interference Proceedings [R-08.2012]
Amendments and Other Replies After Final Rejection or
Action [R-08.2012]
action and prior to appeal.
(a) An amendment after final
or other final action (§ 1.113) in an
application or in an ex parte reexamination filed under
§ 1.510, or an action
closing prosecution (§ 1.949) in an
inter partes reexamination filed under
§ 1.913, but before or
on the same date of filing an appeal (§ 41.31
or § 41.61 of this
subject to appeal or to save the application from abandonment under
§ 1.135, or the
reexamination prosecution from termination under §
1.550(d) or §
1.957(b) or limitation of further prosecution under
1.957(c).
final action (§
1.113) in an ex parte
reexamination filed under §
1.510, or an action closing prosecution
(§ 1.949) in
an inter partes reexamination filed under
§ 1.913 may
1.981 or as permitted by §
41.77(b)(1) of this title.
§ 1.510, or an
action closing prosecution (§
1.949) in an inter partes reexamination filed
or on the same date of filing an appeal (§
41.31 or §
41.61 of this title), may be admitted upon a
evidence can be made in an inter partes
reexamination proceeding after the right of appeal notice under
into effect a recommendation under §
41.50(c) of this title.
Once a final rejection that is not
amendments filed after a final rejection, but before or on the date of filing an appeal,
complying with objections or requirements as to form are to be permitted after final
action in accordance with 37 CFR 1.116(b). Amendments filed
after the date of filing an appeal may be entered if the amendment complies with
CFR 41.33. See MPEP § 1206.
Ordinarily, amendments filed after the final action are not entered unless approved by
the examiner. See MPEP § 706.07(f), § 714.13 and § 1206.
An affidavit or other evidence filed
after a final rejection, but before or on the same date of filing an appeal, may be
entered upon a showing of good and sufficient reasons why the affidavit or other
evidence is necessary and was not earlier presented in compliance with 37 CFR
1.116(e). See 37 CFR 41.33 and
The prosecution of an application before the examiner should
Procedure Followed [R-11.2013]
7.40.02, 7.41, 7.41.03.fti,
§ 706.07. Form paragraphs 7.40 ,
7.40.01 and 7.40.02 appear in MPEP §
706.07(a). Form paragraphs 7.41,
7.41.03.fti, and 7.42.09 appear in
§ 706.07(b). Form paragraph 7.42.03 appears in
necessary and was not earlier presented in compliance with 37 CFR
MPEP § 1206 for information on affidavit or other evidence
filed after appeal. Failure to properly reply under 37 CFR
1.113 to the final rejection results in abandonment. A reply
under 37 CFR 1.113 is limited to: (A) an amendment complying
examination (RCE) filed under 37 CFR
1.114 with a submission (i.e., an amendment that meets
the reply requirement of 37 CFR 1.111) and the
fee set forth in 37 CFR 1.17(e). RCE
practice under 37 CFR 1.114 does not
apply to utility or plant patent applications filed before June 8, 1995 and
37 CFR 1.53(d), if the application is a design application.
§ 201.06(d). Effective July 14, 2003, CPA practice does not
apply to utility and plant applications.
expected to turn in a response to an amendment after final rejection within an
average of 11 calendar days from the time the amendment is received by the examiner.
A reply to an amendment after final rejection should be mailed within 30 days of the
date the amendment is received by the Office. In all
instances, both before and after final rejection, in which an application
is placed in condition for allowance, applicant should be notified promptly of the
allowability of the claims by a Notice of Allowability form PTOL-37. If delays in
processing the Notice of Allowability are expected, e.g., because an extensive
examiner’s amendment must be entered, and the end of a statutory period for reply is
near, the examiner should notify applicant by way of an interview that the
application has been placed in condition for allowance, and an Examiner Initiated
Interview Summary PTOL-413B should be mailed. Prompt notice to applicant is important
because it may avoid an unnecessary appeal and act as a safeguard against a holding
of abandonment. Every effort should be made to mail the letter before the period for
reply expires.
37 CFR 1.131(a) and 1.132, see
Advisory Action, Proposed Rejection of Claims, Before Appeal
For purposes of appeal, the proposed
amendment(s) will be entered and the proposed rejection(s) detailed below will be included in
the Examiner’s Answer. To be complete, such rejection(s) must be addressed in any brief on
Upon entry of the amendment(s) for
purposes of appeal:
Claim(s) [1] would be
rejected for the reasons set forth in [2] of the final Office action mailed
Examiner Note: 1. In bracket 1, identify all the
new or amended claim(s) that would be grouped together in a single
2. In bracket 2, identify the
rejection by referring to either the paragraph number or the statement of the rejection
(e.g., the rejection under 35 U.S.C. 103 based upon A in view
of B) in the final Office action under which the claims would be rejected on
3. Repeat this form paragraph for
each group of claims subject to the same rejection(s).
4. Use this form paragraph if item
7 of the Advisory Action form, PTOL-303 (Rev. 9-04 or later) has been checked to
indicate that the proposed amendment(s) will be entered upon appeal.
Commissioner of Patents (e.g., TCs, the Office of Data Management, and the Office of
Petitions) that is hand-carried (or delivered by other delivery services, e.g.,
exceptions. See MPEP § 502. Hand-carried amendments
and other replies after final rejection (37 CFR 1.116)
will no longer be accepted in the TCs. Any courier who attempts delivery of such
after final correspondence at a TC (or where it is no longer permitted) will be
re-directed to the Customer Window. Patent application related compact disks (CDs)
and other non-paper submissions that are hand-carried must be delivered to the
1.116. Amendments and other replies under
1.116 filed via EFS-Web are processed promptly provided the
submitter describes the document as an amendment after final rejection. Based on the
document description selected by the user, a document code is assigned and a message
regarding the document submitted to the USPTO will be forwarded to the appropriate
organization for processing, and to the appropriate official for consideration.
Accurate document indexing is important to facilitate efficient processing and proper
consideration of the document by the USPTO. In order for an
applicant to take advantage of the expedited procedure, an amendment or other reply
under 37 CFR 1.116 filed in paper
format must be marked as a “Reply under 37 CFR 1.116 —
Expedited Procedure - Technology Center (Insert Technology Center Number)” on the
upper right portion of the amendment or other reply and the envelope must be clearly
marked “Mail Stop AF” in the lower left hand corner. If the reply is mailed to the
Office, the envelope should contain only replies under 37 CFR
1.116 and should be mailed to “Mail Stop AF, Commissioner for
Patents, P.O. Box 1450, Alexandria, Virginia, 22313-1450.” Instead of mailing the
envelope to “Mail Stop AF” as noted above, the reply may be hand-carried to the
Customer Window located at the above address. The outside of the envelope should be
marked “Reply Under 37 CFR 1.116 - Expedited
Procedure - Technology Center (Insert Technology Center Number).”
“Mail Stop AF,” the envelope will be specially processed by the Mail Center and
forwarded to the Technology Center after being uploaded as a scanned image into the
file wrapper. Upon receipt of the reply in the TC it will be promptly processed by a
designated technical support staff member and forwarded to the examiner, via the
supervisory patent examiner (SPE), for action. The SPE is responsible for ensuring
that prompt action on the reply is taken by the examiner. If the examiner to which
the application is assigned is not available and will not be available for an
extended period, the SPE will ensure that action on the application is promptly taken
to assure meeting the USPTO goal described below. Once the examiner has completed his
or her consideration of the reply, the examiner’s action will be promptly typed and
printed, and mailed by technical support staff or other Office personnel designated
to expedite the processing of replies filed under this procedure. The TC supervisory
personnel, e.g., the supervisory patent examiner, supervisory applications examiner,
and TC Director are responsible for ensuring that actions on replies filed under this
procedure are promptly processed and mailed. The U.S. Patent and Trademark Office
goal is to mail the examiner’s action on the reply within 1 month from the date on
which the amendment or reply is received by the U.S. Patent and Trademark
Amendments After Allowance of All Claims [R-08.2012]
714 for non-compliant amendments.
¶ 7.51
of Allowance [R-08.2012]
If the amendment is filed in the
Office prior to the mailing of the notice of allowance, but is received by the examiner
after the mailing of the notice of allowance, it may also not be approved for entry. If
the amendment is a supplemental reply filed when action is not suspended, such an
amendment will not be approved for entry because supplemental replies are not entered as
matter of right. See 37 CFR 1.111(a)(2) and
714.03(a). If the amendment is a preliminary amendment, such
an amendment may be disapproved under 37 CFR 1.115(b). See
714.01(e). If the amendment is approved for entry, the
examiner may enter the amendment and provide a supplemental notice of allowance, or
withdraw the application from issue and provide an Office action.
The application will not be withdrawn
from issue for the entry of an amendment that would reopen the prosecution if the Office
action next preceding the notice of allowance closed the application to further
amendment, i.e., by indicating the patentability of all of the claims, or by allowing
some and finally rejecting the remainder.
Amendment After Notice of Allowance, 37 CFR 1.312 [R-08.2012]
Office of Data Management, see MPEP § 714.16(d), subsection III. An
amendment under 37 CFR 1.312 must comply with the
provisions of 37 CFR 1.121. If the amendment is
examiner’s amendment. See MPEP § 714.
2300 for the procedure to be followed when an amendment is
received after notice of allowance which includes one or more claims copied or
substantially copied from a patent.
Under 37 CFR 41.208
Where an amendment filed with a
motion under 37 CFR 41.208(c)(2) applies to an
application in issue, the amendment is not entered unless and until the motion has
1.312 are sent to the Office of Patent Application
Processing (OPAP) to be scanned and uploaded into the IFW. Thereafter OPAP
messages the Office of Data Management, which reviews the message and forwards the
message to the Technology Center (TC) which allowed the application. Once the TC
completes the action, the TC will message the Office of Data Management that issue
processing can resume. If an amendment under 37 CFR 1.312 has been filed
directly with the TC, the paper will be forwarded to OPAP for scanning. Hand delivered amendments under
37 CFR 1.312 are no longer
accepted in the TC. Hand delivered amendments (unless specifically required by the
Office of Data Management, see subsection III. below) may only be delivered to the
by using the typewriter tool in Adobe Acrobat to annote the amendment with “Enter
— 312,” “Do Not Enter” or “Enter In Part” in the upper left corner. In addition, the amendment must
recommendation is completely adverse, a Response to Rule 312 Communication form
PTO-271 is prepared and signed by the primary examiner.
The proposed amendment filed on [1] under
1.132 has not been entered. [2]
Examiner Note: The reasons for non-entry should be specified in
bracket 2, for example:
--The amendment changes the scope of the
amendment will be entered; although the amendment paper is placed in the
application file, it is not officially entered unless and until approved by the
supervisory patent examiner.
of amendments concerning merely formal matters by writing “Enter” thereon with the
stamper tool in Adobe Acrobat. Such amendments do not require submission to the
supervisory patent examiner prior to entry. See MPEP §
714.16. The Response to Rule 312 Communication form
PTO-271 is date stamped and mailed by the TC. If such amendments are disapproved
either in whole or in part, they require the signature of the supervisory patent
AMENDMENTS REQUIRED BY THE OFFICE OF DATA
In preparation of a patent for
issuance as a patent grant, if the Office of Data Management discovers an error in
the text, or drawings of a patent application, including any missing text, or an
inconsistency between the drawings and the application papers,the Office of Data
Management may require an appropriate amendment to the specification or drawings.
37 CFR 1.312, however, does
not permit an amendment after the payment of the issue fee without withdrawal of
the application from issue. In order to be able to accept such an amendment as may
be required without having to withdraw an application from issue, the Office of
Data Management has been delegated the authority to waive the requirement of
37 CFR 1.312 and accept an
amendment filed after the payment of the issue fee. Furthermore, these amendments
required by the Office of Data Management may be hand delivered to the Office of
Data Management located at:
Office of Data ManagementRandolph Square Building 9th
Floor2800 South Randolph StreetArlington, VA 22206
714.16(e) Amendments Under 37 CFR 1.312, Entry in Part
application. If necessary, the claims should be renumbered to run consecutively with
the claims already in the case. The examiner should annotate the amendments by using
the Strike-Out Line tool to cross out any refused claims or
Expired [R-08.2012]
such amendment shall be placed in the file of the application, but not formally entered.
and the appropriate fee are timely filed. See MPEP § 711.02. See MPEP §
Entry of Amendments [R-11.2013]
All amendments received in the
technical support staff sections are processed and distributed to the
carefully screened so that all amendments replying to a final action in which a time
period is running against the applicant are promptly processed (e.g., within the next 24
applicant is awaiting a reply to a proposed amendment after final action. In cases of
this type, the applicant should receive an Office communication in sufficient time to
adequately consider his or her next action if the application is not allowed.
Consequently, technical support staff handling will continue to be special when these
applications are returned by the examiners to the technical support
final rejection for compliance with 37 CFR 1.121 should be left to the
examiner, and not treated by the technical support staff before forwarding the amendment
to the examiner. If the examiner determines that the proposed amendment is not in
compliance with 37 CFR 1.121, the examiner should
notify applicant of this fact and attach a Notice of Non-Compliant Amendment to the
advisory action. See MPEP § 714.
Amendments are entered as papers into the IFW.
When several amendments are made in an application on the same day no particular order
as to the hour of the receipt or the mailing of the amendments can be assumed, but
consideration of the application must be given as far as possible as though all the
papers filed were a composite single paper.
714 for the treatment of amendments that are not in compliance
with 37 CFR 1.121. 714.19
List of Amendments, Entry Denied [R-11.2013]
thereof, unless entry is authorized by the Director. See MPEP Chapter
it cannot be entered with certain accuracy. See MPEP § 714,
subsection II.G.
(H) An amendment canceling all
(I) An amendment after a notice
of allowance has been mailed in an application, with certain limited
exceptions. See MPEP § 714.16.
will be submitted to the Deputy Commissioner for Patent Examination Policy. See
1002.02(b). If the Deputy Commissioner determines
that the remarks are in violation of 37 CFR 1.3,
he or she will notify the applicant of the non-entry of the
(L) Amendments that cannot be
scanned or clearly reproduced. See MPEP §
changes to the specification/claims which is not in compliance with
37 CFR 1.121, e.g., one
which does not include replacement paragraphs or claim listings. See
considered in denying entry of the preliminary amendment are set forth in
37 CFR 1.115(b). See
MPEP § 714.01(e).
(Q) A supplemental reply is not
under 37 CFR 1.103(a) or (c). See
37 CFR 1.111(a)(2) and
List of Amendments Entered in Part [R-11.2013]
general rule prevails that an amendment should not be entered in part. At times, the
strict observance of its letter may sometimes work more harm than would result from its
infraction, especially if the amendment in question is received at or near the end of
the period for reply. Thus:
Office even if it has not been required by the examiner. However, entry of a
substitute specification filed after the notice of allowance has been mailed
(37 CFR 1.312) is not a
(B) An amendment under
NOTE. The examiner writes “Enter” with the Stamper tool in
Adobe Acrobat in the left margin opposite the enterable portions. 714.21
Amendments Inadvertently Entered, No Legal Effect [R-11.2013]
Officially Entered” with the typewriter tool in Adobe Acrobat. If an amendatory paper is to be
which may be denied entry.
714.22 - 714.24
Discourtesy of Applicant or Attorney [R-11.2013]
37 C.F.R. 1.3 Business to be conducted with decorum and
All papers received in the U.S.
Patent and Trademark Office should be briefly reviewed to determine whether any
discourteous remarks appear therein.
discourteous in the remarks or arguments in his or her amendment or other paper
submitted for entry in an application file, either the discourtesy should be entirely
ignored or the paper should be submitted to the Deputy Commissioner for Patent
Examination Policy for review. See MPEP § 1002.02(b). If the Deputy
Commissioner determines that the remarks are in violation of 37 CFR 1.3, the
Deputy Commissioner will send a notice of non-entry of the paper to the applicant. At
its discretion, the Office may also close the non-entered paper in the IFW of the
application or remove the paper from the IFW. [top]