Intro

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# MANUAL OF

# PATENT

# EXAMINING PROCEDURE

3 RD EDITION
Rev. 30

DEPARTMENT OF COMMERCE
Even STATES OF AMONEY

U.S. DEPARTMENT OF COMMERCE
Patent and Trademark Office

REEL NUMBER

/

BOOK NUMBERS

4193

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## MANUAL OF PATENT EXAMINING PROCEDURE

Third Edition, November 1961

DEPARTMENT OF COMMERCE
UNITED STATES OF AMERICA

U.S. DEPARTMENT OF COMMERCE . PATENT OFFICE

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The Patent Office does not handle the sale of the Manual, distribution of notices and
revisions or change of address of those on the subscription list.

Correspondence relating to any of the above items should be sent to the Superin-
tendent of Documents at the following address:
Superintendent of Documents
Mail List Section
P.O. Box 1533
Washington, D.C. 20013

Orders for individual replacement pages not amounting to a complete revision of the
Manual should be sent to the following address :
Commissioner of Patents
Washington, D.C. 20231
Attn .: Document Services Branch

The cost per page will be 30e (see rules 13(a), 21(b), and 21(t) Rules of Practice).

Charges may be made to deposit accounts if the requestor is an account holder in good
standing at the time the request is received. Checks or money orders should be made pay-
able to the Commissioner of Patents. Requests must identify the specific pages required
and the number of copies of each page.

Employees of the Patent Office should direct their requests for the Manual, replace-
ment pages, notices, and revisions to the Scientific Library.

First Edition, November 1940

Revision

11. January 130:

Revision 1. November 1950

Revision

12. April 136.

Revision 2, December 1951

Revision

13. July 1997

Revision 3, Mas 1952

Revision

14. October 1907

Second Edition, November 1953

Revision

15. January 136-

Revision 1. April 1955

Revision

16. April 1945

Revision 2, June 1956

Revision

17. July 18-

Revision 3. June 1957

Revision

18. IMtoi? Hep

Revision 4, July 1958

Revision

19. January 1965

Third Edition. November 196]

Revision

20. April 19%

Revision 1. January 1964

Revision:

21. July 180

Revision 2. November 1964

Revision

22. October 1863

Revision 3. January 1965

Revision

23. January 1970

Revision 4. April 1905

Revision

24. April 1970

Revision 5. July 1965

Revision

25. July 1970

Revision 6. October 1965

Revision

2. Oktober 1990

Revision 7. January 1966

Revision

27. January 19;1

Revision . April 19;

Revision

2. April 1971

Revision 9. July 190

Revision

29. July 19:1

Revision 10. October 1900

Revision 30. October 1991

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## Foreword

This Manual is published to provide Patent Office examiners. applicants.
attorneys, agents, and representatives of applicants with a reference work
on the practices and procedures relative to the prosecution of applications
before the Patent Office. It contains instructions to examiners, as well as
other material in the nature of information and interpretation. and outlines
the current procedures which the examiners are required or authorized to
follow in appropriate cases in the normal examination of application.

Examiners will be governed by the applicable statutes, the Rules of Prac-
tice, decisions, and orders and instructions issued by the Commissioner and
the Assistant Commissioners. Orders and Notices still in force which relate
to the subject matter included in this Manual are incorporated in the text.
Orders and Notices, or portions thereof. relating to the examiners' duties
and functions which have been omitted or not incorporated in the text may
be considered obsolete. Interference procedure not directly involving the Pri-
mary Examiner is not included in this Manual and, therefore, Orders and
Notices relating thereto remain in force.

Subsequent changes in practice and other revisions will be incorporated
in the form of substitute or additional pages for the Manual.

Suggestions for improving the form and content of the Manual are
always welcome. The should be addressed to:

Commissioner of Patents.
Washington. D.C. 20231

WILLIAM E. SCHUYLER. JR ..
Commissioner.

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## Contents

Page

Checklist of Pages

Vi

Introduction

1

Chapter 100

Secrecy and Access

3

200

Types, Cross-Voting, and Status of Applications

7

300

Ownership and Assignment

21

400

Representative of Inventor or Owner

23

500

Receipt and Handling of Mail and Papers

31

600

Parts. Form and Content of Application

33

700

Examination of Applications

61

800

Restriction; Double Patenting

117

900

Prior Art, Classification. Search

137

1000

Matters Submitted to Commissioner and

Group Directors

159

1100

Interference

163

1200

Appeal

209

1300

Allowance and Issue

221

1400

Correction of Patents

229

1500

Design Patents.

235

1600

Plant Patents.

239

1700

Miscellaneous

243

Appendix I

Partial List of Trademarks

247

Appendix II

List of Decisions Cited

253

Index

257

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## Checklist of Pages Needed To Form a Complete Set of the Third Edition as of Revision 30. DATES OF REVISIONS 18, and 20-30 All pages issued in other revisions have been revised.

Rev. No.

Date

Rev. No.

Date

18

Oct. 1965

25

July 1970

20

Apr. 1969

26

Oct. 1970

21

July 1969

27

Jan. 1971

22

Oct. 1969

28

Apr. 1971

23

Jan. 1970

29

July 1971

24

Apr. 1970

30

Oct. 1971

Page

Revision No.

Page

Revision No.

Title Page (2 sides)

30-30

57-58

29-29

III

27

59-60

23-23

V-VI

22-30

VII

30

Chapter 700

Introduction

61-62

25-25

1-2

22-22

63-64

25-25

65-66

23-23

Chapter 100

66.1

23

3-4

30-30

67-68

15-15

4.1-4.2

30-30

69-70

27-27

5-6

28-28

70.1

27

71-72

29-29

Chapter 200

72.1-72.2

29-29

7-8

29-29

73-74

28-28

9

29

74.1

28

10

29

75-76

29-29

10.1-10.2

25-25

76.1

29

11-12

24-24

77-78

25-25

13-14

30-30

79-80

28-28

14.1

30

80.1

21

15-16

20-21

S1-S2

21-21

16.1

25

83-84

27-27

17-18

24-24

85-86

24-24

19-20

22-23

S7-SS

30-30

20.1

23

88. 1

30

89-90

29-29

Chapter 300

90.1-90.2

29-29

21-22

30-30

90.3

29

22.1

30

91-92

26-26

400

93-94

24-24

Chapter

95-96

24-24

23-24

30-30

96.1-96.2

24-24

25-26

30-30

97-98

24-26

27-28

30-30

98.1

26

29-30

30-30

99-100

30-30

30.1

30

101-102

25-25

Chapter 500

102.1-102.2

25-25

102.3

30

31-32

28-28

103-104

21-21

32.1-32.2

30-30

105-106

21-21

32.3

30

106.1

21

600

107-108

25-25

Chapter

108.1

25

33-34

29-29

109-110

29-29

34.1-34.2

29-29

110.1

29

34.3

29

111-112

25-25

35-36

25-25

113-114

25-25

37-38

21-21

115-116

18-1&gt;

38.1

21

39-40

29-29

41-42

29-29

Chapter Soo

43-44

29-29

117-118

1S-18

44.1

29

119-120

29-30

45-46

22-22

120.1-120.2

29-29

46.1

29

121-122

18-18

47-48

22-22

123-124

25-25

48.1-48.2

22-22

125-126

25-25

48.3-48.4

29-29

127-128

18-18

40-50

29-29

129-130

18-18

51-52

29-29

131

18

53-54

29-29

133-134

18-18

55-56

29-29

135-136

29-29

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Page

Revision No.

Page

Revision No.

Chapter 900

219-220

28-28

137-135

30-30

220.1-220.2

28-25

138.1

30

220.3-220.4

28-28

139-140

30-30

220.5-220.6

28-28

141-142

30-30

220.7

28

143-144

30-30

145-146

23-23

Chapter 1300

147-145

26-26

221-222

30-30

149

26

223-224

30-30

151-152

27-27

225-226

24-24

152.1

27

227-225

24-24

153-154

26-26

228.1

26

154.1-154.2

26-26

154.3

26

Chapter 1400

155-156

24-24

229-230

25-25

157

27

231-232

25-25

233-234

22-22

Chapter 1000

234.1-234.2

29-29

159-160

27-27

161

27

Chapter 1300

235-236

20-20

Chapter 1100

237-235

20-20

163-164

23-23

Chapter 1600

165-166

23-27

239-240

29-30

166.1

23

241-242

23-23

167-165

28-25

169-170

20-20

Chapter 1700

171-172

25-25

243-244

24-24

172.1

22

245-246

26-26

173-174

22-22

246.1-246.2

26-26

174.1

22

246.3

26

175-176

22-22

176.1

22

Appendix I

177-175

25-28

179-180

28-25

247-248

26-26

181-152

25-25

249-250

26-26

183-154

25-25

251

26

185-156

25-25

Appendix II

186.1

26

187-155

23-23

253-254

25-25

159

23

255

25

191-192

omitted

193-194

25-25

Index

194.1

25

257-255

27-27

195-196

26-26

259-260

27-27

197-195

26-26

261-262

27-27

199-200

23-23

263-264

27-27

201-202

28-25

265-266

27-27

203

25

267-265

27-27

205

23

269-270

27-27

207-20&gt;

omitted

271-272

27-27

273-274

27-27

275-276

27-27

Chapter 1200

277-278

27-27

209-210

28-28

279 -- 280

27-27

211-212

28-25

251-282

27-27

213-214

30-30

283-284

27-27

214.1

30

285-256

27-27

215-216

28-25

287-285

27-27

216.1

25

259-290

27-27

217-218

30-30

291-292

27-27

218.1

30

293

27

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## Introduction

### Constitutional Basis

The Constitution of the United States pro-
vides :

"ART. 1. SEC. 8. The Congress shall have
power ... To promote the progress of science
and useful arts, by securing for limited times
to authors and inventors the exclusive right to
their respective writings and discoveries.

### Statutes

Pursuant to the provision of the Constitution.
Congress has over the years passed a number of
statutes under which the Patent Office is or-
ganized and our patent system is established.
The provisions of the statutes can in no way
be changed or waived by the Patent Office.

Prior to January 1, 1953, the law relating to
patents consisted of various sections of the Re-
vised Statutes of 1874, derived from the Pat-
ent Act of 1870 and numerous amendatory and
additional acts.

By an Act of Congress approved July 19,
1952, which came into effect on January 1.
1953, the patent laws were revised and codi-
fied into their present form. With certain excep-
tions applying to applications filed and patents
issued before January 1. 1953, this law governs
all cases in the Patent Office. The patent law is
Title 35 of the United States Code. which con-
tains 96 sections numbered from 1 to 293, with
gaps in the numbering between various chapters
of the title. In referring to a particular section
of the patent code the citation is given, for
example, as, 35 U.S.C. 31. The pamphlet "Pat-
ent Laws" (available from the Superintendent
of Documents for 35 cents) reprints the patent
code and some additional statutes.

### Rules of Practice

One of the sections of the patent statute.
namely, 35 U.S.C. 6, authorizes the Commis-
sioner of Patents, subject to the approval of
the Secretary of Commerce, to establish regula-
tions. not inconsistent with law, for the con-
duct of proceedings in the Patent Office.

These rules are set forth in a Patent Office
booklet entitled "Rules of Practice of the United
States Patent Office in Patent Cases" (available
from the Superintendent of Documents for 55
cents). These rules and the various amendments
were published in the Federal Register. In the
Federal Register and in the Code of Federal
Regulations these rules are Part 1 of Title 37.
Patents. Trademarks and Copyrights, and the
individual rules, there called sections. are num-
bered with the Part number and a decimal point
prefixed to the numbers to the rule number;
thus section 1.33 in the Federal Register and the
Code of Federal Regulations is the same as rule
33. Primarily the function of the Rules of Prac-
tice is to advise the public of the regulations
which have been established in accordance with
the statutes and which must be followed before
the Office. The Rules of Practice govern the
Examiners. as well as applicants and their
attorneys.

### Commissioner's Orders and Notices

From time to time. the Commissioner of
Patents has issued Orders and Notices relating
to various specific situations that have arisen
in operating the Patent Office. Notices and
circulars of information or instructions have
also been issued by other Office Officials under
authority of the Commissioner. Orders and
Notices have served various purposes including
directions to the Examiners giving them instruc-
tion. information, interpretations and the like.
Some may be for the information of the public.
advising what the Office will do under specified
circumstances.

### Decisions

In addition to the statutory regulations, the
actions taken by the Examiner in the examina-
tion of applications for patents are to a great
extent governed by decisions on prior cases.
Applicants dissatisfied with an Examiner's ac-
tion may have it reviewed. In general. that por-
tion of the Examiner's action pertaining to

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## MANUAL OF PATENT EXAMINING PROCEDURE

objections on formal matters may be reviewed
by petition to the Commissioner of Patents (see
$ 1002) and that portion of the Examiner's ac-
tion pertaining to the rejection of claims on the
merits, may be reviewed by appeal to the Board

of Appeals (see $ 1201). The distinction is set
forth in Rules 181 and 191. In citing decisions
as authority for his actions. the Examiner
should cite the decision in the manner set forth
in § 707.06.

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