MPEP § 2107 — Guidelines for Examination of Applications for Compliance with the Utility Requirement (Annotated Rules)

§2107 Guidelines for Examination of Applications for Compliance with the Utility Requirement

USPTO MPEP version: BlueIron's Update: 2026-01-10

This page consolidates and annotates all enforceable requirements under MPEP § 2107, 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.

Guidelines for Examination of Applications for Compliance with the Utility Requirement

This section addresses Guidelines for Examination of Applications for Compliance with the Utility Requirement. Primary authority: 35 U.S.C. 101, 35 U.S.C. 112(a), and 35 U.S.C. 112. Contains: 6 requirements, 5 guidance statements, and 7 other statements.

Key Rules

Topic

Statutory Authority for Examination

8 rules
StatutoryInformativeAlways
[mpep-2107-4c274544dea5f19c5c2ab3f7]
Guidelines for Examining Utility Compliance
Note:
These guidelines outline the procedures Office personnel must follow to evaluate patent applications for compliance with utility requirements under 35 U.S.C. 101 and 112.

The following Guidelines establish the policies and procedures to be followed by Office personnel in the evaluation of any patent application for compliance with the utility requirements of 35 U.S.C. 101 and 35 U.S.C. 112(a), or pre-AIA 35 U.S.C. 112, first paragraph. These Guidelines have been promulgated to assist Office personnel in their review of applications for compliance with the utility requirement. The Guidelines do not alter the substantive requirements of 35 U.S.C. 101 and 35 U.S.C. 112, nor are they designed to obviate the examiner’s review of applications for compliance with all other statutory requirements for patentability. The Guidelines do not constitute substantive rulemaking and hence do not have the force and effect of law. Rejections will be based upon the substantive law, and it is these rejections which are appealable. Consequently, any perceived failure by Office personnel to follow these Guidelines is neither appealable nor petitionable.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresUtility Requirement
StatutoryInformativeAlways
[mpep-2107-f9548b85b7433ff9684b2206]
Guidelines for Examining Utility Requirements
Note:
These guidelines assist Office personnel in evaluating patent applications to ensure they meet the utility requirements of 35 U.S.C. 101 and 112.

The following Guidelines establish the policies and procedures to be followed by Office personnel in the evaluation of any patent application for compliance with the utility requirements of 35 U.S.C. 101 and 35 U.S.C. 112(a), or pre-AIA 35 U.S.C. 112, first paragraph. These Guidelines have been promulgated to assist Office personnel in their review of applications for compliance with the utility requirement. The Guidelines do not alter the substantive requirements of 35 U.S.C. 101 and 35 U.S.C. 112, nor are they designed to obviate the examiner’s review of applications for compliance with all other statutory requirements for patentability. The Guidelines do not constitute substantive rulemaking and hence do not have the force and effect of law. Rejections will be based upon the substantive law, and it is these rejections which are appealable. Consequently, any perceived failure by Office personnel to follow these Guidelines is neither appealable nor petitionable.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresUtility Requirement
StatutoryInformativeAlways
[mpep-2107-0f4db93d1bd09dd901a4c5c7]
Utility Guidelines Do Not Alter Substantive Requirements
Note:
The guidelines provide policies and procedures for evaluating patent applications for utility but do not change the substantive requirements of 35 U.S.C. 101 and 112, nor exempt examiners from reviewing all statutory requirements.

The following Guidelines establish the policies and procedures to be followed by Office personnel in the evaluation of any patent application for compliance with the utility requirements of 35 U.S.C. 101 and 35 U.S.C. 112(a), or pre-AIA 35 U.S.C. 112, first paragraph. These Guidelines have been promulgated to assist Office personnel in their review of applications for compliance with the utility requirement. The Guidelines do not alter the substantive requirements of 35 U.S.C. 101 and 35 U.S.C. 112, nor are they designed to obviate the examiner’s review of applications for compliance with all other statutory requirements for patentability. The Guidelines do not constitute substantive rulemaking and hence do not have the force and effect of law. Rejections will be based upon the substantive law, and it is these rejections which are appealable. Consequently, any perceived failure by Office personnel to follow these Guidelines is neither appealable nor petitionable.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresPatent Eligibility
StatutoryInformativeAlways
[mpep-2107-a581f3ca434a189f53fcb00e]
Guidelines for Examination of Utility Requirements Are Not Substantive Rules
Note:
The guidelines provide policies and procedures for evaluating patent applications but do not alter substantive requirements or have legal force.

The following Guidelines establish the policies and procedures to be followed by Office personnel in the evaluation of any patent application for compliance with the utility requirements of 35 U.S.C. 101 and 35 U.S.C. 112(a), or pre-AIA 35 U.S.C. 112, first paragraph. These Guidelines have been promulgated to assist Office personnel in their review of applications for compliance with the utility requirement. The Guidelines do not alter the substantive requirements of 35 U.S.C. 101 and 35 U.S.C. 112, nor are they designed to obviate the examiner’s review of applications for compliance with all other statutory requirements for patentability. The Guidelines do not constitute substantive rulemaking and hence do not have the force and effect of law. Rejections will be based upon the substantive law, and it is these rejections which are appealable. Consequently, any perceived failure by Office personnel to follow these Guidelines is neither appealable nor petitionable.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresUtility Requirement
StatutoryInformativeAlways
[mpep-2107-2ac34278c2f8d4aba2b57c80]
Rejections Based on Substantive Law Are Appealable
Note:
This rule states that rejections based on substantive law, such as utility requirements under 35 U.S.C. 101 and 112, are appealable, while any perceived failure to follow the Guidelines is not.

The following Guidelines establish the policies and procedures to be followed by Office personnel in the evaluation of any patent application for compliance with the utility requirements of 35 U.S.C. 101 and 35 U.S.C. 112(a), or pre-AIA 35 U.S.C. 112, first paragraph. These Guidelines have been promulgated to assist Office personnel in their review of applications for compliance with the utility requirement. The Guidelines do not alter the substantive requirements of 35 U.S.C. 101 and 35 U.S.C. 112, nor are they designed to obviate the examiner’s review of applications for compliance with all other statutory requirements for patentability. The Guidelines do not constitute substantive rulemaking and hence do not have the force and effect of law. Rejections will be based upon the substantive law, and it is these rejections which are appealable. Consequently, any perceived failure by Office personnel to follow these Guidelines is neither appealable nor petitionable.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresUtility Requirement
StatutoryRecommendedAlways
[mpep-2107-a610b5175d713687e6d02276]
Evidence Must Relate to Disclosed Properties
Note:
The examiner must ensure that any evidence submitted by the applicant supports and relates to the properties of the claimed invention as originally disclosed in the application.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
(3) If the applicant has not asserted any specific and substantial utility for the claimed invention and it does not have a readily apparent well-established utility, impose a rejection under 35 U.S.C. 101, emphasizing that the applicant has not disclosed a specific and substantial utility for the invention. Also impose a separate rejection under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, on the basis that the applicant has not disclosed how to use the invention due to the lack of a specific and substantial utility. The 35 U.S.C. 101 and 35 U.S.C. 112 rejections shift the burden of coming forward with evidence to the applicant to:

The examiner should also ensure that there is an adequate nexus between the evidence and the properties of the now claimed subject matter as disclosed in the application as filed.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresHow to Use the Invention (MPEP 2164.01(c))
StatutoryRequiredAlways
[mpep-2107-a7e0812894c99d6d499af224]
Office Personnel Must Accept Qualified Expert Opinions
Note:
Office personnel must accept an expert opinion based on unchallenged facts, even if they disagree with the significance of those facts.

Office personnel are reminded that they must treat as true a statement of fact made by an applicant in relation to an asserted utility, unless countervailing evidence can be provided that shows that one of ordinary skill in the art would have a legitimate basis to doubt the credibility of such a statement. Similarly, Office personnel must accept an opinion from a qualified expert that is based upon relevant facts whose accuracy is not being questioned; it is improper to disregard the opinion solely because of a disagreement over the significance or meaning of the facts offered.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresPOSITA in Obviousness Analysis
StatutoryInformativeAlways
[mpep-2107-20df965f5e0b431dddb82998]
Applicant Must Prove Utility After Prima Facie Showing
Note:
The applicant must provide evidence, amend claims, or offer arguments to demonstrate specific and substantial credible utility after a prima facie showing of lack thereof has been established.

Once a prima facie showing of no specific and substantial credible utility has been properly established, the applicant bears the burden of rebutting it. The applicant can do this by amending the claims, by providing reasoning or arguments, or by providing evidence in the form of a declaration under 37 CFR 1.132 or a patent or a printed publication that rebuts the basis or logic of the prima facie showing. If the applicant responds to the prima facie rejection, the Office personnel should review the original disclosure, any evidence relied upon in establishing the prima facie showing, any claim amendments, and any new reasoning or evidence provided by the applicant in support of an asserted specific and substantial credible utility. It is essential for Office personnel to recognize, fully consider and respond to each substantive element of any response to a rejection based on lack of utility. Only where the totality of the record continues to show that the asserted utility is not specific, substantial, and credible should a rejection based on lack of utility be maintained.

Jump to MPEP Source · 37 CFR 1.132Statutory Authority for ExaminationExamination ProceduresRejection vs. Objection
Topic

Determining Whether Application Is AIA or Pre-AIA

6 rules
StatutoryRequiredAlways
[mpep-2107-bddf6f6ae5b0162cd3b309f7]
Claimed Invention Must Have Specific and Substantial Utility
Note:
Patent claims must demonstrate a practical purpose that is credible to a person of ordinary skill in the art, excluding nonspecific or insubstantial utilities.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
(1) If the applicant has asserted that the claimed invention is useful for any particular practical purpose (i.e., it has a “specific and substantial utility”) and the assertion would be considered credible by a person of ordinary skill in the art, do not impose a rejection based on lack of utility. (i) A claimed invention must have a specific and substantial utility. This requirement excludes “throw-away,” “insubstantial,” or “nonspecific” utilities, such as the use of a complex invention as landfill, as a way of satisfying the utility requirement of 35 U.S.C. 101.

Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIASpecific, Substantial, and Credible UtilityDetermining AIA vs Pre-AIA Applicability (MPEP 2159)
StatutoryRequiredAlways
[mpep-2107-a1263bccabf7ccf4080c2872]
One Credible Utility Assertion Per Invention Required
Note:
An applicant must provide at least one credible assertion of specific and substantial utility for each claimed invention to satisfy the utility requirement.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
(1) If the applicant has asserted that the claimed invention is useful for any particular practical purpose (i.e., it has a “specific and substantial utility”) and the assertion would be considered credible by a person of ordinary skill in the art, do not impose a rejection based on lack of utility.

An applicant need only provide one credible assertion of specific and substantial utility for each claimed invention to satisfy the utility requirement.

Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIASpecific, Substantial, and Credible UtilityAssignee as Applicant Signature
StatutoryRequiredAlways
[mpep-2107-bb5a5dc302512a158c787d2a]
Assertion of Specific Utility Required for Patentability
Note:
If the applicant asserts a specific and substantial utility that is credible to a person of ordinary skill in the art, do not reject the claim for lack of utility.
(1) If the applicant has asserted that the claimed invention is useful for any particular practical purpose (i.e., it has a “specific and substantial utility”) and the assertion would be considered credible by a person of ordinary skill in the art, do not impose a rejection based on lack of utility.
  • (i) A claimed invention must have a specific and substantial utility. This requirement excludes “throw-away,” “insubstantial,” or “nonspecific” utilities, such as the use of a complex invention as landfill, as a way of satisfying the utility requirement of 35 U.S.C. 101.
  • (ii) Credibility is assessed from the perspective of one of ordinary skill in the art in view of the disclosure and any other evidence of record (e.g., test data, affidavits or declarations from experts in the art, patents or printed publications) that is probative of the applicant’s assertions. An applicant need only provide one credible assertion of specific and substantial utility for each claimed invention to satisfy the utility requirement.
Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIASpecific, Substantial, and Credible UtilityAssignee as Applicant Signature
StatutoryRequiredAlways
[mpep-2107-fc622ec2916f822003e962d7]
Burden to Establish Nexus Between Evidence and Disclosed Properties
Note:
The applicant must show a probative relation between submitted evidence and the originally disclosed properties of the claimed invention.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
(3) If the applicant has not asserted any specific and substantial utility for the claimed invention and it does not have a readily apparent well-established utility, impose a rejection under 35 U.S.C. 101, emphasizing that the applicant has not disclosed a specific and substantial utility for the invention. Also impose a separate rejection under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, on the basis that the applicant has not disclosed how to use the invention due to the lack of a specific and substantial utility. The 35 U.S.C. 101 and 35 U.S.C. 112 rejections shift the burden of coming forward with evidence to the applicant to:

That is, the applicant has the burden to establish a probative relation between the submitted evidence and the originally disclosed properties of the claimed invention.

Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIAAssignee as Applicant SignatureDetermining AIA vs Pre-AIA Applicability (MPEP 2159)
StatutoryRecommendedAlways
[mpep-2107-40741c08ffee318bf63a1f35]
Examiner Must Explain Lack of Utility with Evidence
Note:
The examiner must provide a detailed explanation and supporting evidence, such as scientific journals or patents, to justify rejecting an invention based on lack of utility.
(C) Any rejection based on lack of utility should include a detailed explanation why the claimed invention has no specific and substantial credible utility. Whenever possible, the examiner should provide documentary evidence regardless of publication date (e.g., scientific or technical journals, excerpts from treatises or books, or U.S. or foreign patents) to support the factual basis for the prima facie showing of no specific and substantial credible utility. If documentary evidence is not available, the examiner should specifically explain the scientific basis for his or her factual conclusions.
  • (1) Where the asserted utility is not specific or substantial, a prima facie showing must establish that it is more likely than not that a person of ordinary skill in the art would not consider that any utility asserted by the applicant would be specific and substantial. The prima facie showing must contain the following elements:
    • (i) An explanation that clearly sets forth the reasoning used in concluding that the asserted utility for the claimed invention is not both specific and substantial nor well-established;
    • (ii) Support for factual findings relied upon in reaching this conclusion; and
    • (iii) An evaluation of all relevant evidence of record, including utilities taught in the closest prior art.
  • (2) Where the asserted specific and substantial utility is not credible, a prima facie showing of no specific and substantial credible utility must establish that it is more likely than not that a person skilled in the art would not consider credible any specific and substantial utility asserted by the applicant for the claimed invention. The prima facie showing must contain the following elements:
    • (i) An explanation that clearly sets forth the reasoning used in concluding that the asserted specific and substantial utility is not credible;
    • (ii) Support for factual findings relied upon in reaching this conclusion; and
    • (iii) An evaluation of all relevant evidence of record, including utilities taught in the closest prior art.
  • (3) Where no specific and substantial utility is disclosed or is well-established, a prima facie showing of no specific and substantial utility need only establish that applicant has not asserted a utility and that, on the record before the examiner, there is no known well-established utility.
Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIASpecific, Substantial, and Credible UtilityDetermining AIA vs Pre-AIA Applicability (MPEP 2159)
StatutoryRecommendedAlways
[mpep-2107-81e6846931c0adb85e1b88e5]
Utility Must Be Credible for Patent
Note:
A rejection based on lack of utility should not be maintained if the asserted utility is specific, substantial, and credible to a person of ordinary skill in the art according to all evidence of record.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:

(D) A rejection based on lack of utility should not be maintained if an asserted utility for the claimed invention would be considered specific, substantial, and credible by a person of ordinary skill in the art in view of all evidence of record.

Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIADetermining AIA vs Pre-AIA Applicability (MPEP 2159)Person of Ordinary Skill in the Art
Topic

Rejections Not Based on Prior Art

3 rules
StatutoryRequiredAlways
[mpep-2107-372298779866c195e5058939]
Requirement for Specific and Substantial Utility
Note:
Office personnel must ensure that the claimed invention has a specific and substantial utility, not just an insubstantial or nonspecific use like landfill.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
(1) If the applicant has asserted that the claimed invention is useful for any particular practical purpose (i.e., it has a “specific and substantial utility”) and the assertion would be considered credible by a person of ordinary skill in the art, do not impose a rejection based on lack of utility. (i) A claimed invention must have a specific and substantial utility. This requirement excludes “throw-away,” “insubstantial,” or “nonspecific” utilities, such as the use of a complex invention as landfill, as a way of satisfying the utility requirement of 35 U.S.C. 101.

Jump to MPEP SourceRejections Not Based on Prior ArtUtility RequirementPatent Eligibility
StatutoryRecommendedAlways
[mpep-2107-bacd28e02bcba809848bd3d9]
35 U.S.C. 101 Rejection Must Incorporate 112(a) Grounds
Note:
When rejecting claims under 35 U.S.C. 101 for lack of utility, the rejection must also incorporate the grounds from a corresponding 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, rejection.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:

The 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, rejection imposed in conjunction with a 35 U.S.C. 101 rejection should incorporate by reference the grounds of the corresponding 35 U.S.C. 101 rejection.

Jump to MPEP SourceRejections Not Based on Prior ArtRejection on Prior ArtRejection of Claims
StatutoryInformativeAlways
[mpep-2107-fd118ced7c794990a9107d68]
Withdraw Utility Rejections If Satisfactorily Rebuted
Note:
If the applicant successfully challenges a prima facie rejection based on lack of utility under 35 U.S.C. 101, withdraw both the 35 U.S.C. 101 and corresponding 35 U.S.C. 112 rejections.

If the applicant satisfactorily rebuts a prima facie rejection based on lack of utility under 35 U.S.C. 101, withdraw the 35 U.S.C. 101 rejection and the corresponding rejection imposed under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.

Jump to MPEP SourceRejections Not Based on Prior ArtAssignee as Applicant SignatureApplicant and Assignee Filing Under AIA
Topic

Assignee as Applicant Signature

2 rules
StatutoryRequiredAlways
[mpep-2107-4bc1d8fc1ddd23ba0d1f34bc]
Requirement for Determining Applicant’s Claimed Invention
Note:
Office personnel must identify and note any specific embodiments of the invention as claimed by the applicant when reviewing patent applications for utility requirements.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(A) Read the claims and the supporting written description. (1) Determine what the applicant has claimed, noting any specific embodiments of the invention.

Jump to MPEP SourceAssignee as Applicant SignatureApplicant and Assignee Filing Under AIAStatutory Authority for Examination
StatutoryRequiredAlways
[mpep-2107-6def1439dcfa8968f688f748]
Credible Utility Assertion Required
Note:
Office personnel must assess the credibility of an applicant's utility assertion from the perspective of a person skilled in the art, using the disclosure and other probative evidence.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
(1) If the applicant has asserted that the claimed invention is useful for any particular practical purpose (i.e., it has a “specific and substantial utility”) and the assertion would be considered credible by a person of ordinary skill in the art, do not impose a rejection based on lack of utility.

(ii) Credibility is assessed from the perspective of one of ordinary skill in the art in view of the disclosure and any other evidence of record (e.g., test data, affidavits or declarations from experts in the art, patents or printed publications) that is probative of the applicant’s assertions.

Jump to MPEP SourceAssignee as Applicant SignatureApplicant and Assignee Filing Under AIAPerson of Ordinary Skill in the Art
Topic

POSITA in Obviousness Analysis

2 rules
StatutoryRequiredAlways
[mpep-2107-caca39b10705381a0af68d96]
Provide Evidence of Established Utility
Note:
The applicant must provide evidence that a person skilled in the art would have recognized the specific and substantial utility of the invention at the time of filing.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
(3) If the applicant has not asserted any specific and substantial utility for the claimed invention and it does not have a readily apparent well-established utility, impose a rejection under 35 U.S.C. 101, emphasizing that the applicant has not disclosed a specific and substantial utility for the invention. Also impose a separate rejection under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, on the basis that the applicant has not disclosed how to use the invention due to the lack of a specific and substantial utility. The 35 U.S.C. 101 and 35 U.S.C. 112 rejections shift the burden of coming forward with evidence to the applicant to:

(ii) Provide evidence that one of ordinary skill in the art would have recognized that the identified specific and substantial utility was well-established at the time of filing.

Jump to MPEP SourcePOSITA in Obviousness AnalysisSpecific, Substantial, and Credible UtilityPerson of Ordinary Skill in the Art
StatutoryRequiredAlways
[mpep-2107-dbc79452cce80f3a335955d2]
Office Personnel Must Accept Applicant's Utility Statement Unless Doubtful
Note:
Office personnel must accept an applicant’s statement of fact regarding utility unless countervailing evidence shows a legitimate reason to doubt its credibility.

Office personnel are reminded that they must treat as true a statement of fact made by an applicant in relation to an asserted utility, unless countervailing evidence can be provided that shows that one of ordinary skill in the art would have a legitimate basis to doubt the credibility of such a statement. Similarly, Office personnel must accept an opinion from a qualified expert that is based upon relevant facts whose accuracy is not being questioned; it is improper to disregard the opinion solely because of a disagreement over the significance or meaning of the facts offered.

Jump to MPEP SourcePOSITA in Obviousness AnalysisPerson of Ordinary Skill in the ArtStatutory Authority for Examination
Topic

Rejection of Claims

2 rules
StatutoryRecommendedAlways
[mpep-2107-e019d7bfe50584f1262c6cb9]
Office Personnel Must Review Applicant's Response to Utility Rejection
Note:
The Office personnel must review the original disclosure, evidence, claim amendments, and new reasoning provided by the applicant in response to a utility rejection.

Once a prima facie showing of no specific and substantial credible utility has been properly established, the applicant bears the burden of rebutting it. The applicant can do this by amending the claims, by providing reasoning or arguments, or by providing evidence in the form of a declaration under 37 CFR 1.132 or a patent or a printed publication that rebuts the basis or logic of the prima facie showing. If the applicant responds to the prima facie rejection, the Office personnel should review the original disclosure, any evidence relied upon in establishing the prima facie showing, any claim amendments, and any new reasoning or evidence provided by the applicant in support of an asserted specific and substantial credible utility. It is essential for Office personnel to recognize, fully consider and respond to each substantive element of any response to a rejection based on lack of utility. Only where the totality of the record continues to show that the asserted utility is not specific, substantial, and credible should a rejection based on lack of utility be maintained.

Jump to MPEP Source · 37 CFR 1.132Rejection of ClaimsStatutory Authority for ExaminationExamination Procedures
StatutoryRecommendedAlways
[mpep-2107-2bfb421d26a7c2b4ff1573d5]
Utility Must Be Specific, Substantial, and Credible
Note:
A rejection based on lack of utility should be maintained only if the record shows that the asserted utility is not specific, substantial, and credible.

Once a prima facie showing of no specific and substantial credible utility has been properly established, the applicant bears the burden of rebutting it. The applicant can do this by amending the claims, by providing reasoning or arguments, or by providing evidence in the form of a declaration under 37 CFR 1.132 or a patent or a printed publication that rebuts the basis or logic of the prima facie showing. If the applicant responds to the prima facie rejection, the Office personnel should review the original disclosure, any evidence relied upon in establishing the prima facie showing, any claim amendments, and any new reasoning or evidence provided by the applicant in support of an asserted specific and substantial credible utility. It is essential for Office personnel to recognize, fully consider and respond to each substantive element of any response to a rejection based on lack of utility. Only where the totality of the record continues to show that the asserted utility is not specific, substantial, and credible should a rejection based on lack of utility be maintained.

Jump to MPEP Source · 37 CFR 1.132Rejection of ClaimsStatutory Authority for ExaminationExamination Procedures
Topic

POSITA in Enablement Analysis

1 rules
StatutoryRequiredAlways
[mpep-2107-0b209f2e4d697bb3cc11e56b]
Review Procedure for Utility Requirement
Note:
Office personnel must review patent applications to ensure claims meet the utility requirement of 35 U.S.C. 101 and 112(a) or pre-AIA 112, first paragraph.
Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
  • (A) Read the claims and the supporting written description.
    • (1) Determine what the applicant has claimed, noting any specific embodiments of the invention.
    • (2) Ensure that the claims define statutory subject matter (i.e., a process, machine, manufacture, composition of matter, or improvement thereof).
    • (3) If at any time during the examination, it becomes readily apparent that the claimed invention has a well-established utility, do not impose a rejection based on lack of utility. An invention has a well-established utility if (i) a person of ordinary skill in the art would immediately appreciate why the invention is useful based on the characteristics of the invention (e.g., properties or applications of a product or process), and (ii) the utility is specific, substantial, and credible.
  • (B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
    • (1) If the applicant has asserted that the claimed invention is useful for any particular practical purpose (i.e., it has a “specific and substantial utility”) and the assertion would be considered credible by a person of ordinary skill in the art, do not impose a rejection based on lack of utility.
      • (i) A claimed invention must have a specific and substantial utility. This requirement excludes “throw-away,” “insubstantial,” or “nonspecific” utilities, such as the use of a complex invention as landfill, as a way of satisfying the utility requirement of 35 U.S.C. 101.
      • (ii) Credibility is assessed from the perspective of one of ordinary skill in the art in view of the disclosure and any other evidence of record (e.g., test data, affidavits or declarations from experts in the art, patents or printed publications) that is probative of the applicant’s assertions. An applicant need only provide one credible assertion of specific and substantial utility for each claimed invention to satisfy the utility requirement.
    • (2) If no assertion of specific and substantial utility for the claimed invention made by the applicant is credible, and the claimed invention does not have a readily apparent well-established utility, reject the claim(s) under 35 U.S.C. 101 on the grounds that the invention as claimed lacks utility. Also reject the claims under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, on the basis that the disclosure fails to teach how to use the invention as claimed. The 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, rejection imposed in conjunction with a 35 U.S.C. 101 rejection should incorporate by reference the grounds of the corresponding 35 U.S.C. 101 rejection.
    • (3) If the applicant has not asserted any specific and substantial utility for the claimed invention and it does not have a readily apparent well-established utility, impose a rejection under 35 U.S.C. 101, emphasizing that the applicant has not disclosed a specific and substantial utility for the invention. Also impose a separate rejection under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, on the basis that the applicant has not disclosed how to use the invention due to the lack of a specific and substantial utility. The 35 U.S.C. 101 and 35 U.S.C. 112 rejections shift the burden of coming forward with evidence to the applicant to:
      • (i) Explicitly identify a specific and substantial utility for the claimed invention; and
      • (ii) Provide evidence that one of ordinary skill in the art would have recognized that the identified specific and substantial utility was well-established at the time of filing. The examiner should review any subsequently submitted evidence of utility using the criteria outlined above. The examiner should also ensure that there is an adequate nexus between the evidence and the properties of the now claimed subject matter as disclosed in the application as filed. That is, the applicant has the burden to establish a probative relation between the submitted evidence and the originally disclosed properties of the claimed invention.
    • (C) Any rejection based on lack of utility should include a detailed explanation why the claimed invention has no specific and substantial credible utility. Whenever possible, the examiner should provide documentary evidence regardless of publication date (e.g., scientific or technical journals, excerpts from treatises or books, or U.S. or foreign patents) to support the factual basis for the prima facie showing of no specific and substantial credible utility. If documentary evidence is not available, the examiner should specifically explain the scientific basis for his or her factual conclusions.
      • (1) Where the asserted utility is not specific or substantial, a prima facie showing must establish that it is more likely than not that a person of ordinary skill in the art would not consider that any utility asserted by the applicant would be specific and substantial. The prima facie showing must contain the following elements:
        • (i) An explanation that clearly sets forth the reasoning used in concluding that the asserted utility for the claimed invention is not both specific and substantial nor well-established;
        • (ii) Support for factual findings relied upon in reaching this conclusion; and
        • (iii) An evaluation of all relevant evidence of record, including utilities taught in the closest prior art.
      • (2) Where the asserted specific and substantial utility is not credible, a prima facie showing of no specific and substantial credible utility must establish that it is more likely than not that a person skilled in the art would not consider credible any specific and substantial utility asserted by the applicant for the claimed invention. The prima facie showing must contain the following elements:
        • (i) An explanation that clearly sets forth the reasoning used in concluding that the asserted specific and substantial utility is not credible;
        • (ii) Support for factual findings relied upon in reaching this conclusion; and
        • (iii) An evaluation of all relevant evidence of record, including utilities taught in the closest prior art.
      • (3) Where no specific and substantial utility is disclosed or is well-established, a prima facie showing of no specific and substantial utility need only establish that applicant has not asserted a utility and that, on the record before the examiner, there is no known well-established utility.
    • (D) A rejection based on lack of utility should not be maintained if an asserted utility for the claimed invention would be considered specific, substantial, and credible by a person of ordinary skill in the art in view of all evidence of record.
Jump to MPEP SourcePOSITA in Enablement AnalysisRejections Not Based on Prior ArtStatutory Categories of Invention
Topic

Composition of Matter

1 rules
StatutoryRequiredAlways
[mpep-2107-aae92faef2ab00d7bacc125d]
Claims Requirement for Statutory Subject Matter
Note:
Patent claims must describe a process, machine, manufacture, composition of matter, or improvement thereof to comply with the utility requirement.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(A) Read the claims and the supporting written description.

(2) Ensure that the claims define statutory subject matter (i.e., a process, machine, manufacture, composition of matter, or improvement thereof).

Jump to MPEP SourceComposition of MatterMachineManufacture (Article of Manufacture)
Topic

How to Use the Invention (MPEP 2164.01(c))

1 rules
StatutoryRequiredAlways
[mpep-2107-58ab95a4913674e6d894b59c]
No Credible Utility, No Patent
Note:
Reject claims if no credible specific and substantial utility is asserted and the invention lacks a well-established use.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:

(2) If no assertion of specific and substantial utility for the claimed invention made by the applicant is credible, and the claimed invention does not have a readily apparent well-established utility, reject the claim(s) under 35 U.S.C. 101 on the grounds that the invention as claimed lacks utility. Also reject the claims under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, on the basis that the disclosure fails to teach how to use the invention as claimed.

Jump to MPEP SourceHow to Use the Invention (MPEP 2164.01(c))Determining Whether Application Is AIA or Pre-AIARejections Not Based on Prior Art
Topic

Utility Requirement

1 rules
StatutoryRecommendedAlways
[mpep-2107-33a47c52b3a3f3669763ef35]
Examiner Must Review Subsequently Submitted Utility Evidence
Note:
The examiner is required to review any newly submitted evidence of utility using the established criteria.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
(3) If the applicant has not asserted any specific and substantial utility for the claimed invention and it does not have a readily apparent well-established utility, impose a rejection under 35 U.S.C. 101, emphasizing that the applicant has not disclosed a specific and substantial utility for the invention. Also impose a separate rejection under 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph, on the basis that the applicant has not disclosed how to use the invention due to the lack of a specific and substantial utility. The 35 U.S.C. 101 and 35 U.S.C. 112 rejections shift the burden of coming forward with evidence to the applicant to:

The examiner should review any subsequently submitted evidence of utility using the criteria outlined above.

Jump to MPEP SourceUtility RequirementStatutory Authority for ExaminationExamination Procedures
Topic

Specific, Substantial, and Credible Utility

1 rules
StatutoryRequiredAlways
[mpep-2107-483f1c0ee63392c9db645978]
No Specific and Substantial Utility Must Be Established
Note:
Examiners must show that the applicant has not asserted a specific and substantial utility, and there is no known well-established utility on the record.

Office personnel are to adhere to the following procedures when reviewing patent applications for compliance with the “useful invention” (“utility”) requirement of 35 U.S.C. 101 and 35 U.S.C. 112(a) or pre-AIA 35 U.S.C. 112, first paragraph.
(B) Review the claims and the supporting written description to determine if the applicant has asserted for the claimed invention any specific and substantial utility that is credible:
(C) Any rejection based on lack of utility should include a detailed explanation why the claimed invention has no specific and substantial credible utility. Whenever possible, the examiner should provide documentary evidence regardless of publication date (e.g., scientific or technical journals, excerpts from treatises or books, or U.S. or foreign patents) to support the factual basis for the prima facie showing of no specific and substantial credible utility. If documentary evidence is not available, the examiner should specifically explain the scientific basis for his or her factual conclusions.

(3) Where no specific and substantial utility is disclosed or is well-established, a prima facie showing of no specific and substantial utility need only establish that applicant has not asserted a utility and that, on the record before the examiner, there is no known well-established utility.

Jump to MPEP SourceSpecific, Substantial, and Credible UtilityAssignee as Applicant SignatureApplicant and Assignee Filing Under AIA
Topic

Rejection vs. Objection

1 rules
StatutoryPermittedAlways
[mpep-2107-9bffcdb2206087a90341afbd]
Requirement for Rebutting Prima Facie Showing of Lack of Utility
Note:
The applicant must provide evidence, amendments, or arguments to rebut a prima facie showing that the claimed invention lacks specific and substantial credible utility.

Once a prima facie showing of no specific and substantial credible utility has been properly established, the applicant bears the burden of rebutting it. The applicant can do this by amending the claims, by providing reasoning or arguments, or by providing evidence in the form of a declaration under 37 CFR 1.132 or a patent or a printed publication that rebuts the basis or logic of the prima facie showing. If the applicant responds to the prima facie rejection, the Office personnel should review the original disclosure, any evidence relied upon in establishing the prima facie showing, any claim amendments, and any new reasoning or evidence provided by the applicant in support of an asserted specific and substantial credible utility. It is essential for Office personnel to recognize, fully consider and respond to each substantive element of any response to a rejection based on lack of utility. Only where the totality of the record continues to show that the asserted utility is not specific, substantial, and credible should a rejection based on lack of utility be maintained.

Jump to MPEP Source · 37 CFR 1.132Rejection vs. ObjectionStatutory Authority for ExaminationExamination Procedures

Citations

Primary topicCitation
Assignee as Applicant Signature
Composition of Matter
Determining Whether Application Is AIA or Pre-AIA
How to Use the Invention (MPEP 2164.01(c))
POSITA in Enablement Analysis
POSITA in Obviousness Analysis
Rejections Not Based on Prior Art
Specific, Substantial, and Credible Utility
Statutory Authority for Examination
Utility Requirement
35 U.S.C. § 101
Assignee as Applicant Signature
Composition of Matter
Determining Whether Application Is AIA or Pre-AIA
How to Use the Invention (MPEP 2164.01(c))
POSITA in Enablement Analysis
POSITA in Obviousness Analysis
Rejections Not Based on Prior Art
Specific, Substantial, and Credible Utility
Statutory Authority for Examination
Utility Requirement
35 U.S.C. § 112
Assignee as Applicant Signature
Composition of Matter
Determining Whether Application Is AIA or Pre-AIA
How to Use the Invention (MPEP 2164.01(c))
POSITA in Enablement Analysis
POSITA in Obviousness Analysis
Rejections Not Based on Prior Art
Specific, Substantial, and Credible Utility
Statutory Authority for Examination
Utility Requirement
35 U.S.C. § 112(a)
Rejection of Claims
Rejection vs. Objection
Statutory Authority for Examination
37 CFR § 1.132

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: 2026-01-10