MPEP § 2159 — Applicability Date Provisions and Determining Whether an Application Is Subject to the First Inventor To File Provisions of the AIA
Ninth Edition, Revision 01.2024 · last revised R-11.2013
Because the changes to 35 U.S.C. 102 and 35 U.S.C. 103 in the AIA apply only to specific applications filed on or after March 16, 2013, determining the effective filing date of a claimed invention for purposes of applying AIA 35 U.S.C. 102 and 103 provisions or pre-AIA 35 U.S.C. 102 and 103 provisions is critical.
Contents
- 2159.01 Applications Filed Before March 16, 2013
- 2159.02 Applications Filed on or After March 16, 2013
- 2159.03 Applications Subject to the AIA but Also Containing a Claimed Invention Having an Effective Filing Date Before March 16, 2013
- 2159.04 Applicant Statement in Transition Applications Containing a Claimed Invention Having an Effective Filing Date on or After March 16, 2013
Cited authority
Cited by
- 1440 Examination of Reissue Application
- 1449.02 Interference in Reissue
- 1449.03 Reissue Application in Derivation Proceeding
- 2103 Patent Examination Process
- 2120.01 Rejections Under 35 U.S.C. 102(a)(1) and (a)(2) and Pre-AIA 35 U.S.C. 102(a), (b), or (e): Printed Publication or Patent
- 2132 Pre-AIA 35 U.S.C. 102(a)
- 2132.01 Overcoming a Pre-AIA 35 U.S.C. 102(a) Rejection based on a Printed Publication or Patent
- 2133 Pre-AIA 35 U.S.C. 102(b)
- 2133.01 Rejections of Continuation-In-Part (CIP) Applications
- 2133.02 Rejections Based on Publications and Patents
- 2133.03(a) “Public Use”
- 2133.03(b) “On Sale”
- 2133.03(c) The “Invention”
- 2133.03(d) “In This Country”
- 2133.03(e) Permitted Activity; Experimental Use
- 2133.03(e)(1) Commercial Exploitation
- 2133.03(e)(2) Intent
- 2133.03(e)(3) “Completeness” of the Invention
- 2133.03(e)(4) Factors Indicative of an Experimental Purpose
- 2133.03(e)(5) Experimentation and Degree of Supervision and Control
- 2133.03(e)(6) Permitted Experimental Activity and Testing
- 2133.03(e)(7) Activity of an Independent Third Party Inventor
- 2134 Pre-AIA 35 U.S.C. 102(c)
- 2135 Pre-AIA 35 U.S.C. 102(d)
- 2135.01 The Four Requirements of Pre-AIA 35 U.S.C. 102(d)
- 2136 Pre-AIA 35 U.S.C. 102(e)
- 2136.01 Status of Unpublished or Published as Redacted U.S. Application as a Reference Under Pre-AIA 35 U.S.C. 102(e)
- 2136.02 Content of the Prior Art Available Against the Claims
- 2136.03 Critical Reference Date
- 2136.04 Different Inventive Entity; Meaning of “By Another”
- 2136.05 Overcoming a Rejection Under Pre-AIA 35 U.S.C. 102(e)
- 2136.05(b) Showing The Reference Is Describing An Inventor's Or At Least One Joint Inventor's Own Work
- 2137 Pre-AIA 35 U.S.C. 102(f)
- 2138 Pre-AIA 35 U.S.C. 102(g)
- 2138.01 Interference Practice
- 2138.02 “The Invention Was Made in This Country”
- 2138.03 “By Another Who Has Not Abandoned, Suppressed, or Concealed It”
- 2138.04 “Conception”
- 2138.05 “Reduction to Practice”
- 2138.06 “Reasonable Diligence”
- 2139 Rejections Under Pre-AIA 35 U.S.C. 102
- 2139.02 Determining Whether To Apply Pre-AIA 35 U.S.C. 102(a), (b), or (e)
- 2146 Pre-AIA 35 U.S.C. 103(c)
- 2146.01 Prior Art Disqualification Under Pre-AIA 35 U.S.C. 103(c)
- 2146.02 Establishing Common Ownership or Joint Research Agreement Under Pre-AIA 35 U.S.C. 103(c)
- 2146.03 Examination Procedure With Respect to Pre-AIA 35 U.S.C. 103(c)
- 2146.03(a) Provisional Rejection (Obviousness) Under 35 U.S.C. 103(a) Using Provisional Prior Art Under Pre-AIA 35 U.S.C. 102(e)
- 2147 Biotechnology Process Applications; Pre-AIA 35 U.S.C. 103(b)
- 2150 Examination Guidelines for 35 U.S.C. 102 and 103 as Amended by the First Inventor To File Provisions of the Leahy-Smith America Invents Act
- 2151 Overview of the Changes to 35 U.S.C. 102 and 103 in the AIA
- 2152 Detailed Discussion of AIA 35 U.S.C. 102(a) and (b)
- 2152.01 Effective Filing Date of the Claimed Invention
- 2152.02 Prior Art Under AIA 35 U.S.C. 102(a)(1) (Patented, Described in a Printed Publication, or in Public Use, on Sale, or Otherwise Available to the Public)
- 2152.02(a) Patented
- 2152.02(b) Described in a Printed Publication
- 2152.02(c) In Public Use
- 2152.02(d) On Sale
- 2152.02(e) Otherwise Available to the Public
- 2152.02(f) No Requirement of “By Others”
- 2152.03 Admissions
- 2152.04 The Meaning of “Disclosure”
- 2152.05 Determining Whether To Apply 35 U.S.C. 102(a)(1) or 102(a)(2)
- 2152.06 Overcoming a 35 U.S.C. 102(a)(1) or 102(a)(2) Rejection
- 2153 Prior Art Exceptions Under 35 U.S.C. 102(b)(1) to AIA 35 U.S.C. 102(a)(1)
- 2153.01 Prior Art Exception Under AIA 35 U.S.C. 102(b)(1)(A) To AIA 35 U.S.C. 102(a)(1) (Grace Period Inventor-Originated Disclosure Exception)
- 2153.01(a) Grace Period Inventor-Originated Disclosure Exception
- 2153.02 Prior Art Exception Under AIA 35 U.S.C. 102(b)(1)(B) to AIA 35 U.S.C. 102(a)(1) (Inventor-Originated Prior Public Disclosure Exception)
- 2154 Provisions Pertaining to Subject Matter in a U.S. Patent or Application Effectively Filed Before the Effective Filing Date of the Claimed Invention
- 2154.01 Prior Art Under AIA 35 U.S.C. 102(a)(2) “U.S. Patent Documents”
- 2154.01(a) WIPO Published Applications
- 2154.01(b) Determining When Subject Matter Was Effectively Filed Under AIA 35 U.S.C. 102(d)
- 2154.01(c) Requirement Of “Names Another Inventor”
- 2154.02 Prior Art Exceptions Under 35 U.S.C. 102(b)(2) to AIA 35 U.S.C. 102(a)(2)
- 2154.02(a) Prior Art Exception Under AIA 35 U.S.C. 102(b)(2)(A) to AIA 35 U.S.C. 102(a)(2) (Inventor-Originated Disclosure Exception)
- 2154.02(b) Prior Art Exception Under AIA 35 U.S.C. 102(b)(2)(B) to AIA 35 U.S.C. 102(a)(2) (Inventor-Originated Prior Public Disclosure Exception)
- 2154.02(c) Prior Art Exception Under AIA 35 U.S.C. 102(b)(2)(C) to AIA 35 U.S.C. 102(a)(2) (Common Ownership or Obligation of Assignment)
- 2155 Use of Affidavits or Declarations Under 37 CFR 1.130 To Overcome Prior Art Rejections
- 2155.01 Showing That the Disclosure Was Made by the Inventor or a Joint Inventor
- 2155.02 Showing That the Subject Matter Disclosed Had Been Previously Publicly Disclosed by the Inventor or a Joint Inventor
- 2155.03 Showing That the Disclosure was Made, or That Subject Matter had Been Previously Publicly Disclosed, by Another Who Obtained the Subject Matter Disclosed Directly or Indirectly From the Inventor or a Joint Inventor
- 2155.04 Enablement
- 2155.05 Who May File an Affidavit or Declaration Under 37 CFR 1.130
- 2155.06 Situations in Which an Affidavit or Declaration Is Not Available
- 2156 Joint Research Agreements
- 2157 Improper Naming of Inventors
- 2158 AIA 35 U.S.C. 103
- 2159.04 Applicant Statement in Transition Applications Containing a Claimed Invention Having an Effective Filing Date on or After March 16, 2013
- 2301.04 Applicability of 35 U.S.C. 102(g) to Applications filed on or after March 16, 2013
- 708.02(a) Accelerated Examination
- 715 Swearing Behind a Reference — Affidavit or Declaration Under 37 CFR 1.131(a)
- 715.01 37 CFR 1.131(a) Affidavits Versus 37 CFR 1.132 Affidavits
- 715.01(a) Reference Is a Patent or Published Application Naming Different Inventive Entity With at Least One Common Inventor
- 715.01(b) Reference and Application Have Common Assignee
- 715.01(c) Reference Is Publication of Inventor’s Own Invention
- 715.01(d) Activities Applied Against the Claims
- 715.02 How Much of the Claimed Invention Must Be Shown, Including the General Rule as to Generic Claims
- 715.03 Genus-Species, Practice Relative to Cases Where Predictability Is in Question
- 715.04 Who May Make Affidavit or Declaration Under 37 CFR 1.131(a); Formal Requirements of Affidavits and Declarations
- 715.05 U.S. Patent or Application Publication Claiming Same Invention
- 715.07 Facts and Documentary Evidence
- 715.07(a) Diligence
- 715.07(b) Interference Testimony Sometimes Used
- 715.07(c) Acts Relied Upon Must Have Been Carried Out in This Country or a NAFTA or WTO Member Country
- 715.10 Review of Affidavit or Declaration for Evidence of Prior Public Use or Sale or Failure to Disclose Best Mode
- 716.10 Attribution Affidavit or Declaration to Overcome Rejection Under Pre-AIA 35 U.S.C. 102 or 103
- 717 Prior Art Exceptions under AIA 35 U.S.C. 102(b)(1) and (2)
- 717.01 Affidavit or Declaration Under 37 CFR 1.130
- 717.01(a) Declarations or Affidavits under 37 CFR 1.130(a) – Attribution
- 717.01(a)(1) Evaluation of Declarations or Affidavits under 37 CFR 1.130(a)
- 717.01(b) Declarations or Affidavits under 37 CFR 1.130(b) – Prior Public Disclosure
- 717.01(b)(1) Evaluation of Declarations or Affidavits under 37 CFR 1.130(b)
- 717.01(b)(2) Determining if the Subject Matter of the Intervening Disclosure is the Same as the Subject Matter of the Inventor–Originated Prior Public Disclosure
- 717.01(c) Who May Make Affidavit or Declaration; Formal Requirements of Affidavits and Declarations
- 717.01(d) U.S. Patent or Application Publication Claiming Same Invention
- 717.02 Prior Art Exception for Commonly Owned or Joint Research Agreement Subject Matter under AIA 35 U.S.C. 102(b)(2)(C)
- 717.02(a) Invoking the Prior Art Exception under 35 U.S.C. 102(b)(2)(C)
- 717.02(b) Evaluating Whether the Prior Art Exception under AIA 35 U.S.C. 102(b)(2)(C) is Properly Invoked
- 717.02(c) Examination Procedure With Respect to the Prior Art Exception under AIA 35 U.S.C. 102(b)(2)(C)
- 717.02(d) Form Paragraphs With Respect to the Prior Art Exception under AIA 35 U.S.C. 102(b)(2)(C)
- 718 Affidavit or Declaration to Disqualify Commonly Owned Patent as Prior Art, 37 CFR 1.131(c)
- 804 Definition of Double Patenting