MPEP § 1504.02 — Novelty (Annotated Rules)

§1504.02 Novelty

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

This page consolidates and annotates all enforceable requirements under MPEP § 1504.02, 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.

Novelty

This section addresses Novelty. Primary authority: 35 U.S.C. 102, 35 U.S.C. 171, and 35 U.S.C. 102(b). Contains: 3 requirements, 5 prohibitions, 2 guidance statements, 2 permissions, and 9 other statements.

Key Rules

Topic

AIA Effective Dates

17 rules
StatutoryRequiredAlways
[mpep-1504-02-794b6c37bf01fbbf7c8c7692]
Prior Art Rejection Requirement for Applications Claiming Priority
Note:
This rule requires the use of a specific form paragraph in Office Actions when making prior art rejections in applications filed on or after March 16, 2013 that claim priority to an earlier application.

1. This form paragraph must be used in all Office Actions when a prior art rejection is made in an application with an actual filing date on or after March 16, 2013 that claims priority to, or the benefit of, an application filed before March 16, 2013.

35 U.S.C.AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRequiredAlways
[mpep-1504-02-372a44a0813eb322f8c5521d]
Priority Claim Must Precede Certain Paragraphs
Note:
For applications filed on or after March 16, 2013, claiming priority to an earlier application, form paragraphs 15.10.aia and 15.10.15 must precede the paragraph claiming priority.

2. For applications with an actual filing date on or after March 16, 2013 that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraphs 15.10.aia and 15.10.15.

35 U.S.C.AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRequiredAlways
[mpep-1504-02-66b9d78a495910941710b6ca]
Priority Claim Must Precede Certain Paragraphs
Note:
For applications claiming priority to an earlier application filed before March 16, 2013, form paragraphs 15.10.aia and 15.10.15 must precede the paragraph stating the priority claim.

2. For applications claiming priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraphs 15.10.aia and 15.10.15.

35 U.S.C.AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRecommendedAlways
[mpep-1504-02-8712d805f3aa4f46513f2a2a]
Claims Examined Under AIA After March 16, 2013
Note:
This form paragraph must be used for claims filed on or after March 16, 2013, when examined under the amended 35 U.S.C. 102/103.

3. This form paragraph should only be used in an application filed on or after March 16, 2013, where the claims are being examined under 35 U.S.C. 102 / 103 as amended by the AIA.

35 U.S.C.AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRequiredAlways
[mpep-1504-02-a5b2c551d58fa4e3c8bee108]
Priority Claim Must Precede Specific Paragraphs
Note:
For applications filed on or after March 16, 2013, any priority claim must be preceded by specific form paragraphs.

For applications with an actual filing date on or after March 16, 2013 that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraphs 15.10.aia and 15.10.15.

Jump to MPEP SourceAIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRequiredAlways
[mpep-1504-02-c04caea0918949131f8dcc18]
Priority Claim Requires Preceding Paragraphs
Note:
For applications filed on or after March 16, 2013, claiming priority to an earlier application, form paragraphs 15.10.fti and 15.10.15 must precede the specified paragraph.

For applications with an actual filing date on or after March 16, 2013, that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraphs 15.10.fti and 15.10.15.

Jump to MPEP SourceAIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRequiredAlways
[mpep-1504-02-0ee6d3b5715824cc3d5c0683]
Priority Claim Requires Pre-2013 Filing
Note:
For applications claiming priority to an earlier application filed before March 16, 2013, the form paragraph must be preceded by specific paragraphs.

3. For applications claiming priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraphs 15.10.aia and 15.10.15.

35 U.S.C.AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRecommendedAlways
[mpep-1504-02-4057db88113a384065a391f2]
Claims Examined Under AIA After March 16, 2013
Note:
This form paragraph must be used for claims examined under the amended 35 U.S.C. 102/103 after March 16, 2013.

4. This form paragraph should only be used in an application filed on or after March 16, 2013, where the claims are being examined under 35 U.S.C. 102 / 103 as amended by the AIA.

35 U.S.C.AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRequiredAlways
[mpep-1504-02-1d6677bff671fd453fa3d411]
Priority Claim Requires Pre-2013 Filing
Note:
For applications claiming priority to an application filed before March 16, 2013, form paragraphs 15.10.aia and 15.10.15 must precede the current paragraph.

3. For applications claiming priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraphs 15.10.aia and 15.10.15.

35 U.S.C.AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
MPEP GuidanceRecommendedAlways
[mpep-1504-02-360f87e9f970e6a1b7e1910a]
Requirement for Applications Filed After March 15, 2013
Note:
This rule requires the use of a specific form paragraph in applications filed on or after March 16, 2013, that are subject to pre-AIA prior art provisions.

This form paragraph should be used in any application filed on or after March 16, 2013, that is subject to the pre-AIA prior art provisions.

Jump to MPEP SourceAIA Effective DatesPre-AIA 102(e) – Earlier US Applications (MPEP 2136)AIA Overview and Effective Dates
MPEP GuidanceRequiredAlways
[mpep-1504-02-80171eafe497e7ceeddae36b]
Form Paragraph Precedence for Priority Claims
Note:
For applications filed on or after March 16, 2013, claiming priority to an earlier application, form paragraph 15.10.15 must precede the current form paragraph.

2. For applications with an actual filing date on or after March 16, 2013 that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraph 15.10.15.

MPEP § 1504.02AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
MPEP GuidanceRequiredAlways
[mpep-1504-02-6766ee33602e14913fe89b86]
Priority Claim Must Be Preceded by Form Paragraph 15.10.15 for AIA Applications
Note:
For applications filed on or after March 16, 2013, claiming priority to an earlier application, form paragraph 15.10.15 must precede the priority claim.

2. For applications with an actual filing date on or after March 16, 2013, that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraph 15.10.15.

MPEP § 1504.02AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
MPEP GuidanceRequiredAlways
[mpep-1504-02-7b6a4f3468b13e3ae7fc0f92]
Form Paragraph 15.10.15 Required for Priority Claim
Note:
For applications filed on or after March 16, 2013, claiming priority to an earlier application, form paragraph 15.10.15 must precede the priority claim.

2. For applications with an actual filing date on or after March 16, 2013, that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraph 15.10.15.

MPEP § 1504.02AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
MPEP GuidanceRequiredAlways
[mpep-1504-02-d4d3e0ac3cc97f8f5c4c74b5]
Form Paragraph Precedence for Priority Claims
Note:
For applications filed on or after March 16, 2013, claiming priority to an earlier application, form paragraph 15.10.15 must precede the main form paragraph.

3. For applications with an actual filing date on or after March 16, 2013, that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraph 15.10.15.

MPEP § 1504.02AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
MPEP GuidanceRequiredAlways
[mpep-1504-02-434dee095c0cb59297695a59]
Form Paragraph Precedence for Priority Claims
Note:
For applications filed on or after March 16, 2013, claiming priority to an earlier application, form paragraph 15.10.15 must precede the current form paragraph.

4. For applications with an actual filing date on or after March 16, 2013, that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraph 15.10.15.

MPEP § 1504.02AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
MPEP GuidanceRequiredAlways
[mpep-1504-02-01e44866b9d4fcbff1529f04]
Form Paragraph 15.10.15 Required for Pre-AIA Priority Claims
Note:
For applications filed on or after March 16, 2013, claiming priority to an earlier application, form paragraph 15.10.15 must precede the claim.

3. For applications with an actual filing date on or after March 16, 2013, that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraph 15.10.15.

MPEP § 1504.02AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
MPEP GuidanceRequiredAlways
[mpep-1504-02-3c0082df90c2a28e43ea5ddf]
Form Paragraph Precedence for Priority Claims
Note:
For applications filed on or after March 16, 2013, claiming priority to an earlier application, form paragraph 15.10.15 must precede the main form paragraph.

3. For applications with an actual filing date on or after March 16, 2013, that claim priority to, or the benefit of, an application filed before March 16, 2013, this form paragraph must be preceded by form paragraph 15.10.15.

MPEP § 1504.02AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
Topic

35 U.S.C. 102 – Novelty / Prior Art

13 rules
StatutoryRequiredAlways
[mpep-1504-02-05e006dc3ae515c41600fcda]
Invention Must Not Be Publicly Known Before Filing
Note:
A patent is not granted if the invention was previously described in a publication, patented, or publicly used before the filing date.
(a) NOVELTY; PRIOR ART.—A person shall be entitled to a patent unless—
  • (1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention; or
  • (2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Jump to MPEP SourceNovelty / Prior ArtOn Sale (MPEP 2152.02(d))Otherwise Available to the Public (MPEP 2152.02(e))
StatutoryProhibitedAlways
[mpep-1504-02-f06e06db3786e3a0acb72338]
Exceptions to Prior Art Disclosures by Inventors
Note:
This rule outlines exceptions where disclosures made within one year of the filing date do not count as prior art if they come from the inventor or someone who received the information directly from them.
(b) EXCEPTIONS.—
  • (1) DISCLOSURES MADE 1 YEAR OR LESS BEFORE THE EFFECTIVE FILING DATE OF THE CLAIMED INVENTION.—A disclosure made 1 year or less before the effective filing date of a claimed invention shall not be prior art to the claimed invention under subsection (a)(1) if—
    • (A) the disclosure was made by the inventor or joint inventor or by another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor; or
    • (B) the subject matter disclosed had, before such disclosure, been publicly disclosed by the inventor or a joint inventor or another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor.
  • (2) DISCLOSURES APPEARING IN APPLICATIONS AND PATENTS.—A disclosure shall not be prior art to a claimed invention under subsection (a)(2) if—
    • (A) the subject matter disclosed was obtained directly or indirectly from the inventor or a joint inventor;
    • (B) the subject matter disclosed had, before such subject matter was effectively filed under subsection (a)(2), been publicly disclosed by the inventor or a joint inventor or another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor; or
    • (C) the subject matter disclosed and the claimed invention, not later than the effective filing date of the claimed invention, were owned by the same person or subject to an obligation of assignment to the same person.
Jump to MPEP SourceNovelty / Prior ArtBy Another Inventor RequirementEffectively Filed Date for 102(a)(2)
StatutoryProhibitedAlways
[mpep-1504-02-06d29a645677894936d90ee6]
Disclosure by Inventor Not Prior Art
Note:
A disclosure made within a year of the filing date is not prior art if it was publicly disclosed by the inventor or someone who obtained the subject matter from the inventor.

(b) EXCEPTIONS.—
(1) DISCLOSURES MADE 1 YEAR OR LESS BEFORE THE EFFECTIVE FILING DATE OF THE CLAIMED INVENTION.—A disclosure made 1 year or less before the effective filing date of a claimed invention shall not be prior art to the claimed invention under subsection (a)(1) if—

(B) the subject matter disclosed had, before such disclosure, been publicly disclosed by the inventor or a joint inventor or another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor.

Jump to MPEP SourceNovelty / Prior ArtEffective Filing Date Under 102 (MPEP 2152.01)Prior Art Under 102(a)(1) (MPEP 2152.02)
StatutoryProhibitedAlways
[mpep-1504-02-591f2075ba505453648010a4]
Disclosure in Patents Not Prior Art
Note:
A disclosure in an application or patent is not considered prior art for a claimed invention.
(2) DISCLOSURES APPEARING IN APPLICATIONS AND PATENTS.—A disclosure shall not be prior art to a claimed invention under subsection (a)(2) if—
  • (A) the subject matter disclosed was obtained directly or indirectly from the inventor or a joint inventor;
  • (B) the subject matter disclosed had, before such subject matter was effectively filed under subsection (a)(2), been publicly disclosed by the inventor or a joint inventor or another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor; or
  • (C) the subject matter disclosed and the claimed invention, not later than the effective filing date of the claimed invention, were owned by the same person or subject to an obligation of assignment to the same person.
Jump to MPEP SourceNovelty / Prior ArtEffectively Filed Date for 102(a)(2)Prior Art Under 102(a)(2) – Earlier Filed Applications (MPEP 2154)
StatutoryRequiredAlways
[mpep-1504-02-be87f48ffae1a10aaf81cb38]
Invention Priority Considerations
Note:
When determining priority of invention, both the dates of conception and reduction to practice are considered, along with the reasonable diligence of the inventor.

A person shall be entitled to a patent unless —

In determining priority of invention under this subsection, there shall be considered not only the respective dates of conception and reduction to practice of the invention, but also the reasonable diligence of one who was first to conceive and last to reduce to practice, from a time prior to conception by the other.

Jump to MPEP SourceNovelty / Prior ArtBy Another Inventor RequirementPrior Art Under 102(a)(2) – Earlier Filed Applications (MPEP 2154)
StatutoryInformativeAlways
[mpep-1504-02-9d42bf2a41c1cb73c4e7f298]
Consider Overall Design Not Isolated Features
Note:
When applying the ordinary observer test, consider the design as a whole rather than isolated ornamental features.

The ordinary observer test requires consideration of the design as a whole. See Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008; Egyptian Goddess, 543 F.3d at 677, 88 USPQ2d 1667. In applying the ordinary observer test, “determine whether ‘the deception that arises is a result of the similarities in the overall design not of similarities in ornamental features in isolation.’” See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010), citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006) (holding that the overall infringement test is not to be converted to an element-by-element comparison when factoring out the functional aspects of various design elements). See Apple Inc. v. Samsung Elecs. Co., 786 F.3d 983, 998, 114 USPQ2d 1953, 1962 (Fed. Cir. 2015); Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015); and Sport Dimension, Inc. v. Coleman Co. Inc., 820 F.3d, 1316, 1320-21, 118 USPQ2d 1607, 1609-10 (Fed. Cir. 2016). “The mandated overall comparison is a comparison taking into account significant differences between the two designs, not minor or trivial differences that necessarily exist between any two designs that are not exact copies of one another.” Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008. “Just as minor differences between a patented design and an accused article's design cannot, and shall not, prevent a finding of infringement, so too minor differences cannot prevent a finding of anticipation.” Id. (internal quotation marks omitted).

Jump to MPEP SourceNovelty / Prior ArtPatented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)
StatutoryInformativeAlways
[mpep-1504-02-c4e4f94a82cd39dadeb426f7]
Design Must Be Compared as a Whole for Infringement
Note:
The ordinary observer test requires comparing the overall design, not just individual ornamental features, to determine if there is infringement.

The ordinary observer test requires consideration of the design as a whole. See Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008; Egyptian Goddess, 543 F.3d at 677, 88 USPQ2d 1667. In applying the ordinary observer test, “determine whether ‘the deception that arises is a result of the similarities in the overall design not of similarities in ornamental features in isolation.’” See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010), citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006) (holding that the overall infringement test is not to be converted to an element-by-element comparison when factoring out the functional aspects of various design elements). See Apple Inc. v. Samsung Elecs. Co., 786 F.3d 983, 998, 114 USPQ2d 1953, 1962 (Fed. Cir. 2015); Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015); and Sport Dimension, Inc. v. Coleman Co. Inc., 820 F.3d, 1316, 1320-21, 118 USPQ2d 1607, 1609-10 (Fed. Cir. 2016). “The mandated overall comparison is a comparison taking into account significant differences between the two designs, not minor or trivial differences that necessarily exist between any two designs that are not exact copies of one another.” Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008. “Just as minor differences between a patented design and an accused article's design cannot, and shall not, prevent a finding of infringement, so too minor differences cannot prevent a finding of anticipation.” Id. (internal quotation marks omitted).

Jump to MPEP SourceNovelty / Prior ArtPatented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)
StatutoryInformativeAlways
[mpep-1504-02-65aa0c2032de0fd5cc849bf1]
Infringement Determined by Overall Design Not Ornamental Features Alone
Note:
When applying the ordinary observer test, infringement is determined by overall design similarities rather than isolated ornamental features.

The ordinary observer test requires consideration of the design as a whole. See Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008; Egyptian Goddess, 543 F.3d at 677, 88 USPQ2d 1667. In applying the ordinary observer test, “determine whether ‘the deception that arises is a result of the similarities in the overall design not of similarities in ornamental features in isolation.’” See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010), citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006) (holding that the overall infringement test is not to be converted to an element-by-element comparison when factoring out the functional aspects of various design elements). See Apple Inc. v. Samsung Elecs. Co., 786 F.3d 983, 998, 114 USPQ2d 1953, 1962 (Fed. Cir. 2015); Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015); and Sport Dimension, Inc. v. Coleman Co. Inc., 820 F.3d, 1316, 1320-21, 118 USPQ2d 1607, 1609-10 (Fed. Cir. 2016). “The mandated overall comparison is a comparison taking into account significant differences between the two designs, not minor or trivial differences that necessarily exist between any two designs that are not exact copies of one another.” Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008. “Just as minor differences between a patented design and an accused article's design cannot, and shall not, prevent a finding of infringement, so too minor differences cannot prevent a finding of anticipation.” Id. (internal quotation marks omitted).

Jump to MPEP SourceNovelty / Prior ArtPatented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)
StatutoryInformativeAlways
[mpep-1504-02-b55750246ee6b19fb405a7aa]
Infringement Not Element-by-Element Comparison
Note:
The overall design must be compared, factoring out functional aspects without converting the test to an element-by-element comparison.

The ordinary observer test requires consideration of the design as a whole. See Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008; Egyptian Goddess, 543 F.3d at 677, 88 USPQ2d 1667. In applying the ordinary observer test, “determine whether ‘the deception that arises is a result of the similarities in the overall design not of similarities in ornamental features in isolation.’” See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010), citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006) (holding that the overall infringement test is not to be converted to an element-by-element comparison when factoring out the functional aspects of various design elements). See Apple Inc. v. Samsung Elecs. Co., 786 F.3d 983, 998, 114 USPQ2d 1953, 1962 (Fed. Cir. 2015); Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015); and Sport Dimension, Inc. v. Coleman Co. Inc., 820 F.3d, 1316, 1320-21, 118 USPQ2d 1607, 1609-10 (Fed. Cir. 2016). “The mandated overall comparison is a comparison taking into account significant differences between the two designs, not minor or trivial differences that necessarily exist between any two designs that are not exact copies of one another.” Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008. “Just as minor differences between a patented design and an accused article's design cannot, and shall not, prevent a finding of infringement, so too minor differences cannot prevent a finding of anticipation.” Id. (internal quotation marks omitted).

Jump to MPEP SourceNovelty / Prior ArtPatented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)
StatutoryInformativeAlways
[mpep-1504-02-04c336081ef87d48f3911558]
Requirement for Overall Design Comparison Not Element-by-Element
Note:
The ordinary observer test requires comparing the overall design, not just ornamental features in isolation.

The ordinary observer test requires consideration of the design as a whole. See Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008; Egyptian Goddess, 543 F.3d at 677, 88 USPQ2d 1667. In applying the ordinary observer test, “determine whether ‘the deception that arises is a result of the similarities in the overall design not of similarities in ornamental features in isolation.’” See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010), citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006) (holding that the overall infringement test is not to be converted to an element-by-element comparison when factoring out the functional aspects of various design elements). See Apple Inc. v. Samsung Elecs. Co., 786 F.3d 983, 998, 114 USPQ2d 1953, 1962 (Fed. Cir. 2015); Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015); and Sport Dimension, Inc. v. Coleman Co. Inc., 820 F.3d, 1316, 1320-21, 118 USPQ2d 1607, 1609-10 (Fed. Cir. 2016). “The mandated overall comparison is a comparison taking into account significant differences between the two designs, not minor or trivial differences that necessarily exist between any two designs that are not exact copies of one another.” Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008. “Just as minor differences between a patented design and an accused article's design cannot, and shall not, prevent a finding of infringement, so too minor differences cannot prevent a finding of anticipation.” Id. (internal quotation marks omitted).

Jump to MPEP SourceNovelty / Prior ArtPatented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)
StatutoryInformativeAlways
[mpep-1504-02-7e9caf286d55eb1805f86e16]
Overall Design Comparison Not Minor Differences
Note:
The comparison of two designs must focus on significant differences rather than minor or trivial variations.

The ordinary observer test requires consideration of the design as a whole. See Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008; Egyptian Goddess, 543 F.3d at 677, 88 USPQ2d 1667. In applying the ordinary observer test, “determine whether ‘the deception that arises is a result of the similarities in the overall design not of similarities in ornamental features in isolation.’” See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010), citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006) (holding that the overall infringement test is not to be converted to an element-by-element comparison when factoring out the functional aspects of various design elements). See Apple Inc. v. Samsung Elecs. Co., 786 F.3d 983, 998, 114 USPQ2d 1953, 1962 (Fed. Cir. 2015); Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015); and Sport Dimension, Inc. v. Coleman Co. Inc., 820 F.3d, 1316, 1320-21, 118 USPQ2d 1607, 1609-10 (Fed. Cir. 2016). “The mandated overall comparison is a comparison taking into account significant differences between the two designs, not minor or trivial differences that necessarily exist between any two designs that are not exact copies of one another.” Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008. “Just as minor differences between a patented design and an accused article's design cannot, and shall not, prevent a finding of infringement, so too minor differences cannot prevent a finding of anticipation.” Id. (internal quotation marks omitted).

Jump to MPEP SourceNovelty / Prior ArtPatented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)
StatutoryInformativeAlways
[mpep-1504-02-e169243b1dc8559a03fde659]
Overall Design Must Be Compared for Infringement
Note:
The ordinary observer test requires comparing the overall design of two products, not just ornamental features in isolation.

The ordinary observer test requires consideration of the design as a whole. See Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008; Egyptian Goddess, 543 F.3d at 677, 88 USPQ2d 1667. In applying the ordinary observer test, “determine whether ‘the deception that arises is a result of the similarities in the overall design not of similarities in ornamental features in isolation.’” See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010), citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006) (holding that the overall infringement test is not to be converted to an element-by-element comparison when factoring out the functional aspects of various design elements). See Apple Inc. v. Samsung Elecs. Co., 786 F.3d 983, 998, 114 USPQ2d 1953, 1962 (Fed. Cir. 2015); Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015); and Sport Dimension, Inc. v. Coleman Co. Inc., 820 F.3d, 1316, 1320-21, 118 USPQ2d 1607, 1609-10 (Fed. Cir. 2016). “The mandated overall comparison is a comparison taking into account significant differences between the two designs, not minor or trivial differences that necessarily exist between any two designs that are not exact copies of one another.” Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008. “Just as minor differences between a patented design and an accused article's design cannot, and shall not, prevent a finding of infringement, so too minor differences cannot prevent a finding of anticipation.” Id. (internal quotation marks omitted).

Jump to MPEP SourceNovelty / Prior ArtPatented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)
StatutoryInformativeAlways
[mpep-1504-02-a3985720191e87648867b8a4]
Requirement for Overall Design Comparison Not Element-by-Element
Note:
The ordinary observer test requires comparing the overall design, not just ornamental features in isolation.

The ordinary observer test requires consideration of the design as a whole. See Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008; Egyptian Goddess, 543 F.3d at 677, 88 USPQ2d 1667. In applying the ordinary observer test, “determine whether ‘the deception that arises is a result of the similarities in the overall design not of similarities in ornamental features in isolation.’” See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010), citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006) (holding that the overall infringement test is not to be converted to an element-by-element comparison when factoring out the functional aspects of various design elements). See Apple Inc. v. Samsung Elecs. Co., 786 F.3d 983, 998, 114 USPQ2d 1953, 1962 (Fed. Cir. 2015); Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015); and Sport Dimension, Inc. v. Coleman Co. Inc., 820 F.3d, 1316, 1320-21, 118 USPQ2d 1607, 1609-10 (Fed. Cir. 2016). “The mandated overall comparison is a comparison taking into account significant differences between the two designs, not minor or trivial differences that necessarily exist between any two designs that are not exact copies of one another.” Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008. “Just as minor differences between a patented design and an accused article's design cannot, and shall not, prevent a finding of infringement, so too minor differences cannot prevent a finding of anticipation.” Id. (internal quotation marks omitted).

Jump to MPEP SourceNovelty / Prior ArtPatented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)
Topic

Design Novelty

6 rules
StatutoryPermittedAlways
[mpep-1504-02-b35eb3a962cb21b5ae5ecf95]
Invention Must Not Be Anticipated by Prior Art
Note:
A claimed design cannot be patented if it is identical to a prior art reference.

A claimed design may be rejected under 35 U.S.C. 102 when the invention is anticipated (or is “not novel”) over a disclosure that is available as prior art. In design patent applications, the factual inquiry in determining anticipation over a prior art reference is the same as in utility patent applications. That is, the reference “‘must be identical in all material respects.’” Hupp v. Siroflex of America Inc., 122 F.3d 1456, 43 USPQ2d 1887 (Fed. Cir. 1997). For anticipation to be found, the claimed design and the prior art design must be substantially the same. Door-Master Corp. v. Yorktowne, Inc., 256 F.3d 1308, 1313, 59 USPQ2d 1472, 1475 (Fed. Cir. 2001) (citing Gorham Mfg. Co. v. White, 81 U.S. 511, 528 (1871)).

Jump to MPEP SourceDesign NoveltyAnticipation/NoveltyDesign Anticipation Analysis
StatutoryInformativeAlways
[mpep-1504-02-05278570791451a73ab813b7]
Claimed Design Must Be Substantially Identical to Prior Art
Note:
For a design patent to be novel, the claimed design must not be substantially identical to any prior art design available as prior art.

A claimed design may be rejected under 35 U.S.C. 102 when the invention is anticipated (or is “not novel”) over a disclosure that is available as prior art. In design patent applications, the factual inquiry in determining anticipation over a prior art reference is the same as in utility patent applications. That is, the reference “‘must be identical in all material respects.’” Hupp v. Siroflex of America Inc., 122 F.3d 1456, 43 USPQ2d 1887 (Fed. Cir. 1997). For anticipation to be found, the claimed design and the prior art design must be substantially the same. Door-Master Corp. v. Yorktowne, Inc., 256 F.3d 1308, 1313, 59 USPQ2d 1472, 1475 (Fed. Cir. 2001) (citing Gorham Mfg. Co. v. White, 81 U.S. 511, 528 (1871)).

Jump to MPEP SourceDesign NoveltyDesign Anticipation AnalysisPrior Art for Designs
StatutoryRequiredAlways
[mpep-1504-02-071fea058cf304589d1290d0]
Design Must Be Substantially Identical for Anticipation
Note:
For a design to be considered anticipated, it must be substantially identical to the prior art design.

A claimed design may be rejected under 35 U.S.C. 102 when the invention is anticipated (or is “not novel”) over a disclosure that is available as prior art. In design patent applications, the factual inquiry in determining anticipation over a prior art reference is the same as in utility patent applications. That is, the reference “‘must be identical in all material respects.’” Hupp v. Siroflex of America Inc., 122 F.3d 1456, 43 USPQ2d 1887 (Fed. Cir. 1997). For anticipation to be found, the claimed design and the prior art design must be substantially the same. Door-Master Corp. v. Yorktowne, Inc., 256 F.3d 1308, 1313, 59 USPQ2d 1472, 1475 (Fed. Cir. 2001) (citing Gorham Mfg. Co. v. White, 81 U.S. 511, 528 (1871)).

Jump to MPEP SourceDesign NoveltyAnticipation/NoveltyDesign Anticipation Analysis
StatutoryInformativeAlways
[mpep-1504-02-b327432cf4dcda7cb708e312]
Claimed Design Must Be Substantially Identical to Prior Art
Note:
The claimed design must be substantially identical to a prior art reference for it to be rejected under 35 U.S.C. 102 as not novel.

A claimed design may be rejected under 35 U.S.C. 102 when the invention is anticipated (or is “not novel”) over a disclosure that is available as prior art. In design patent applications, the factual inquiry in determining anticipation over a prior art reference is the same as in utility patent applications. That is, the reference “‘must be identical in all material respects.’” Hupp v. Siroflex of America Inc., 122 F.3d 1456, 43 USPQ2d 1887 (Fed. Cir. 1997). For anticipation to be found, the claimed design and the prior art design must be substantially the same. Door-Master Corp. v. Yorktowne, Inc., 256 F.3d 1308, 1313, 59 USPQ2d 1472, 1475 (Fed. Cir. 2001) (citing Gorham Mfg. Co. v. White, 81 U.S. 511, 528 (1871)).

Jump to MPEP SourceDesign NoveltyDesign Anticipation AnalysisPrior Art for Designs
StatutoryInformativeAlways
[mpep-1504-02-7253869d9a816a1fdd929264]
Design Registration Equivalent to Patenting for Priority and Prior Art Purposes
Note:
A design registered abroad is considered equivalent to a patented invention, allowing for priority claims under U.S. law within six months of foreign filing.

Registration of a design abroad is considered to be equivalent to patenting for priority purposes under 35 U.S.C. 119(a) – (d) and for prior art purposes pre-AIA 35 U.S.C. 102(d), whether or not the foreign grant is published. (See Ex parte Lancaster, 151 USPQ 713 (Bd. App. 1965); Ex parte Marinissen, 155 USPQ 528 (Bd. App. 1966); Appeal No. 239-48, Decided April 30, 1965, 151 USPQ 711, (Bd. App. 1965); Ex parte Appeal decided September 3, 1968, 866 O.G. 16 (Bd. App. 1966). The basis of this practice is that if the foreign applicant has received the protection offered in the foreign country, no matter what the protection is called (“patent,” “Design Registration,” etc.), if the United States application is timely filed, a claim for priority will vest. If, on the other hand, the U.S. application is not timely filed, a statutory bar arises under pre-AIA 35 U.S.C. 102(d) as modified by 35 U.S.C. 172. In order for the filing to be timely for priority purposes and to avoid possible statutory bars, the U.S. design patent application must be made within 6 months of the foreign filing. See also MPEP § 1504.10.

Jump to MPEP SourceDesign NoveltyDesign Priority and Benefit ClaimsAIA vs Pre-AIA 102 (MPEP 2151)
StatutoryInformativeAlways
[mpep-1504-02-d0e9a0ea8f0891477831a207]
Foreign Design Registration Equivalent to Patent for Priority Purposes
Note:
A foreign design registration provides equivalent priority and prior art status in the U.S., regardless of its specific designation, as long as it is filed within six months of the foreign filing.

Registration of a design abroad is considered to be equivalent to patenting for priority purposes under 35 U.S.C. 119(a) – (d) and for prior art purposes pre-AIA 35 U.S.C. 102(d), whether or not the foreign grant is published. (See Ex parte Lancaster, 151 USPQ 713 (Bd. App. 1965); Ex parte Marinissen, 155 USPQ 528 (Bd. App. 1966); Appeal No. 239-48, Decided April 30, 1965, 151 USPQ 711, (Bd. App. 1965); Ex parte Appeal decided September 3, 1968, 866 O.G. 16 (Bd. App. 1966). The basis of this practice is that if the foreign applicant has received the protection offered in the foreign country, no matter what the protection is called (“patent,” “Design Registration,” etc.), if the United States application is timely filed, a claim for priority will vest. If, on the other hand, the U.S. application is not timely filed, a statutory bar arises under pre-AIA 35 U.S.C. 102(d) as modified by 35 U.S.C. 172. In order for the filing to be timely for priority purposes and to avoid possible statutory bars, the U.S. design patent application must be made within 6 months of the foreign filing. See also MPEP § 1504.10.

Jump to MPEP SourceDesign NoveltyNovelty / Prior ArtPrior Art for Designs
Topic

Anticipation/Novelty

4 rules
StatutoryProhibitedAlways
[mpep-1504-02-bb61e786c63ef2b6c46ac9dd]
Functional and Hidden Design Features Cannot Support Patentability
Note:
When a claim is rejected under 35 U.S.C. 102 as being unpatentable over prior art, features that are functional or hidden during end use cannot be relied upon to support patentability.

When a claim is rejected under 35 U.S.C. 102 as being unpatentable over prior art, those features of the design which are functional and/or hidden during end use may not be relied upon to support patentability. See In re Cornwall, 230 F.2d 457, 109 USPQ 57 (CCPA 1956); Jones v. Progress Ind., Inc., 163 F. Supp. 824, 119 USPQ 92 (D. R.I. 1958). Further, in a rejection of a claim under 35 U.S.C. 102, mere differences in functional considerations do not negate a finding of anticipation when determining design patentability. See Black & Decker, Inc. v. Pittway Corp., 636 F.2d 1193, 231 USPQ 252 (N.D. Ill. 1986). See also In re Zonenstein, 172 F.2d 599, 80 USPQ 522, 523 (CCPA 1949) (“Patentability of a design cannot be predicated on size or utility.”).

Jump to MPEP SourceAnticipation/NoveltyNovelty / Prior ArtAIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-1504-02-aa370b9d747f3e544e0f11a8]
Functional and Hidden Features Cannot Support Patentability
Note:
When a claim is rejected under 35 U.S.C. 102, features that are functional or hidden during end use cannot be relied upon to support patentability.

When a claim is rejected under 35 U.S.C. 102 as being unpatentable over prior art, those features of the design which are functional and/or hidden during end use may not be relied upon to support patentability. See In re Cornwall, 230 F.2d 457, 109 USPQ 57 (CCPA 1956); Jones v. Progress Ind., Inc., 163 F. Supp. 824, 119 USPQ 92 (D. R.I. 1958). Further, in a rejection of a claim under 35 U.S.C. 102, mere differences in functional considerations do not negate a finding of anticipation when determining design patentability. See Black & Decker, Inc. v. Pittway Corp., 636 F.2d 1193, 231 USPQ 252 (N.D. Ill. 1986). See also In re Zonenstein, 172 F.2d 599, 80 USPQ 522, 523 (CCPA 1949) (“Patentability of a design cannot be predicated on size or utility.”).

Jump to MPEP SourceAnticipation/NoveltyAIA vs Pre-AIA PracticeNovelty / Prior Art
StatutoryInformativeAlways
[mpep-1504-02-720f487c3fb15a601f74ba6f]
Functional Differences Do Not Negate Anticipation
Note:
In a design patent rejection under 35 U.S.C. 102, differences in functional considerations do not negate a finding of anticipation.

When a claim is rejected under 35 U.S.C. 102 as being unpatentable over prior art, those features of the design which are functional and/or hidden during end use may not be relied upon to support patentability. See In re Cornwall, 230 F.2d 457, 109 USPQ 57 (CCPA 1956); Jones v. Progress Ind., Inc., 163 F. Supp. 824, 119 USPQ 92 (D. R.I. 1958). Further, in a rejection of a claim under 35 U.S.C. 102, mere differences in functional considerations do not negate a finding of anticipation when determining design patentability. See Black & Decker, Inc. v. Pittway Corp., 636 F.2d 1193, 231 USPQ 252 (N.D. Ill. 1986). See also In re Zonenstein, 172 F.2d 599, 80 USPQ 522, 523 (CCPA 1949) (“Patentability of a design cannot be predicated on size or utility.”).

Jump to MPEP SourceAnticipation/NoveltyNovelty / Prior ArtAIA vs Pre-AIA Practice
StatutoryProhibitedAlways
[mpep-1504-02-ae37034e633b8e45b8773d66]
Design Patentability Cannot Be Predicated on Size or Utility
Note:
A design's patentability cannot be based on its size or utility, as these factors are not relevant to design patentability.

When a claim is rejected under 35 U.S.C. 102 as being unpatentable over prior art, those features of the design which are functional and/or hidden during end use may not be relied upon to support patentability. See In re Cornwall, 230 F.2d 457, 109 USPQ 57 (CCPA 1956); Jones v. Progress Ind., Inc., 163 F. Supp. 824, 119 USPQ 92 (D. R.I. 1958). Further, in a rejection of a claim under 35 U.S.C. 102, mere differences in functional considerations do not negate a finding of anticipation when determining design patentability. See Black & Decker, Inc. v. Pittway Corp., 636 F.2d 1193, 231 USPQ 252 (N.D. Ill. 1986). See also In re Zonenstein, 172 F.2d 599, 80 USPQ 522, 523 (CCPA 1949) (“Patentability of a design cannot be predicated on size or utility.”).

Jump to MPEP SourceAnticipation/NoveltyAIA vs Pre-AIA PracticeNovelty / Prior Art
Topic

Patentably Distinct Designs

4 rules
StatutoryRecommendedAlways
[mpep-1504-02-fe9040e2fa2cf798010f25e5]
Design Claimed Must Be Disclosed in Earlier Design Patent Drawings
Note:
The claimed design must be disclosed in the drawings of an earlier-filed design patent, often as a subcombination or unclaimed subject matter.

1. This form paragraph should be used when the claimed design in the application being examined is disclosed in the drawings of an earlier-filed design or utility patent. When the design claimed in the application being examined is disclosed in the drawings of an earlier-filed design patent, it would most often be in the form of subcombination subject matter, (part or portion of an article), that is patentably distinct from the claim for the design embodied by the combination or whole article. It may also be unclaimed subject matter depicted in broken lines in the earlier-filed application.

35 U.S.C.Patentably Distinct DesignsDesign Restriction PracticeDesign Patent Practice
StatutoryPermittedAlways
[mpep-1504-02-87369078f73cd03a94e59381]
Design Claimed in Examined Application from Earlier Design Patent Drawings
Note:
When the design claimed in an application is disclosed in earlier-filed design patent drawings, it must be a distinct part or unclaimed subject matter.

1. This form paragraph should be used when the claimed design in the application being examined is disclosed in the drawings of an earlier-filed design or utility patent. When the design claimed in the application being examined is disclosed in the drawings of an earlier-filed design patent, it would most often be in the form of subcombination subject matter, (part or portion of an article), that is patentably distinct from the claim for the design embodied by the combination or whole article. It may also be unclaimed subject matter depicted in broken lines in the earlier-filed application.

35 U.S.C.Patentably Distinct DesignsDesign Restriction PracticeDesign Patent Practice
StatutoryRecommendedAlways
[mpep-1504-02-ae9e14f1d936fcd7092bc8c4]
Claim Must Distinguish Unclaimed Design
Note:
The claim must distinguish the design disclosed in earlier drawings but not claimed in an earlier-filed patent.

1. This form paragraph should be used when the claimed design in the application being examined is disclosed in the drawings of an earlier-filed design or utility patent but is not claimed therein. When the design claimed in the application being examined is disclosed in the drawings of an earlier-filed design patent, it would most often be in the form of subcombination subject matter, (part or portion of an article), that is patentably distinct from the claim for the design embodied by the combination or whole article. It may also be unclaimed subject matter depicted in broken lines in the earlier-filed application.

35 U.S.C.Patentably Distinct DesignsDesign Restriction PracticeDesign Patent Practice
StatutoryPermittedAlways
[mpep-1504-02-422a7e1282c5c53d5ae82c70]
Subcombination Designs Must Be Patentably Distinct
Note:
The claimed design in the application must be patentably distinct from any disclosed subcombination designs shown in earlier-filed design patents, even if not claimed.

1. This form paragraph should be used when the claimed design in the application being examined is disclosed in the drawings of an earlier-filed design or utility patent but is not claimed therein. When the design claimed in the application being examined is disclosed in the drawings of an earlier-filed design patent, it would most often be in the form of subcombination subject matter, (part or portion of an article), that is patentably distinct from the claim for the design embodied by the combination or whole article. It may also be unclaimed subject matter depicted in broken lines in the earlier-filed application.

35 U.S.C.Patentably Distinct DesignsDesign Restriction PracticeDesign Patent Practice
Topic

AIA vs Pre-AIA Practice

3 rules
StatutoryRequiredAlways
[mpep-1504-02-d3b7c851229381edf0ee925f]
Conditions for Patentability Based on Novelty
Note:
This rule outlines the conditions under which a person is not entitled to a patent based on lack of novelty, including prior public use, publication, or abandonment.
A person shall be entitled to a patent unless —
  • (a) the invention was known or used by others in this country, or patented or described in a printed publication in this or a foreign country, before the invention thereof by the applicant for patent, or
  • (b) the invention was patented or described in a printed publication in this or a foreign country or in public use or on sale in this country, more than one year prior to the date of the application for patent in the United States, or
  • (c) he has abandoned the invention, or
  • (d) the invention was first patented or caused to be patented, or was the subject of an inventor’s certificate, by the applicant or his legal representatives or assigns in a foreign country prior to the date of the application for patent in this country on an application for patent or inventor’s certificate filed more than twelve months before the filing of the application in the United States, or
  • (e) the invention was described in — (1) an application for patent, published under section 122(b), by another filed in the United States before the invention by the applicant for patent or (2) a patent granted on an application for patent by another filed in the United States before the invention by the applicant for patent, except that an international application filed under the treaty defined in section 351(a) shall have the effects for the purposes of this subsection of an application filed in the United States only if the international application designated the United States and was published under Article 21(2) of such treaty in the English language; or
  • (f) he did not himself invent the subject matter sought to be patented, or
  • (g)(1) during the course of an interference conducted under section 135 or section 291, another inventor involved therein establishes, to the extent permitted in section 104, that before such person’s invention thereof the invention was made by such other inventor and not abandoned, suppressed, or concealed, or (2) before such person’s invention thereof, the invention was made in this country by another inventor who had not abandoned, suppressed, or concealed it. In determining priority of invention under this subsection, there shall be considered not only the respective dates of conception and reduction to practice of the invention, but also the reasonable diligence of one who was first to conceive and last to reduce to practice, from a time prior to conception by the other.
Jump to MPEP SourceAIA vs Pre-AIA PracticeNationals and ResidentsPublication Language
StatutoryInformativeAlways
[mpep-1504-02-c4bce14d34076c15aa54bdf1]
Examiner Need Not Cite Prior Art for Functional/Hidden Features
Note:
An examiner does not need to cite prior art to establish that functional and hidden features are old in the art, as long as evidence supports their lack of ornamentality.

It is not necessary for the examiner to cite or apply prior art to show that functional and/or hidden features are old in the art as long as the examiner has properly relied on evidence to support the prima facie lack of ornamentality of these individual features. If applicant wishes to rely on functional or hidden features as a basis for patentability, the same standard for establishing ornamentality under 35 U.S.C. 171 must be applied before these features can be given any patentable weight. See MPEP § 1504.01(c).

Jump to MPEP SourceAIA vs Pre-AIA PracticeAssignee as Applicant SignatureApplicant and Assignee Filing Under AIA
MPEP GuidanceRecommendedAlways
[mpep-1504-02-7b209ee427e1670b641ab7e4]
Requirement for Explaining Rejection Basis
Note:
This paragraph must be added to explain the basis of the rejection after paragraphs 15.11.aia or 15.15.aia.

1. This paragraph should be included after paragraph 15.11.aia or 15.15.aia to explain the basis of the rejection.

MPEP § 1504.02AIA vs Pre-AIA Practice
Topic

Patented Prior Art (MPEP 2152.02(a))

3 rules
StatutoryProhibitedAlways
[mpep-1504-02-11bd1cbb8a86d8e0310a3931]
Minor Differences Do Not Prevent Anticipation
Note:
This rule states that minor differences between a patented design and an accused article cannot prevent a finding of anticipation.

The ordinary observer test requires consideration of the design as a whole. See Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008; Egyptian Goddess, 543 F.3d at 677, 88 USPQ2d 1667. In applying the ordinary observer test, “determine whether ‘the deception that arises is a result of the similarities in the overall design not of similarities in ornamental features in isolation.’” See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010), citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006) (holding that the overall infringement test is not to be converted to an element-by-element comparison when factoring out the functional aspects of various design elements). See Apple Inc. v. Samsung Elecs. Co., 786 F.3d 983, 998, 114 USPQ2d 1953, 1962 (Fed. Cir. 2015); Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015); and Sport Dimension, Inc. v. Coleman Co. Inc., 820 F.3d, 1316, 1320-21, 118 USPQ2d 1607, 1609-10 (Fed. Cir. 2016). “The mandated overall comparison is a comparison taking into account significant differences between the two designs, not minor or trivial differences that necessarily exist between any two designs that are not exact copies of one another.” Seaway, 589 F.3d at 1243, 93 USPQ2d at 1008. “Just as minor differences between a patented design and an accused article's design cannot, and shall not, prevent a finding of infringement, so too minor differences cannot prevent a finding of anticipation.” Id. (internal quotation marks omitted).

Jump to MPEP SourcePatented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)Anticipation/Novelty
StatutoryInformativeAlways
[mpep-1504-02-91f59dbd77368f9d261e046c]
Copending Application Discloses Invention and Constitutes Prior Art
Note:
This rule requires provisional rejection if a copending application with common assignee or inventor discloses the claimed invention, which would be prior art under 35 U.S.C. 102(a)(2).

1. This form paragraph is used to provisionally reject over a copending application (utility or design) that discloses the claimed invention and would constitute prior art under 35 U.S.C. 102(a)(2) if patented or published under 35 U.S.C. 122. The copending application must have either a common assignee or at least one common inventor.

35 U.S.C.Patented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)Novelty / Prior Art
StatutoryRequiredAlways
[mpep-1504-02-d6ec791fca6f6a21805431a3]
Copending Application Must Have Common Assignee or Inventor
Note:
The copending application must have either a common assignee or at least one common inventor to disclose the claimed invention and constitute prior art under 35 U.S.C. 102(a)(2).

1. This form paragraph is used to provisionally reject over a copending application (utility or design) that discloses the claimed invention and would constitute prior art under 35 U.S.C. 102(a)(2) if patented or published under 35 U.S.C. 122. The copending application must have either a common assignee or at least one common inventor.

35 U.S.C.Patented Prior Art (MPEP 2152.02(a))Prior Art Under 102(a)(1) (MPEP 2152.02)Novelty / Prior Art
Topic

Assignee as Applicant Signature

3 rules
StatutoryRequiredAlways
[mpep-1504-02-a4f66809e8aed52d7f1adf30]
Requirement for Ornamentality of Functional or Hidden Features
Note:
Applicant must demonstrate that functional or hidden features are ornamental before they can be considered in patentability.

It is not necessary for the examiner to cite or apply prior art to show that functional and/or hidden features are old in the art as long as the examiner has properly relied on evidence to support the prima facie lack of ornamentality of these individual features. If applicant wishes to rely on functional or hidden features as a basis for patentability, the same standard for establishing ornamentality under 35 U.S.C. 171 must be applied before these features can be given any patentable weight. See MPEP § 1504.01(c).

Jump to MPEP SourceAssignee as Applicant SignatureApplicant and Assignee Filing Under AIAAIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-1504-02-9212ac6d45ffd6ab6f317c41]
Foreign Design Registration Equates to Patent for Priority Purposes
Note:
If a foreign applicant receives design registration protection and timely files a U.S. application, it can claim priority under 35 U.S.C. 119(a)-(d).

Registration of a design abroad is considered to be equivalent to patenting for priority purposes under 35 U.S.C. 119(a) – (d) and for prior art purposes pre-AIA 35 U.S.C. 102(d), whether or not the foreign grant is published. (See Ex parte Lancaster, 151 USPQ 713 (Bd. App. 1965); Ex parte Marinissen, 155 USPQ 528 (Bd. App. 1966); Appeal No. 239-48, Decided April 30, 1965, 151 USPQ 711, (Bd. App. 1965); Ex parte Appeal decided September 3, 1968, 866 O.G. 16 (Bd. App. 1966). The basis of this practice is that if the foreign applicant has received the protection offered in the foreign country, no matter what the protection is called (“patent,” “Design Registration,” etc.), if the United States application is timely filed, a claim for priority will vest. If, on the other hand, the U.S. application is not timely filed, a statutory bar arises under pre-AIA 35 U.S.C. 102(d) as modified by 35 U.S.C. 172. In order for the filing to be timely for priority purposes and to avoid possible statutory bars, the U.S. design patent application must be made within 6 months of the foreign filing. See also MPEP § 1504.10.

Jump to MPEP SourceAssignee as Applicant SignatureApplicant and Assignee Filing Under AIADesign Priority and Benefit Claims
StatutoryRequiredAlways
[mpep-1504-02-63ae0de604330e34d086d449]
Notification of Patentability Under Pre-AIA 35 U.S.C. 102(f) / (g)
Note:
Examiner must notify the applicant that patentability under pre-AIA 35 U.S.C. 102(f) / (g) is being considered.

2. This form paragraph must be preceded by form paragraph 15.24.05.fti to notify the applicant that the question of patentability under pre-AIA 35 U.S.C. 102(f) / (g) also exists.

35 U.S.C.Assignee as Applicant SignatureApplicant and Assignee Filing Under AIAAIA vs Pre-AIA Practice
Topic

Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)

3 rules
StatutoryRecommendedAlways
[mpep-1504-02-d621c3fd2399fc9e64427f38]
Requirement for Foreign Patent Issuance Before US Filing
Note:
Examiners must only reject pre-AIA 35 U.S.C. 102(d) based on a foreign application that issued before the U.S. filing date, provided an application was filed more than six months prior.

Rejections under pre-AIA 35 U.S.C. 102(d) as modified by 35 U.S.C. 172 should only be made when the examiner knows that the application for foreign registration/patent has actually issued before the U.S. filing date based on an application filed more than six (6) months prior to filing the application in the United States. If the grant of a registration/patent based on the foreign application is not evident from the record of the U.S. application or from information found within the preceding charts, then the statement below should be included in the first action on the merits of the application:

Jump to MPEP SourcePre-AIA 102(e) – Earlier US Applications (MPEP 2136)Prior Art Under Pre-AIA 35 U.S.C. 102 (MPEP 2131-2138)AIA vs Pre-AIA Practice
StatutoryRecommendedAlways
[mpep-1504-02-81166535167c85a621f4147c]
Requirement for Indicating Foreign Patent Grant Not Evident
Note:
If the grant of a foreign registration/patent is not evident from the U.S. application record or charts, include a statement in the first action on merits.

Rejections under pre-AIA 35 U.S.C. 102(d) as modified by 35 U.S.C. 172 should only be made when the examiner knows that the application for foreign registration/patent has actually issued before the U.S. filing date based on an application filed more than six (6) months prior to filing the application in the United States. If the grant of a registration/patent based on the foreign application is not evident from the record of the U.S. application or from information found within the preceding charts, then the statement below should be included in the first action on the merits of the application:

Jump to MPEP SourcePre-AIA 102(e) – Earlier US Applications (MPEP 2136)Prior Art Under Pre-AIA 35 U.S.C. 102 (MPEP 2131-2138)AIA vs Pre-AIA Practice
StatutoryPermittedAlways
[mpep-1504-02-5af84965c5b40d0f12d95427]
Requirement for Common Inventor and Assignee Disclosure
Note:
This rule requires that claims be rejected if they are over an earlier application or patent with a common inventor and/or assignee, even if the prior art does not claim the design.

The following form paragraphs may be used to reject a claim under pre-AIA 35 U.S.C. 102(e) over an application or patent having an earlier prior art date with a common inventor and/or assignee, or that discloses but does not claim the design.

Jump to MPEP SourcePre-AIA 102(e) – Earlier US Applications (MPEP 2136)Prior Art Under Pre-AIA 35 U.S.C. 102 (MPEP 2131-2138)AIA vs Pre-AIA Practice
Topic

By Another Inventor Requirement

2 rules
StatutoryPermittedAlways
[mpep-1504-02-027c5aed9de4448b86f2293d]
Requirement for Invention Described by Prior Patent or Application
Note:
The claimed invention must not be described in a patent issued under section 151 or an application published under section 122(b) that names another inventor and was effectively filed before the claimed invention's effective filing date.

(a) NOVELTY; PRIOR ART.—A person shall be entitled to a patent unless—

(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.

Jump to MPEP SourceBy Another Inventor RequirementEffectively Filed Date for 102(a)(2)Issued Patent as 102(a)(2) Prior Art
StatutoryPermittedAlways
[mpep-1504-02-9010d004880624da912bad2b]
Invention Made by Another Before Applicant
Note:
A person is not entitled to a patent if the invention was made by another inventor before their own and not abandoned, suppressed, or concealed.

A person shall be entitled to a patent unless —

(g)(1) during the course of an interference conducted under section 135 or section 291, another inventor involved therein establishes, to the extent permitted in section 104, that before such person’s invention thereof the invention was made by such other inventor and not abandoned, suppressed, or concealed, or (2) before such person’s invention thereof, the invention was made in this country by another inventor who had not abandoned, suppressed, or concealed it.

Jump to MPEP SourceBy Another Inventor RequirementPrior Art Under 102(a)(2) – Earlier Filed Applications (MPEP 2154)Novelty / Prior Art
Topic

Effective Filing Date Under 102 (MPEP 2152.01)

2 rules
StatutoryProhibitedAlways
[mpep-1504-02-e0ff962dae24f25f1525726f]
Disclosure Within One Year Not Prior Art
Note:
A disclosure made within one year before the effective filing date of a claimed invention is not considered prior art under section 102.
(1) DISCLOSURES MADE 1 YEAR OR LESS BEFORE THE EFFECTIVE FILING DATE OF THE CLAIMED INVENTION.—A disclosure made 1 year or less before the effective filing date of a claimed invention shall not be prior art to the claimed invention under subsection (a)(1) if—
  • (A) the disclosure was made by the inventor or joint inventor or by another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor; or
  • (B) the subject matter disclosed had, before such disclosure, been publicly disclosed by the inventor or a joint inventor or another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor.
Jump to MPEP SourceEffective Filing Date Under 102 (MPEP 2152.01)Prior Art Under 102(a)(1) (MPEP 2152.02)Novelty / Prior Art
StatutoryProhibitedAlways
[mpep-1504-02-9252cdcddeb5f73b3cb65c02]
Disclosure Must Be Owned By Same Person
Note:
A disclosure shall not be considered prior art if it was owned by the same person as the claimed invention on the effective filing date.

(b) EXCEPTIONS.—
(2) DISCLOSURES APPEARING IN APPLICATIONS AND PATENTS.—A disclosure shall not be prior art to a claimed invention under subsection (a)(2) if—

(C) the subject matter disclosed and the claimed invention, not later than the effective filing date of the claimed invention, were owned by the same person or subject to an obligation of assignment to the same person.

Jump to MPEP SourceEffective Filing Date Under 102 (MPEP 2152.01)Novelty / Prior Art
Topic

Prior Art for Designs

2 rules
StatutoryInformativeAlways
[mpep-1504-02-68322a9a83e14d3f98bec73e]
Same for Design and Utility Patents
Note:
The factual inquiry to determine if a design is anticipated by prior art is identical in both design and utility patent applications.

A claimed design may be rejected under 35 U.S.C. 102 when the invention is anticipated (or is “not novel”) over a disclosure that is available as prior art. In design patent applications, the factual inquiry in determining anticipation over a prior art reference is the same as in utility patent applications. That is, the reference “‘must be identical in all material respects.’” Hupp v. Siroflex of America Inc., 122 F.3d 1456, 43 USPQ2d 1887 (Fed. Cir. 1997). For anticipation to be found, the claimed design and the prior art design must be substantially the same. Door-Master Corp. v. Yorktowne, Inc., 256 F.3d 1308, 1313, 59 USPQ2d 1472, 1475 (Fed. Cir. 2001) (citing Gorham Mfg. Co. v. White, 81 U.S. 511, 528 (1871)).

Jump to MPEP SourcePrior Art for DesignsDesign NoveltyAnticipation/Novelty
StatutoryRequiredAlways
[mpep-1504-02-71ccb6f1408778f0d1dc609c]
U.S. Design Patent Application Within 6 Months of Foreign Filing
Note:
The U.S. design patent application must be filed within 6 months of the foreign filing to claim priority and avoid statutory bars.

Registration of a design abroad is considered to be equivalent to patenting for priority purposes under 35 U.S.C. 119(a) – (d) and for prior art purposes pre-AIA 35 U.S.C. 102(d), whether or not the foreign grant is published. (See Ex parte Lancaster, 151 USPQ 713 (Bd. App. 1965); Ex parte Marinissen, 155 USPQ 528 (Bd. App. 1966); Appeal No. 239-48, Decided April 30, 1965, 151 USPQ 711, (Bd. App. 1965); Ex parte Appeal decided September 3, 1968, 866 O.G. 16 (Bd. App. 1966). The basis of this practice is that if the foreign applicant has received the protection offered in the foreign country, no matter what the protection is called (“patent,” “Design Registration,” etc.), if the United States application is timely filed, a claim for priority will vest. If, on the other hand, the U.S. application is not timely filed, a statutory bar arises under pre-AIA 35 U.S.C. 102(d) as modified by 35 U.S.C. 172. In order for the filing to be timely for priority purposes and to avoid possible statutory bars, the U.S. design patent application must be made within 6 months of the foreign filing. See also MPEP § 1504.10.

Jump to MPEP SourcePrior Art for DesignsDesign Foreign Priority (6 Months)Design Priority and Benefit Claims
Topic

Appeal to Federal Circuit

2 rules
StatutoryInformativeAlways
[mpep-1504-02-7de9fade2b4293c429b8d416]
Design Claim Must Be Specific to Article of Manufacture
Note:
A design claim is limited to the specific article of manufacture described in the claim, not a generic design concept.

“A design claim is limited to the article of manufacture identified in the claim; it does not broadly cover a design in the abstract.” In re SurgiSil, L.L.P., 14 F.4th 1380, 1382, 2021 USPQ2d 1008 (Fed. Cir. 2021). See also MPEP § 1502. In SurgiSil, the Federal Circuit reversed an anticipation rejection of a lip implant over an art tool because it determined that the Board's anticipation finding “rests on an erroneous interpretation of the claim's scope.” Id. The court reasoned that where “[t]he claim language recites ‘a lip implant,’” and “the application’s figure depicts a lip implant, … the claim is limited to lip implants and does not cover other articles of manufacture.” Id.

Jump to MPEP SourceAppeal to Federal CircuitJudicial Review of Board DecisionsPTAB Jurisdiction
StatutoryInformativeAlways
[mpep-1504-02-5b8997963b8ea6d99cf7117e]
Claim Limited to Specific Article of Manufacture
Note:
A design claim must be limited to the specific article of manufacture it describes and cannot cover other types of articles.

“A design claim is limited to the article of manufacture identified in the claim; it does not broadly cover a design in the abstract.” In re SurgiSil, L.L.P., 14 F.4th 1380, 1382, 2021 USPQ2d 1008 (Fed. Cir. 2021). See also MPEP § 1502. In SurgiSil, the Federal Circuit reversed an anticipation rejection of a lip implant over an art tool because it determined that the Board's anticipation finding “rests on an erroneous interpretation of the claim's scope.” Id. The court reasoned that where “[t]he claim language recites ‘a lip implant,’” and “the application’s figure depicts a lip implant, … the claim is limited to lip implants and does not cover other articles of manufacture.” Id.

Jump to MPEP SourceAppeal to Federal CircuitJudicial Review of Board DecisionsPTAB Jurisdiction
Topic

Public Use Under AIA (MPEP 2152.02(c))

2 rules
StatutoryInformativeAlways
[mpep-1504-02-8f116458dedc60cc8806d78b]
Experimental Use Exception Does Not Apply to Design Patents
Note:
When evaluating a statutory bar based on pre-AIA 35 U.S.C. 102(b), the experimental use exception does not typically apply for design patents.

In evaluating a statutory bar based on pre-AIA 35 U.S.C. 102(b), the experimental use exception to a statutory bar for public use or sale (see MPEP § 2133.03(e)) does not usually apply for design patents. See In re Mann, 861 F.2d 1581, 8 USPQ2d 2030 (Fed. Cir. 1988). However, Tone Brothers, Inc. v. Sysco Corp., 28 F.3d 1192, 1200, 31 USPQ2d 1321, 1326 (Fed. Cir. 1994) held that “experimentation directed to functional features of a product also containing an ornamental design may negate what otherwise would be considered a public use within the meaning of section 102(b).” See MPEP § 2133.03(e)(6).

Jump to MPEP SourcePublic Use Under AIA (MPEP 2152.02(c))AIA 102(a)(1) – Prior Art Categories (MPEP 2152.02)Pre-AIA 102(b) – Statutory Bar (MPEP 2133)
StatutoryPermittedAlways
[mpep-1504-02-dfb00274df2caf55c79ef5ac]
Experimental Use of Functional Features Does Not Invalidate Design Patents Under Public Use Bar
Note:
This rule states that experimentation on functional features within a design patent does not negate the public use bar under pre-AIA section 102(b) unless it involves ornamental designs.

In evaluating a statutory bar based on pre-AIA 35 U.S.C. 102(b), the experimental use exception to a statutory bar for public use or sale (see MPEP § 2133.03(e)) does not usually apply for design patents. See In re Mann, 861 F.2d 1581, 8 USPQ2d 2030 (Fed. Cir. 1988). However, Tone Brothers, Inc. v. Sysco Corp., 28 F.3d 1192, 1200, 31 USPQ2d 1321, 1326 (Fed. Cir. 1994) held that “experimentation directed to functional features of a product also containing an ornamental design may negate what otherwise would be considered a public use within the meaning of section 102(b).” See MPEP § 2133.03(e)(6).

Jump to MPEP SourcePublic Use Under AIA (MPEP 2152.02(c))Ornamental vs. Functional FeaturesAIA 102(a)(1) – Prior Art Categories (MPEP 2152.02)
Topic

Prior Art Under AIA 35 U.S.C. 102 (MPEP 2150-2159)

2 rules
StatutoryRecommendedAlways
[mpep-1504-02-8df2b51716ca61bb6f3219c8]
Enforceable Design Rights Dates for Pre-AIA Rejections
Note:
The rule outlines the dates on which design rights can be enforced in foreign countries, making them usable in pre-AIA 35 U.S.C. 102(d) rejections as modified by 35 U.S.C. 172.

The following table sets forth the dates on which design rights can be enforced in a foreign country (INID Code (24)) and thus, are also useable in a pre-AIA 35 U.S.C. 102(d) rejection as modified by 35 U.S.C. 172. It should be noted that in many countries the date of registration or grant is the filing date.

Jump to MPEP SourcePrior Art Under AIA 35 U.S.C. 102 (MPEP 2150-2159)Prior Art Under Pre-AIA 35 U.S.C. 102 (MPEP 2131-2138)AIA vs Pre-AIA 102 (MPEP 2151)
StatutoryInformativeAlways
[mpep-1504-02-0a08b5fa2896c48d17171dea]
Requirement for Forming Paragraphs in Rejections Under AIA 35 U.S.C. 102
Note:
The rule outlines the requirements for forming paragraphs when rejecting claims under AIA 35 U.S.C. 102.

Form paragraphs for use in rejections under 35 U.S.C. 102 and pre-AIA 35 U.S.C. 102 are set forth below.

Jump to MPEP SourcePrior Art Under AIA 35 U.S.C. 102 (MPEP 2150-2159)Prior Art Under Pre-AIA 35 U.S.C. 102 (MPEP 2131-2138)AIA vs Pre-AIA 102 (MPEP 2151)
Topic

Determining Whether Application Is AIA or Pre-AIA

2 rules
StatutoryInformativeAlways
[mpep-1504-02-8646d988f2a3eeae7f0ab9ec]
Provisional Rejection of Copending Application with Common Inventor and/or Assignee
Note:
This rule requires provisional rejection if a copending application discloses the claimed invention but does not claim it, and would be prior art under pre-AIA 35 U.S.C. 102(e) if patented or published.

1. This form paragraph is used to provisionally reject over a copending application (utility or design) that discloses (but does not claim) the claimed invention and would constitute prior art under pre-AIA 35 U.S.C. 102(e) if patented or published under 35 U.S.C. 122. The copending application must have either a common assignee or at least one common inventor.

35 U.S.C.Determining Whether Application Is AIA or Pre-AIAPatented Prior Art (MPEP 2152.02(a))Determining AIA vs Pre-AIA Applicability (MPEP 2159)
StatutoryRequiredAlways
[mpep-1504-02-daed92efa94560028591302d]
Copending Application Must Have Common Assignee or Inventor
Note:
The copending application must have either a common assignee or at least one common inventor to provisionally reject an application that discloses but does not claim the invention.

1. This form paragraph is used to provisionally reject over a copending application (utility or design) that discloses (but does not claim) the claimed invention and would constitute prior art under pre-AIA 35 U.S.C. 102(e) if patented or published under 35 U.S.C. 122. The copending application must have either a common assignee or at least one common inventor.

35 U.S.C.Determining Whether Application Is AIA or Pre-AIAPatented Prior Art (MPEP 2152.02(a))Determining AIA vs Pre-AIA Applicability (MPEP 2159)
Topic

AIA 102(a)(2) – Earlier Filed Applications (MPEP 2154)

2 rules
StatutoryInformativeAlways
[mpep-1504-02-7e4dfeda8bd44327e23c10fc]
Determine Reference’s Prior Art Date Using AIPA for U.S. Patents
Note:
Use pre-AIA 35 U.S.C. 102(e) as amended by the American Inventor’s Protection Act (AIPA) to determine the reference’s prior art date unless it is a U.S. patent issued from an international application with an international filing date before November 29, 2000.

2. Use pre-AIA 35 U.S.C. 102(e) as amended by the American Inventor’s Protection Act (AIPA) (form paragraph 7.12.fti) to determine the reference’s prior art date, unless the reference is a U.S. patent issued directly, or indirectly, from an international application which has an international filing date prior to November 29, 2000. Use pre-AIPA 35 U.S.C. 102(e) (form paragraph 7.12.01.fti) only if the reference is a U.S. patent issued directly or indirectly from either a national stage of an international application (application under 35 U.S.C. 371) which has an international filing date prior to November 29, 2000, or a continuing application claiming benefit under 35 U.S.C. 120, 121, 365(c), or 386(c) to an international application having an international filing date prior to November 29, 2000. See the Examiner Notes for form paragraphs 7.12.fti and 7.12.01.fti to assist in the determination of the reference’s pre-AIA or pre-AIPA 35 U.S.C. 102(e) date.

35 U.S.C.AIA 102(a)(2) – Earlier Filed Applications (MPEP 2154)Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)International Filing Date
StatutoryInformativeAlways
[mpep-1504-02-211d679ba59cf67b848ea44d]
Use Pre-AIA for Certain U.S. Patents Issued from International Applications Filing Before November 29, 2000
Note:
This rule requires using pre-AIA 35 U.S.C. 102(e) to determine the prior art date for U.S. patents issued directly or indirectly from international applications with an international filing date before November 29, 2000.

2. Use pre-AIA 35 U.S.C. 102(e) as amended by the American Inventor’s Protection Act (AIPA) (form paragraph 7.12.fti) to determine the reference’s prior art date, unless the reference is a U.S. patent issued directly, or indirectly, from an international application which has an international filing date prior to November 29, 2000. Use pre-AIPA 35 U.S.C. 102(e) (form paragraph 7.12.01.fti) only if the reference is a U.S. patent issued directly or indirectly from either a national stage of an international application (application under 35 U.S.C. 371) which has an international filing date prior to November 29, 2000, or a continuing application claiming benefit under 35 U.S.C. 120, 121, 365(c), or 386(c) to an international application having an international filing date prior to November 29, 2000. See the Examiner Notes for form paragraphs 7.12.fti and 7.12.01.fti to assist in the determination of the reference’s pre-AIA or pre-AIPA 35 U.S.C. 102(e) date.

35 U.S.C.AIA 102(a)(2) – Earlier Filed Applications (MPEP 2154)Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)International Filing Date
Topic

Common Ownership Exception – 102(b)(2)(C)

1 rules
StatutoryRequiredAlways
[mpep-1504-02-6a80ecadbc1282aa74503abb]
Joint Research Agreements Common Ownership
Note:
Subject matter disclosed and claimed inventions made under joint research agreements are deemed owned by the same person for applying common ownership provisions.
(c) COMMON OWNERSHIP UNDER JOINT RESEARCH AGREEMENTS.—Subject matter disclosed and a claimed invention shall be deemed to have been owned by the same person or subject to an obligation of assignment to the same person in applying the provisions of subsection (b)(2)(C) if—
  • (1) the subject matter disclosed was developed and the claimed invention was made by, or on behalf of, 1 or more parties to a joint research agreement that was in effect on or before the effective filing date of the claimed invention;
  • (2) the claimed invention was made as a result of activities undertaken within the scope of the joint research agreement; and
  • (3) the application for patent for the claimed invention discloses or is amended to disclose the names of the parties to the joint research agreement.
Jump to MPEP SourceCommon Ownership Exception – 102(b)(2)(C)Common Ownership/JDA Exception (MPEP 2154.02)Novelty / Prior Art
Topic

Common Ownership/JDA Exception (MPEP 2154.02)

1 rules
StatutoryInformativeAlways
[mpep-1504-02-210db9f7d89370773e9bb35b]
Names of Joint Research Agreement Parties Must Be Disclosed
Note:
The application for a claimed invention must disclose the names of the parties to the joint research agreement to establish common ownership.

(c) COMMON OWNERSHIP UNDER JOINT RESEARCH AGREEMENTS.—Subject matter disclosed and a claimed invention shall be deemed to have been owned by the same person or subject to an obligation of assignment to the same person in applying the provisions of subsection (b)(2)(C) if—

(3) the application for patent for the claimed invention discloses or is amended to disclose the names of the parties to the joint research agreement.

Jump to MPEP SourceCommon Ownership/JDA Exception (MPEP 2154.02)Novelty / Prior ArtCommon Ownership Exception – 102(b)(2)(C)
Topic

Effectively Filed Date for 102(a)(2)

1 rules
StatutoryRequiredAlways
[mpep-1504-02-75f3542c057987689ffcae04]
Effectively Filed Date for Prior Art Under 102(a)(2)
Note:
Determines when patents and published applications are considered prior art based on their filing date or the earliest priority application's filing date.
(d) PATENTS AND PUBLISHED APPLICATIONS EFFECTIVE AS PRIOR ART.—For purposes of determining whether a patent or application for patent is prior art to a claimed invention under subsection (a)(2), such patent or application shall be considered to have been effectively filed, with respect to any subject matter described in the patent or application—
  • (1) if paragraph (2) does not apply, as of the actual filing date of the patent or the application for patent; or
  • (2) if the patent or application for patent is entitled to claim a right of priority under section 119, 365(a), or 365(b) or to claim the benefit of an earlier filing date under section 120, 121, or 365(c), based upon 1 or more prior filed applications for patent, as of the filing date of the earliest such application that describes the subject matter.
Jump to MPEP SourceEffectively Filed Date for 102(a)(2)Prior Art Under 102(a)(2) – Earlier Filed Applications (MPEP 2154)Novelty / Prior Art
Topic

Right of Priority (Paris Convention)

1 rules
StatutoryInformativeAlways
[mpep-1504-02-a5643cc00a73eb7fb7c07a29]
Right of Priority for Earlier Filed Applications
Note:
This rule requires that a patent or application claiming priority must base it on the earliest filed application that describes the subject matter.

(d) PATENTS AND PUBLISHED APPLICATIONS EFFECTIVE AS PRIOR ART.—For purposes of determining whether a patent or application for patent is prior art to a claimed invention under subsection (a)(2), such patent or application shall be considered to have been effectively filed, with respect to any subject matter described in the patent or application—

(2) if the patent or application for patent is entitled to claim a right of priority under section 119, 365(a), or 365(b) or to claim the benefit of an earlier filing date under section 120, 121, or 365(c), based upon 1 or more prior filed applications for patent, as of the filing date of the earliest such application that describes the subject matter.

Jump to MPEP SourceRight of Priority (Paris Convention)Foreign Priority ClaimsPriority and Benefit Claims
Topic

Design Anticipation Analysis

1 rules
StatutoryRequiredAlways
[mpep-1504-02-9b90dbfc708595fd73f73928]
Design Must Be Identical to Prior Art
Note:
For a design patent to be rejected as anticipated, the claimed design must match the prior art design in all material respects.

A claimed design may be rejected under 35 U.S.C. 102 when the invention is anticipated (or is “not novel”) over a disclosure that is available as prior art. In design patent applications, the factual inquiry in determining anticipation over a prior art reference is the same as in utility patent applications. That is, the reference “‘must be identical in all material respects.’” Hupp v. Siroflex of America Inc., 122 F.3d 1456, 43 USPQ2d 1887 (Fed. Cir. 1997). For anticipation to be found, the claimed design and the prior art design must be substantially the same. Door-Master Corp. v. Yorktowne, Inc., 256 F.3d 1308, 1313, 59 USPQ2d 1472, 1475 (Fed. Cir. 2001) (citing Gorham Mfg. Co. v. White, 81 U.S. 511, 528 (1871)).

Jump to MPEP SourceDesign Anticipation AnalysisPrior Art for DesignsDesign Novelty
Topic

Judicial Review of Board Decisions

1 rules
StatutoryInformativeAlways
[mpep-1504-02-de23e18534250b29bc194750]
Design Claim Limited to Specified Article of Manufacture
Note:
A design claim must be limited to the specific article of manufacture as described in the claim language and depicted in the application’s figure, not covering other types of articles.

“A design claim is limited to the article of manufacture identified in the claim; it does not broadly cover a design in the abstract.” In re SurgiSil, L.L.P., 14 F.4th 1380, 1382, 2021 USPQ2d 1008 (Fed. Cir. 2021). See also MPEP § 1502. In SurgiSil, the Federal Circuit reversed an anticipation rejection of a lip implant over an art tool because it determined that the Board's anticipation finding “rests on an erroneous interpretation of the claim's scope.” Id. The court reasoned that where “[t]he claim language recites ‘a lip implant,’” and “the application’s figure depicts a lip implant, … the claim is limited to lip implants and does not cover other articles of manufacture.” Id.

Jump to MPEP SourceJudicial Review of Board DecisionsAppeal to Federal CircuitPTAB Jurisdiction
Topic

Pre-AIA 102(b) – Statutory Bar (MPEP 2133)

1 rules
StatutoryInformativeAlways
[mpep-1504-02-adb8ca40094f97888f07a8a5]
Timely U.S. Application Required to Avoid Statutory Bar
Note:
If the U.S. application is not timely filed, a statutory bar arises under pre-AIA 35 U.S.C. 102(d) as modified by 35 U.S.C. 172.

Registration of a design abroad is considered to be equivalent to patenting for priority purposes under 35 U.S.C. 119(a) – (d) and for prior art purposes pre-AIA 35 U.S.C. 102(d), whether or not the foreign grant is published. (See Ex parte Lancaster, 151 USPQ 713 (Bd. App. 1965); Ex parte Marinissen, 155 USPQ 528 (Bd. App. 1966); Appeal No. 239-48, Decided April 30, 1965, 151 USPQ 711, (Bd. App. 1965); Ex parte Appeal decided September 3, 1968, 866 O.G. 16 (Bd. App. 1966). The basis of this practice is that if the foreign applicant has received the protection offered in the foreign country, no matter what the protection is called (“patent,” “Design Registration,” etc.), if the United States application is timely filed, a claim for priority will vest. If, on the other hand, the U.S. application is not timely filed, a statutory bar arises under pre-AIA 35 U.S.C. 102(d) as modified by 35 U.S.C. 172. In order for the filing to be timely for priority purposes and to avoid possible statutory bars, the U.S. design patent application must be made within 6 months of the foreign filing. See also MPEP § 1504.10.

Jump to MPEP SourcePre-AIA 102(b) – Statutory Bar (MPEP 2133)Design NoveltyAIA vs Pre-AIA 102 (MPEP 2151)
Topic

Form Paragraph Usage

1 rules
StatutoryRecommendedAlways
[mpep-1504-02-5d3716e9a5656aec89940cbe]
Form Paragraph Must Be Used Once Per Office Action
Note:
This rule requires that a specific form paragraph be used only once in each office action.

2. This form paragraph should only be used ONCE in an Office action.

35 U.S.C.Form Paragraph UsageForm ParagraphsExaminer's Action (37 CFR 1.104)
Topic

Design Patent Practice

1 rules
StatutoryInformativeAlways
[mpep-1504-02-35c07a20c3e05a021b5d04d5]
Requirement for Design Patent Rejection on Another Basis
Note:
This rule requires the use of a specific form paragraph when rejecting a design patent application under 35 U.S.C. 171 on another basis, where statutory text is already present.

1. This form paragraph is to be used ONLY when a rejection under 35 U.S.C. 171 on another basis has been made and the statutory text thereof is already present.

35 U.S.C.Design Patent Practice
Topic

Interviews in National Stage

1 rules
StatutoryInformativeAlways
[mpep-1504-02-bdce19ae9daf30008fc89868]
Determine Reference’s Pre-AIA or Pre-AIPA 35 U.S.C. 102(e) Date
Note:
Use form paragraphs to determine the pre-AIA or pre-AIPA 35 U.S.C. 102(e) date for references based on their filing dates and types.

2. Use pre-AIA 35 U.S.C. 102(e) as amended by the American Inventor’s Protection Act (AIPA) (form paragraph 7.12.fti) to determine the reference’s prior art date, unless the reference is a U.S. patent issued directly, or indirectly, from an international application which has an international filing date prior to November 29, 2000. Use pre-AIPA 35 U.S.C. 102(e) (form paragraph 7.12.01.fti) only if the reference is a U.S. patent issued directly or indirectly from either a national stage of an international application (application under 35 U.S.C. 371) which has an international filing date prior to November 29, 2000, or a continuing application claiming benefit under 35 U.S.C. 120, 121, 365(c), or 386(c) to an international application having an international filing date prior to November 29, 2000. See the Examiner Notes for form paragraphs 7.12.fti and 7.12.01.fti to assist in the determination of the reference’s pre-AIA or pre-AIPA 35 U.S.C. 102(e) date.

35 U.S.C.Interviews in National StageRejections in National StageRequest Content and Form
Topic

First Inventor to File (FITF) System

1 rules
MPEP GuidanceRecommendedAlways
[mpep-1504-02-193ef3953731bb820afab051]
Application Examined Under AIA FITF Provisions
Note:
This form paragraph applies to any application subject to the first inventor to file provisions of the AIA, ensuring compliance with FITF requirements.

This form paragraph should be used in any application subject to the first inventor to file provisions of the AIA.

Jump to MPEP SourceFirst Inventor to File (FITF) SystemAIA vs Pre-AIA Practice

Examiner Form Paragraphs

Examiner form paragraphs are standard language that you might see in an Office Action or communication from the USPTO. Examiners have latitude to change the form paragraphs, but you will often see this exact language.

Citations

Primary topicCitation
AIA Effective Dates
Anticipation/Novelty
Design Anticipation Analysis
Design Novelty
Prior Art Under AIA 35 U.S.C. 102 (MPEP 2150-2159)
Prior Art for Designs
35 U.S.C. § 102
Patented Prior Art (MPEP 2152.02(a))35 U.S.C. § 102(a)(2)
Public Use Under AIA (MPEP 2152.02(c))35 U.S.C. § 102(b)
Assignee as Applicant Signature
Design Novelty
Pre-AIA 102(b) – Statutory Bar (MPEP 2133)
Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)
Prior Art Under AIA 35 U.S.C. 102 (MPEP 2150-2159)
Prior Art for Designs
35 U.S.C. § 102(d)
AIA 102(a)(2) – Earlier Filed Applications (MPEP 2154)
Determining Whether Application Is AIA or Pre-AIA
Interviews in National Stage
Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)
35 U.S.C. § 102(e)
Assignee as Applicant Signature35 U.S.C. § 102(f)
Assignee as Applicant Signature
Design Novelty
Pre-AIA 102(b) – Statutory Bar (MPEP 2133)
Prior Art for Designs
35 U.S.C. § 119(a)
AIA 102(a)(2) – Earlier Filed Applications (MPEP 2154)
Interviews in National Stage
35 U.S.C. § 120
Determining Whether Application Is AIA or Pre-AIA
Patented Prior Art (MPEP 2152.02(a))
35 U.S.C. § 122
AIA vs Pre-AIA Practice
Assignee as Applicant Signature
Design Patent Practice
35 U.S.C. § 171
Assignee as Applicant Signature
Design Novelty
Pre-AIA 102(b) – Statutory Bar (MPEP 2133)
Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)
Prior Art Under AIA 35 U.S.C. 102 (MPEP 2150-2159)
Prior Art for Designs
35 U.S.C. § 172
AIA 102(a)(2) – Earlier Filed Applications (MPEP 2154)
Interviews in National Stage
35 U.S.C. § 371
Appeal to Federal Circuit
Judicial Review of Board Decisions
MPEP § 1502
AIA vs Pre-AIA Practice
Assignee as Applicant Signature
MPEP § 1504.01(c)
Assignee as Applicant Signature
Design Novelty
Pre-AIA 102(b) – Statutory Bar (MPEP 2133)
Prior Art for Designs
MPEP § 1504.10
Public Use Under AIA (MPEP 2152.02(c))MPEP § 2133.03(e)
Public Use Under AIA (MPEP 2152.02(c))MPEP § 2133.03(e)(6)
Form Paragraph § 15.07.01
AIA Effective DatesForm Paragraph § 15.10.15
Assignee as Applicant SignatureForm Paragraph § 15.24.05
AIA 102(a)(2) – Earlier Filed Applications (MPEP 2154)
Interviews in National Stage
Form Paragraph § 7.12
AIA 102(a)(2) – Earlier Filed Applications (MPEP 2154)
Interviews in National Stage
Form Paragraph § 7.12.01
Anticipation/NoveltyDecker, Inc. v. Pittway Corp., 636 F.2d 1193, 231 USPQ 252 (N.D. Ill. 1986)
Design Anticipation Analysis
Design Novelty
Prior Art for Designs
Door-Master Corp. v. Yorktowne, Inc., 256 F.3d 1308, 1313, 59 USPQ2d 1472, 1475 (Fed. Cir. 2001)
35 U.S.C. 102 – Novelty / Prior Art
Patented Prior Art (MPEP 2152.02(a))
Ethicon Endo-Surgery, Inc. v. Covidien, Inc., 796 F.3d 1312, 1333, 115 USPQ2d 1880, 1896 (Fed. Cir. 2015)
Design Anticipation Analysis
Design Novelty
Prior Art for Designs
Hupp v. Siroflex of America Inc., 122 F.3d 1456, 43 USPQ2d 1887 (Fed. Cir. 1997)
Anticipation/NoveltyIn re Cornwall, 230 F.2d 457, 109 USPQ 57 (CCPA 1956)
Public Use Under AIA (MPEP 2152.02(c))In re Mann, 861 F.2d 1581, 8 USPQ2d 2030 (Fed. Cir. 1988)
Anticipation/NoveltyIn re Zonenstein, 172 F.2d 599, 80 USPQ 522, 523 (CCPA 1949)
35 U.S.C. 102 – Novelty / Prior Art
Patented Prior Art (MPEP 2152.02(a))
See Richardson v. Stanley Works Inc., 597 F.3d 1288, 1295, 93 USPQ2d 1937, 1941 (Fed. Cir. 2010)
Public Use Under AIA (MPEP 2152.02(c))Tone Brothers, Inc. v. Sysco Corp., 28 F.3d 1192, 1200, 31 USPQ2d 1321, 1326 (Fed. Cir. 1994)
35 U.S.C. 102 – Novelty / Prior Art
Patented Prior Art (MPEP 2152.02(a))
citing Amini Innovation Corp. v. Anthony California Inc., 439 F.3d 1365, 1371, 78 USPQ2d 1147, 1151 (Fed. Cir. 2006)

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