MPEP § 2174 — Relationship Between the Requirements of 35 U.S.C. 112(a) and (b) or Pre-AIA 35 U.S.C. 112, First and Second Paragraphs (Annotated Rules)

§2174 Relationship Between the Requirements of 35 U.S.C. 112(a) and (b) or Pre-AIA 35 U.S.C. 112, First and Second Paragraphs

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 2174, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Relationship Between the Requirements of 35 U.S.C. 112(a) and (b) or Pre-AIA 35 U.S.C. 112, First and Second Paragraphs

This section addresses Relationship Between the Requirements of 35 U.S.C. 112(a) and (b) or Pre-AIA 35 U.S.C. 112, First and Second Paragraphs. Primary authority: 35 U.S.C. 112(a), 35 U.S.C. 112, and 35 U.S.C. 112(b). Contains: 1 guidance statement, 2 permissions, and 4 other statements.

Key Rules

Topic

Alternative Limitations (MPEP 2173.05(h))

3 rules
StatutoryInformativeAlways
[mpep-2174-75cd15ec946617719c0ee189]
Specification and Claims Must Meet Separate Standards
Note:
The disclosure in the specification must cover the invention as claimed, but failure to do so results in an insufficient disclosure rather than indefiniteness under section 112(a), not a claim issue.

The requirements of 35 U.S.C. 112(a) and (b) or the first and second paragraphs of pre-AIA 35 U.S.C. 112 are separate and distinct. If a description or the enabling disclosure of a specification is not commensurate in scope with the subject matter encompassed by a claim, that fact alone does not render the claim imprecise or indefinite or otherwise not in compliance with 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph; rather, the claim is based on an insufficient disclosure (35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph) and should be rejected on that ground. In re Borkowski, 422 F.2d 904, 164 USPQ 642 (CCPA 1970). If the specification discloses that a particular feature or element is critical or essential to the practice of the invention, failure to recite or include that particular feature or element in the claims may provide a basis for a rejection based on the ground that those claims are not supported by an enabling disclosure. In re Mayhew, 527 F.2d 1229, 188 USPQ 356 (CCPA 1976). In Mayhew, the examiner argued that the only mode of operation of the process disclosed in the specification involved the use of a cooling zone at a particular location in the processing cycle. The claims were rejected because they failed to specify either a cooling step or the location of the step in the process. The court was convinced that the cooling bath and its location were essential, and held that claims which failed to recite the use of a cooling zone, specifically located, were not supported by an enabling disclosure (35 U.S.C. 112, first paragraph).

Jump to MPEP SourceAlternative Limitations (MPEP 2173.05(h))Lack of Antecedent Basis (MPEP 2173.05(e))Disclosure Requirements
StatutoryRecommendedAlways
[mpep-2174-07c13ede20cb585f79b9d316]
Claim Support Requirement
Note:
Claims must be supported by an enabling disclosure in the specification, not just commensurate with the claim scope.

The requirements of 35 U.S.C. 112(a) and (b) or the first and second paragraphs of pre-AIA 35 U.S.C. 112 are separate and distinct. If a description or the enabling disclosure of a specification is not commensurate in scope with the subject matter encompassed by a claim, that fact alone does not render the claim imprecise or indefinite or otherwise not in compliance with 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph; rather, the claim is based on an insufficient disclosure (35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph) and should be rejected on that ground. In re Borkowski, 422 F.2d 904, 164 USPQ 642 (CCPA 1970). If the specification discloses that a particular feature or element is critical or essential to the practice of the invention, failure to recite or include that particular feature or element in the claims may provide a basis for a rejection based on the ground that those claims are not supported by an enabling disclosure. In re Mayhew, 527 F.2d 1229, 188 USPQ 356 (CCPA 1976). In Mayhew, the examiner argued that the only mode of operation of the process disclosed in the specification involved the use of a cooling zone at a particular location in the processing cycle. The claims were rejected because they failed to specify either a cooling step or the location of the step in the process. The court was convinced that the cooling bath and its location were essential, and held that claims which failed to recite the use of a cooling zone, specifically located, were not supported by an enabling disclosure (35 U.S.C. 112, first paragraph).

Jump to MPEP SourceAlternative Limitations (MPEP 2173.05(h))Lack of Antecedent Basis (MPEP 2173.05(e))
StatutoryInformativeAlways
[mpep-2174-a8b801137ab1568a97af700d]
Claims Must Specify Cooling Step or Location
Note:
Claims must include a cooling step or specify the location of such a step to be supported by the specification.

The requirements of 35 U.S.C. 112(a) and (b) or the first and second paragraphs of pre-AIA 35 U.S.C. 112 are separate and distinct. If a description or the enabling disclosure of a specification is not commensurate in scope with the subject matter encompassed by a claim, that fact alone does not render the claim imprecise or indefinite or otherwise not in compliance with 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph; rather, the claim is based on an insufficient disclosure (35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph) and should be rejected on that ground. In re Borkowski, 422 F.2d 904, 164 USPQ 642 (CCPA 1970). If the specification discloses that a particular feature or element is critical or essential to the practice of the invention, failure to recite or include that particular feature or element in the claims may provide a basis for a rejection based on the ground that those claims are not supported by an enabling disclosure. In re Mayhew, 527 F.2d 1229, 188 USPQ 356 (CCPA 1976). In Mayhew, the examiner argued that the only mode of operation of the process disclosed in the specification involved the use of a cooling zone at a particular location in the processing cycle. The claims were rejected because they failed to specify either a cooling step or the location of the step in the process. The court was convinced that the cooling bath and its location were essential, and held that claims which failed to recite the use of a cooling zone, specifically located, were not supported by an enabling disclosure (35 U.S.C. 112, first paragraph).

Jump to MPEP SourceAlternative Limitations (MPEP 2173.05(h))Lack of Antecedent Basis (MPEP 2173.05(e))Optional Claim Content
Topic

Lack of Antecedent Basis (MPEP 2173.05(e))

2 rules
StatutoryInformativeAlways
[mpep-2174-c7d88e6a5970cf190582f510]
Claims Must Be Supported by Specification
Note:
The claims must include all essential features disclosed in the specification to be supported.

The requirements of 35 U.S.C. 112(a) and (b) or the first and second paragraphs of pre-AIA 35 U.S.C. 112 are separate and distinct. If a description or the enabling disclosure of a specification is not commensurate in scope with the subject matter encompassed by a claim, that fact alone does not render the claim imprecise or indefinite or otherwise not in compliance with 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph; rather, the claim is based on an insufficient disclosure (35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph) and should be rejected on that ground. In re Borkowski, 422 F.2d 904, 164 USPQ 642 (CCPA 1970). If the specification discloses that a particular feature or element is critical or essential to the practice of the invention, failure to recite or include that particular feature or element in the claims may provide a basis for a rejection based on the ground that those claims are not supported by an enabling disclosure. In re Mayhew, 527 F.2d 1229, 188 USPQ 356 (CCPA 1976). In Mayhew, the examiner argued that the only mode of operation of the process disclosed in the specification involved the use of a cooling zone at a particular location in the processing cycle. The claims were rejected because they failed to specify either a cooling step or the location of the step in the process. The court was convinced that the cooling bath and its location were essential, and held that claims which failed to recite the use of a cooling zone, specifically located, were not supported by an enabling disclosure (35 U.S.C. 112, first paragraph).

Jump to MPEP SourceLack of Antecedent Basis (MPEP 2173.05(e))Use Claims (MPEP 2173.05(q))Patent Application Content
StatutoryInformativeAlways
[mpep-2174-164023bb0faac1384a5d0692]
Claims Must Include Cooling Zone Location
Note:
Claims must specify the use of a cooling zone and its location to be supported by an enabling disclosure.

The requirements of 35 U.S.C. 112(a) and (b) or the first and second paragraphs of pre-AIA 35 U.S.C. 112 are separate and distinct. If a description or the enabling disclosure of a specification is not commensurate in scope with the subject matter encompassed by a claim, that fact alone does not render the claim imprecise or indefinite or otherwise not in compliance with 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph; rather, the claim is based on an insufficient disclosure (35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph) and should be rejected on that ground. In re Borkowski, 422 F.2d 904, 164 USPQ 642 (CCPA 1970). If the specification discloses that a particular feature or element is critical or essential to the practice of the invention, failure to recite or include that particular feature or element in the claims may provide a basis for a rejection based on the ground that those claims are not supported by an enabling disclosure. In re Mayhew, 527 F.2d 1229, 188 USPQ 356 (CCPA 1976). In Mayhew, the examiner argued that the only mode of operation of the process disclosed in the specification involved the use of a cooling zone at a particular location in the processing cycle. The claims were rejected because they failed to specify either a cooling step or the location of the step in the process. The court was convinced that the cooling bath and its location were essential, and held that claims which failed to recite the use of a cooling zone, specifically located, were not supported by an enabling disclosure (35 U.S.C. 112, first paragraph).

Jump to MPEP SourceLack of Antecedent Basis (MPEP 2173.05(e))Use Claims (MPEP 2173.05(q))Disclosure Requirements
Topic

Optional Claim Content

1 rules
StatutoryPermittedAlways
[mpep-2174-c477756c48bba00e63c2fef4]
Claims Must Be Supported by Specification
Note:
If the specification identifies a feature as critical, claims lacking that feature are not supported and may be rejected.

The requirements of 35 U.S.C. 112(a) and (b) or the first and second paragraphs of pre-AIA 35 U.S.C. 112 are separate and distinct. If a description or the enabling disclosure of a specification is not commensurate in scope with the subject matter encompassed by a claim, that fact alone does not render the claim imprecise or indefinite or otherwise not in compliance with 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph; rather, the claim is based on an insufficient disclosure (35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph) and should be rejected on that ground. In re Borkowski, 422 F.2d 904, 164 USPQ 642 (CCPA 1970). If the specification discloses that a particular feature or element is critical or essential to the practice of the invention, failure to recite or include that particular feature or element in the claims may provide a basis for a rejection based on the ground that those claims are not supported by an enabling disclosure. In re Mayhew, 527 F.2d 1229, 188 USPQ 356 (CCPA 1976). In Mayhew, the examiner argued that the only mode of operation of the process disclosed in the specification involved the use of a cooling zone at a particular location in the processing cycle. The claims were rejected because they failed to specify either a cooling step or the location of the step in the process. The court was convinced that the cooling bath and its location were essential, and held that claims which failed to recite the use of a cooling zone, specifically located, were not supported by an enabling disclosure (35 U.S.C. 112, first paragraph).

Jump to MPEP SourceOptional Claim ContentAlternative Limitations (MPEP 2173.05(h))Lack of Antecedent Basis (MPEP 2173.05(e))
Topic

Reissue Filing Requirements

1 rules
StatutoryPermittedAlways
[mpep-2174-7d41165d1c61794d0ad2fe87]
Claims Must Be Supported by Description
Note:
A claim cannot include an invention not described in the original application as filed, and must be supported by the written description to avoid rejection under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.

In addition, if a claim is amended to include an invention that is not described in the application as filed, a rejection of that claim under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, as being directed to subject matter that is not described in the specification as filed may be appropriate. In re Simon, 302 F.2d 737, 133 USPQ 524 (CCPA 1962). In Simon, which involved a reissue application containing claims to a reaction product of a composition, applicant presented claims to a reaction product of a composition comprising the subcombination A+B+C, whereas the original claims and description of the invention were directed to a composition comprising the combination A+B+C+D+E. The court found no significant support for the argument that ingredients D+E were not essential to the claimed reaction product and concluded that claims directed to the reaction product of a subcombination A+B+C were not described (35 U.S.C. 112, first paragraph) in the application as filed. See also In re Panagrossi, 277 F.2d 181, 125 USPQ 410 (CCPA 1960).

Jump to MPEP SourceReissue Filing RequirementsAIA vs Pre-AIA PracticeAssignee as Applicant Signature
Topic

Assignee as Applicant Signature

1 rules
StatutoryInformativeAlways
[mpep-2174-f9dcd6fa5359dad86e429a44]
Claims Must Describe Entire Invention
Note:
Claims directed to a subcombination of an invention must be supported by the written description of the entire invention as filed.

In addition, if a claim is amended to include an invention that is not described in the application as filed, a rejection of that claim under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, as being directed to subject matter that is not described in the specification as filed may be appropriate. In re Simon, 302 F.2d 737, 133 USPQ 524 (CCPA 1962). In Simon, which involved a reissue application containing claims to a reaction product of a composition, applicant presented claims to a reaction product of a composition comprising the subcombination A+B+C, whereas the original claims and description of the invention were directed to a composition comprising the combination A+B+C+D+E. The court found no significant support for the argument that ingredients D+E were not essential to the claimed reaction product and concluded that claims directed to the reaction product of a subcombination A+B+C were not described (35 U.S.C. 112, first paragraph) in the application as filed. See also In re Panagrossi, 277 F.2d 181, 125 USPQ 410 (CCPA 1960).

Jump to MPEP SourceAssignee as Applicant SignatureApplicant and Assignee Filing Under AIAReissue Application Filing

Citations

Primary topicCitation
Alternative Limitations (MPEP 2173.05(h))
Assignee as Applicant Signature
Lack of Antecedent Basis (MPEP 2173.05(e))
Optional Claim Content
Reissue Filing Requirements
35 U.S.C. § 112
Alternative Limitations (MPEP 2173.05(h))
Assignee as Applicant Signature
Lack of Antecedent Basis (MPEP 2173.05(e))
Optional Claim Content
Reissue Filing Requirements
35 U.S.C. § 112(a)
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
Optional Claim Content
35 U.S.C. § 112(b)
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
Optional Claim Content
In re Borkowski, 422 F.2d 904, 164 USPQ 642 (CCPA 1970)
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
Optional Claim Content
In re Mayhew, 527 F.2d 1229, 188 USPQ 356 (CCPA 1976)
Assignee as Applicant Signature
Reissue Filing Requirements
In re Panagrossi, 277 F.2d 181, 125 USPQ 410 (CCPA 1960)
Assignee as Applicant Signature
Reissue Filing Requirements
In re Simon, 302 F.2d 737, 133 USPQ 524 (CCPA 1962)

Source Text from USPTO’s MPEP

This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.

BlueIron Last Updated: 2025-12-31