MPEP § 2143.02 — Reasonable Expectation of Success Is Required (Annotated Rules)

§2143.02 Reasonable Expectation of Success Is Required

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

This page consolidates and annotates all enforceable requirements under MPEP § 2143.02, 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.

Reasonable Expectation of Success Is Required

This section addresses Reasonable Expectation of Success Is Required. Primary authority: 35 U.S.C. 102. Contains: 3 requirements, 1 prohibition, 1 guidance statement, 4 permissions, and 16 other statements.

Key Rules

Topic

PTAB Jurisdiction

10 rules
StatutoryInformativeAlways
[mpep-2143-02-2976a238101b58303a34b909]
Requirement for Reasonable Expectation of Success in Combining Prior Art
Note:
The rule requires that there must be a likelihood of success when combining or modifying prior art to meet the limitations of the claimed invention.

Where there is a reason to modify or combine the prior art to achieve the claimed invention, the claims may be rejected as prima facie obvious provided there is also a reasonable expectation of success. The reasonable expectation of success requirement refers to “the likelihood of success” in combining or modifying prior art disclosures to meet the limitations of the claimed invention. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1375, 2023 USPQ2d 1100 (Fed. Cir. 2023) and Intelligent Bio-Sys., Inc. v. Illumina Cambridge Ltd., 821 F.3d 1359, 1367, 119 USPQ2d 1171, 1176 (Fed. Cir. 2016). See MPEP § 2143 for guidance on rationales for modifying or combining the prior art. In In re Merck & Co., Inc., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986), the Board affirmed a rejection of claims directed to a method of treating depression with amitriptyline (or nontoxic salts thereof) as prima facie obvious. The prior art disclosed that amitriptyline is a compound known to possess psychotropic properties and that imipramine is a structurally similar psychotropic compound known to possess antidepressive properties. Additional prior art, suggested that these compounds would have been expected to have similar activity because the structural difference between them involved a known bioisosteric replacement, and because a research paper comparing the pharmacological properties of these two compounds suggested clinical testing of amitriptyline as an antidepressant. The court affirmed the Board’s determination, finding that the teachings of the prior art provided a sufficient basis for a reasonable expectation of success.) In Ex parte Blanc, 13 USPQ2d 1383 (Bd. Pat. App. & Inter. 1989) (the claims were directed to a process of sterilizing a polyolefinic composition with high-energy radiation in the presence of a phenolic polyester antioxidant to inhibit discoloration or degradation of the polyolefin. Appellant argued that it is unpredictable whether a particular antioxidant will solve the problem of discoloration or degradation. However, the Board found that because the prior art taught that appellant’s preferred antioxidant is very efficient and provides better results compared with other prior art antioxidants, there would have been a reasonable expectation of success.).

Jump to MPEP SourcePTAB JurisdictionObviousnessPTAB Contested Case Procedures
StatutoryInformativeAlways
[mpep-2143-02-7fd31c9a3b26ae519f97a851]
Requirement for Reasonable Expectation of Success in Modifying Prior Art
Note:
The claims may be rejected as prima facie obvious if there is a reason to modify or combine the prior art, provided that there is also a reasonable expectation of success.

Where there is a reason to modify or combine the prior art to achieve the claimed invention, the claims may be rejected as prima facie obvious provided there is also a reasonable expectation of success. The reasonable expectation of success requirement refers to “the likelihood of success” in combining or modifying prior art disclosures to meet the limitations of the claimed invention. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1375, 2023 USPQ2d 1100 (Fed. Cir. 2023) and Intelligent Bio-Sys., Inc. v. Illumina Cambridge Ltd., 821 F.3d 1359, 1367, 119 USPQ2d 1171, 1176 (Fed. Cir. 2016). See MPEP § 2143 for guidance on rationales for modifying or combining the prior art. In In re Merck & Co., Inc., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986), the Board affirmed a rejection of claims directed to a method of treating depression with amitriptyline (or nontoxic salts thereof) as prima facie obvious. The prior art disclosed that amitriptyline is a compound known to possess psychotropic properties and that imipramine is a structurally similar psychotropic compound known to possess antidepressive properties. Additional prior art, suggested that these compounds would have been expected to have similar activity because the structural difference between them involved a known bioisosteric replacement, and because a research paper comparing the pharmacological properties of these two compounds suggested clinical testing of amitriptyline as an antidepressant. The court affirmed the Board’s determination, finding that the teachings of the prior art provided a sufficient basis for a reasonable expectation of success.) In Ex parte Blanc, 13 USPQ2d 1383 (Bd. Pat. App. & Inter. 1989) (the claims were directed to a process of sterilizing a polyolefinic composition with high-energy radiation in the presence of a phenolic polyester antioxidant to inhibit discoloration or degradation of the polyolefin. Appellant argued that it is unpredictable whether a particular antioxidant will solve the problem of discoloration or degradation. However, the Board found that because the prior art taught that appellant’s preferred antioxidant is very efficient and provides better results compared with other prior art antioxidants, there would have been a reasonable expectation of success.).

Jump to MPEP SourcePTAB JurisdictionObviousnessPTAB Contested Case Procedures
StatutoryInformativeAlways
[mpep-2143-02-dbcac9f511c764bd9afe7ef2]
Requirement for Prima Facie Obviousness with Reasonable Expectation of Success
Note:
The rule requires that claims be rejected as prima facie obvious if there is a reasonable expectation of success in modifying or combining prior art to meet the claimed invention.

Where there is a reason to modify or combine the prior art to achieve the claimed invention, the claims may be rejected as prima facie obvious provided there is also a reasonable expectation of success. The reasonable expectation of success requirement refers to “the likelihood of success” in combining or modifying prior art disclosures to meet the limitations of the claimed invention. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1375, 2023 USPQ2d 1100 (Fed. Cir. 2023) and Intelligent Bio-Sys., Inc. v. Illumina Cambridge Ltd., 821 F.3d 1359, 1367, 119 USPQ2d 1171, 1176 (Fed. Cir. 2016). See MPEP § 2143 for guidance on rationales for modifying or combining the prior art. In In re Merck & Co., Inc., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986), the Board affirmed a rejection of claims directed to a method of treating depression with amitriptyline (or nontoxic salts thereof) as prima facie obvious. The prior art disclosed that amitriptyline is a compound known to possess psychotropic properties and that imipramine is a structurally similar psychotropic compound known to possess antidepressive properties. Additional prior art, suggested that these compounds would have been expected to have similar activity because the structural difference between them involved a known bioisosteric replacement, and because a research paper comparing the pharmacological properties of these two compounds suggested clinical testing of amitriptyline as an antidepressant. The court affirmed the Board’s determination, finding that the teachings of the prior art provided a sufficient basis for a reasonable expectation of success.) In Ex parte Blanc, 13 USPQ2d 1383 (Bd. Pat. App. & Inter. 1989) (the claims were directed to a process of sterilizing a polyolefinic composition with high-energy radiation in the presence of a phenolic polyester antioxidant to inhibit discoloration or degradation of the polyolefin. Appellant argued that it is unpredictable whether a particular antioxidant will solve the problem of discoloration or degradation. However, the Board found that because the prior art taught that appellant’s preferred antioxidant is very efficient and provides better results compared with other prior art antioxidants, there would have been a reasonable expectation of success.).

Jump to MPEP SourcePTAB JurisdictionObviousnessPTAB Contested Case Procedures
StatutoryInformativeAlways
[mpep-2143-02-8669aaab3b6af0709132c2d1]
Modification or Combination of Prior Art Requires Reasonable Expectation of Success
Note:
The claims may be rejected as prima facie obvious if there is a reason to modify or combine prior art, but only if there is also a reasonable expectation of success.

Where there is a reason to modify or combine the prior art to achieve the claimed invention, the claims may be rejected as prima facie obvious provided there is also a reasonable expectation of success. The reasonable expectation of success requirement refers to “the likelihood of success” in combining or modifying prior art disclosures to meet the limitations of the claimed invention. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1375, 2023 USPQ2d 1100 (Fed. Cir. 2023) and Intelligent Bio-Sys., Inc. v. Illumina Cambridge Ltd., 821 F.3d 1359, 1367, 119 USPQ2d 1171, 1176 (Fed. Cir. 2016). See MPEP § 2143 for guidance on rationales for modifying or combining the prior art. In In re Merck & Co., Inc., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986), the Board affirmed a rejection of claims directed to a method of treating depression with amitriptyline (or nontoxic salts thereof) as prima facie obvious. The prior art disclosed that amitriptyline is a compound known to possess psychotropic properties and that imipramine is a structurally similar psychotropic compound known to possess antidepressive properties. Additional prior art, suggested that these compounds would have been expected to have similar activity because the structural difference between them involved a known bioisosteric replacement, and because a research paper comparing the pharmacological properties of these two compounds suggested clinical testing of amitriptyline as an antidepressant. The court affirmed the Board’s determination, finding that the teachings of the prior art provided a sufficient basis for a reasonable expectation of success.) In Ex parte Blanc, 13 USPQ2d 1383 (Bd. Pat. App. & Inter. 1989) (the claims were directed to a process of sterilizing a polyolefinic composition with high-energy radiation in the presence of a phenolic polyester antioxidant to inhibit discoloration or degradation of the polyolefin. Appellant argued that it is unpredictable whether a particular antioxidant will solve the problem of discoloration or degradation. However, the Board found that because the prior art taught that appellant’s preferred antioxidant is very efficient and provides better results compared with other prior art antioxidants, there would have been a reasonable expectation of success.).

Jump to MPEP SourcePTAB JurisdictionObviousnessPTAB Contested Case Procedures
StatutoryInformativeAlways
[mpep-2143-02-3f994903be24da911265eb18]
Expectation of Success for Compound Modification
Note:
The rule requires a reasonable expectation of success when modifying prior art compounds based on known bioisosteric replacements and comparative pharmacological properties.

Where there is a reason to modify or combine the prior art to achieve the claimed invention, the claims may be rejected as prima facie obvious provided there is also a reasonable expectation of success. The reasonable expectation of success requirement refers to “the likelihood of success” in combining or modifying prior art disclosures to meet the limitations of the claimed invention. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1375, 2023 USPQ2d 1100 (Fed. Cir. 2023) and Intelligent Bio-Sys., Inc. v. Illumina Cambridge Ltd., 821 F.3d 1359, 1367, 119 USPQ2d 1171, 1176 (Fed. Cir. 2016). See MPEP § 2143 for guidance on rationales for modifying or combining the prior art. In In re Merck & Co., Inc., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986), the Board affirmed a rejection of claims directed to a method of treating depression with amitriptyline (or nontoxic salts thereof) as prima facie obvious. The prior art disclosed that amitriptyline is a compound known to possess psychotropic properties and that imipramine is a structurally similar psychotropic compound known to possess antidepressive properties. Additional prior art, suggested that these compounds would have been expected to have similar activity because the structural difference between them involved a known bioisosteric replacement, and because a research paper comparing the pharmacological properties of these two compounds suggested clinical testing of amitriptyline as an antidepressant. The court affirmed the Board’s determination, finding that the teachings of the prior art provided a sufficient basis for a reasonable expectation of success.) In Ex parte Blanc, 13 USPQ2d 1383 (Bd. Pat. App. & Inter. 1989) (the claims were directed to a process of sterilizing a polyolefinic composition with high-energy radiation in the presence of a phenolic polyester antioxidant to inhibit discoloration or degradation of the polyolefin. Appellant argued that it is unpredictable whether a particular antioxidant will solve the problem of discoloration or degradation. However, the Board found that because the prior art taught that appellant’s preferred antioxidant is very efficient and provides better results compared with other prior art antioxidants, there would have been a reasonable expectation of success.).

Jump to MPEP SourcePTAB JurisdictionObviousnessPTAB Contested Case Procedures
StatutoryInformativeAlways
[mpep-2143-02-ec188cfb23d5e76ddfcfe6e4]
Requirement for Reasonable Expectation of Success in Combining Prior Art
Note:
The court affirmed that the prior art provides a sufficient basis for combining disclosures to meet claimed invention limitations with a reasonable expectation of success.

Where there is a reason to modify or combine the prior art to achieve the claimed invention, the claims may be rejected as prima facie obvious provided there is also a reasonable expectation of success. The reasonable expectation of success requirement refers to “the likelihood of success” in combining or modifying prior art disclosures to meet the limitations of the claimed invention. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1375, 2023 USPQ2d 1100 (Fed. Cir. 2023) and Intelligent Bio-Sys., Inc. v. Illumina Cambridge Ltd., 821 F.3d 1359, 1367, 119 USPQ2d 1171, 1176 (Fed. Cir. 2016). See MPEP § 2143 for guidance on rationales for modifying or combining the prior art. In In re Merck & Co., Inc., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986), the Board affirmed a rejection of claims directed to a method of treating depression with amitriptyline (or nontoxic salts thereof) as prima facie obvious. The prior art disclosed that amitriptyline is a compound known to possess psychotropic properties and that imipramine is a structurally similar psychotropic compound known to possess antidepressive properties. Additional prior art, suggested that these compounds would have been expected to have similar activity because the structural difference between them involved a known bioisosteric replacement, and because a research paper comparing the pharmacological properties of these two compounds suggested clinical testing of amitriptyline as an antidepressant. The court affirmed the Board’s determination, finding that the teachings of the prior art provided a sufficient basis for a reasonable expectation of success.) In Ex parte Blanc, 13 USPQ2d 1383 (Bd. Pat. App. & Inter. 1989) (the claims were directed to a process of sterilizing a polyolefinic composition with high-energy radiation in the presence of a phenolic polyester antioxidant to inhibit discoloration or degradation of the polyolefin. Appellant argued that it is unpredictable whether a particular antioxidant will solve the problem of discoloration or degradation. However, the Board found that because the prior art taught that appellant’s preferred antioxidant is very efficient and provides better results compared with other prior art antioxidants, there would have been a reasonable expectation of success.).

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresObviousness
StatutoryInformativeAlways
[mpep-2143-02-280bf1fa37f65391d86d4c3b]
Requirement for Reasonable Expectation of Success in Modifying Prior Art
Note:
The rule requires that there must be a reasonable expectation of success when modifying prior art to meet the limitations of the claimed invention.

Where there is a reason to modify or combine the prior art to achieve the claimed invention, the claims may be rejected as prima facie obvious provided there is also a reasonable expectation of success. The reasonable expectation of success requirement refers to “the likelihood of success” in combining or modifying prior art disclosures to meet the limitations of the claimed invention. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1375, 2023 USPQ2d 1100 (Fed. Cir. 2023) and Intelligent Bio-Sys., Inc. v. Illumina Cambridge Ltd., 821 F.3d 1359, 1367, 119 USPQ2d 1171, 1176 (Fed. Cir. 2016). See MPEP § 2143 for guidance on rationales for modifying or combining the prior art. In In re Merck & Co., Inc., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986), the Board affirmed a rejection of claims directed to a method of treating depression with amitriptyline (or nontoxic salts thereof) as prima facie obvious. The prior art disclosed that amitriptyline is a compound known to possess psychotropic properties and that imipramine is a structurally similar psychotropic compound known to possess antidepressive properties. Additional prior art, suggested that these compounds would have been expected to have similar activity because the structural difference between them involved a known bioisosteric replacement, and because a research paper comparing the pharmacological properties of these two compounds suggested clinical testing of amitriptyline as an antidepressant. The court affirmed the Board’s determination, finding that the teachings of the prior art provided a sufficient basis for a reasonable expectation of success.) In Ex parte Blanc, 13 USPQ2d 1383 (Bd. Pat. App. & Inter. 1989) (the claims were directed to a process of sterilizing a polyolefinic composition with high-energy radiation in the presence of a phenolic polyester antioxidant to inhibit discoloration or degradation of the polyolefin. Appellant argued that it is unpredictable whether a particular antioxidant will solve the problem of discoloration or degradation. However, the Board found that because the prior art taught that appellant’s preferred antioxidant is very efficient and provides better results compared with other prior art antioxidants, there would have been a reasonable expectation of success.).

Jump to MPEP SourcePTAB JurisdictionObviousnessPTAB Contested Case Procedures
StatutoryInformativeAlways
[mpep-2143-02-5d0287e068520a1905bd4d6d]
Reasonable Expectation of Success for Antioxidant Modification
Note:
The Board found a reasonable expectation of success in using the preferred antioxidant to solve discoloration or degradation issues based on its efficiency compared to other antioxidants.

Where there is a reason to modify or combine the prior art to achieve the claimed invention, the claims may be rejected as prima facie obvious provided there is also a reasonable expectation of success. The reasonable expectation of success requirement refers to “the likelihood of success” in combining or modifying prior art disclosures to meet the limitations of the claimed invention. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1375, 2023 USPQ2d 1100 (Fed. Cir. 2023) and Intelligent Bio-Sys., Inc. v. Illumina Cambridge Ltd., 821 F.3d 1359, 1367, 119 USPQ2d 1171, 1176 (Fed. Cir. 2016). See MPEP § 2143 for guidance on rationales for modifying or combining the prior art. In In re Merck & Co., Inc., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986), the Board affirmed a rejection of claims directed to a method of treating depression with amitriptyline (or nontoxic salts thereof) as prima facie obvious. The prior art disclosed that amitriptyline is a compound known to possess psychotropic properties and that imipramine is a structurally similar psychotropic compound known to possess antidepressive properties. Additional prior art, suggested that these compounds would have been expected to have similar activity because the structural difference between them involved a known bioisosteric replacement, and because a research paper comparing the pharmacological properties of these two compounds suggested clinical testing of amitriptyline as an antidepressant. The court affirmed the Board’s determination, finding that the teachings of the prior art provided a sufficient basis for a reasonable expectation of success.) In Ex parte Blanc, 13 USPQ2d 1383 (Bd. Pat. App. & Inter. 1989) (the claims were directed to a process of sterilizing a polyolefinic composition with high-energy radiation in the presence of a phenolic polyester antioxidant to inhibit discoloration or degradation of the polyolefin. Appellant argued that it is unpredictable whether a particular antioxidant will solve the problem of discoloration or degradation. However, the Board found that because the prior art taught that appellant’s preferred antioxidant is very efficient and provides better results compared with other prior art antioxidants, there would have been a reasonable expectation of success.).

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresObviousness
StatutoryPermittedAlways
[mpep-2143-02-5148742ee42921b5f3922cca]
Requirement for Reasonable Expectation of Success in Obviousness Analysis
Note:
The rule requires that the reasonable expectation of success be addressed either explicitly or implicitly in an obviousness analysis, especially when relying on prior art teachings and motivation to combine arguments.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourcePTAB JurisdictionTeaching, Suggestion, Motivation (TSM)PTAB Contested Case Procedures
StatutoryInformativeAlways
[mpep-2143-02-6bdbb4afb3162916ecb6a193]
Board’s Explanation on Patent Owner's Arguments Implicitly Addresses Reasonable Expectation of Success
Note:
The court found that the Board’s explanation for rejecting patent owner's arguments on motivation to combine implicitly addressed reasonable expectation of success and was supported by substantial evidence.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourcePTAB JurisdictionTeaching, Suggestion, Motivation (TSM)PTAB Contested Case Procedures
Topic

Obviousness

8 rules
StatutoryPermittedAlways
[mpep-2143-02-121f49465982f4574485609f]
Requirement for Reasonable Expectation of Success in Combining Prior Art
Note:
The claims may be rejected as prima facie obvious if there is a reason to modify or combine prior art and a reasonable expectation of success.

Where there is a reason to modify or combine the prior art to achieve the claimed invention, the claims may be rejected as prima facie obvious provided there is also a reasonable expectation of success. The reasonable expectation of success requirement refers to “the likelihood of success” in combining or modifying prior art disclosures to meet the limitations of the claimed invention. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1375, 2023 USPQ2d 1100 (Fed. Cir. 2023) and Intelligent Bio-Sys., Inc. v. Illumina Cambridge Ltd., 821 F.3d 1359, 1367, 119 USPQ2d 1171, 1176 (Fed. Cir. 2016). See MPEP § 2143 for guidance on rationales for modifying or combining the prior art. In In re Merck & Co., Inc., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986), the Board affirmed a rejection of claims directed to a method of treating depression with amitriptyline (or nontoxic salts thereof) as prima facie obvious. The prior art disclosed that amitriptyline is a compound known to possess psychotropic properties and that imipramine is a structurally similar psychotropic compound known to possess antidepressive properties. Additional prior art, suggested that these compounds would have been expected to have similar activity because the structural difference between them involved a known bioisosteric replacement, and because a research paper comparing the pharmacological properties of these two compounds suggested clinical testing of amitriptyline as an antidepressant. The court affirmed the Board’s determination, finding that the teachings of the prior art provided a sufficient basis for a reasonable expectation of success.) In Ex parte Blanc, 13 USPQ2d 1383 (Bd. Pat. App. & Inter. 1989) (the claims were directed to a process of sterilizing a polyolefinic composition with high-energy radiation in the presence of a phenolic polyester antioxidant to inhibit discoloration or degradation of the polyolefin. Appellant argued that it is unpredictable whether a particular antioxidant will solve the problem of discoloration or degradation. However, the Board found that because the prior art taught that appellant’s preferred antioxidant is very efficient and provides better results compared with other prior art antioxidants, there would have been a reasonable expectation of success.).

Jump to MPEP SourceObviousnessPTAB JurisdictionPTAB Contested Case Procedures
StatutoryPermittedAlways
[mpep-2143-02-ff6f3f30b3af236c9d524e26]
Requirement for Reasonable Expectation of Success in Obviousness Analysis
Note:
The rule requires that the reasonable expectation of success be addressed either explicitly or implicitly in an obviousness analysis, particularly when relying on prior art teachings.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourceObviousnessEstablishing Prima Facie Case
StatutoryRecommendedAlways
[mpep-2143-02-3eae3af137770c988d38adb1]
Obviousness Requires Reasonable Expectation of Success Indication
Note:
Any obviousness rejection must include an indication of a reasonable expectation of success, either explicitly or implicitly.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourceObviousnessEstablishing Prima Facie Case
StatutoryRequiredAlways
[mpep-2143-02-af6251e5a47fc574a4e26b01]
Efficacy Not Required for Reasonable Expectation of Success
Note:
The requirement for conclusive proof of efficacy is not necessary to demonstrate a reasonable expectation of success in an obviousness analysis.

Conclusive proof of efficacy is not required to show a reasonable expectation of success. OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“To be clear, we do not hold today that efficacy data is always required for a reasonable expectation of success. Nor are we requiring ‘absolute predictability of success.’”); Acorda Therapeutics, Inc. v. Roxane Lab., Inc., 903 F.3d 1310, 1333, 128 USPQ2d 1001, 1018 (Fed. Cir. 2018) (“This court has long rejected a requirement of ‘[c]onclusive proof of efficacy’ for obviousness.” (citing to Hoffmann-La Roche Inc. v. Apotex Inc., 748 F.3d 1326, 1331 (Fed. Cir. 2014); PharmaStem Therapeutics, Inc. v. ViaCell, Inc., 491 F.3d 1342, 1364 (Fed. Cir. 2007); Pfizer, Inc. v. Apotex, Inc., 480 F.3d 1348, 1364, 1367–68 (Fed. Cir. 2007) (reasoning that “the expectation of success need only be reasonable, not absolute”)).

StatutoryRequiredAlways
[mpep-2143-02-02eff912be2f5ce002613e0b]
Efficacy Data Not Always Required for Reasonable Expectation of Success
Note:
The court holds that conclusive proof of efficacy is not always necessary to demonstrate a reasonable expectation of success in obviousness cases.

Conclusive proof of efficacy is not required to show a reasonable expectation of success. OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“To be clear, we do not hold today that efficacy data is always required for a reasonable expectation of success. Nor are we requiring ‘absolute predictability of success.’”); Acorda Therapeutics, Inc. v. Roxane Lab., Inc., 903 F.3d 1310, 1333, 128 USPQ2d 1001, 1018 (Fed. Cir. 2018) (“This court has long rejected a requirement of ‘[c]onclusive proof of efficacy’ for obviousness.” (citing to Hoffmann-La Roche Inc. v. Apotex Inc., 748 F.3d 1326, 1331 (Fed. Cir. 2014); PharmaStem Therapeutics, Inc. v. ViaCell, Inc., 491 F.3d 1342, 1364 (Fed. Cir. 2007); Pfizer, Inc. v. Apotex, Inc., 480 F.3d 1348, 1364, 1367–68 (Fed. Cir. 2007) (reasoning that “the expectation of success need only be reasonable, not absolute”)).

StatutoryInformativeAlways
[mpep-2143-02-064074bd650bfe3af27fc1aa]
No Requirement for Conclusive Efficacy Proof
Note:
The court has rejected the requirement of conclusive proof of efficacy to establish a reasonable expectation of success.

Conclusive proof of efficacy is not required to show a reasonable expectation of success. OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“To be clear, we do not hold today that efficacy data is always required for a reasonable expectation of success. Nor are we requiring ‘absolute predictability of success.’”); Acorda Therapeutics, Inc. v. Roxane Lab., Inc., 903 F.3d 1310, 1333, 128 USPQ2d 1001, 1018 (Fed. Cir. 2018) (“This court has long rejected a requirement of ‘[c]onclusive proof of efficacy’ for obviousness.” (citing to Hoffmann-La Roche Inc. v. Apotex Inc., 748 F.3d 1326, 1331 (Fed. Cir. 2014); PharmaStem Therapeutics, Inc. v. ViaCell, Inc., 491 F.3d 1342, 1364 (Fed. Cir. 2007); Pfizer, Inc. v. Apotex, Inc., 480 F.3d 1348, 1364, 1367–68 (Fed. Cir. 2007) (reasoning that “the expectation of success need only be reasonable, not absolute”)).

StatutoryInformativeAlways
[mpep-2143-02-87e441828fd1c147bd5c9f9c]
Requirement for Reasonable Expectation of Success in Obviousness
Note:
The expectation of success need only be reasonable, not absolute, when showing obviousness.

Conclusive proof of efficacy is not required to show a reasonable expectation of success. OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“To be clear, we do not hold today that efficacy data is always required for a reasonable expectation of success. Nor are we requiring ‘absolute predictability of success.’”); Acorda Therapeutics, Inc. v. Roxane Lab., Inc., 903 F.3d 1310, 1333, 128 USPQ2d 1001, 1018 (Fed. Cir. 2018) (“This court has long rejected a requirement of ‘[c]onclusive proof of efficacy’ for obviousness.” (citing to Hoffmann-La Roche Inc. v. Apotex Inc., 748 F.3d 1326, 1331 (Fed. Cir. 2014); PharmaStem Therapeutics, Inc. v. ViaCell, Inc., 491 F.3d 1342, 1364 (Fed. Cir. 2007); Pfizer, Inc. v. Apotex, Inc., 480 F.3d 1348, 1364, 1367–68 (Fed. Cir. 2007) (reasoning that “the expectation of success need only be reasonable, not absolute”)).

StatutoryRequiredAlways
[mpep-2143-02-9582968d8ec1ae6bc6e7db5d]
Requirement for Reasonable Expectation of Success in Obviousness
Note:
The rule requires that there must be some degree of predictability to support a nonobviousness claim, and evidence showing no reasonable expectation of success can support such a conclusion.

Obviousness does not require absolute predictability, but at least some degree of predictability is required. Evidence showing there was no reasonable expectation of success may support a conclusion of nonobviousness. In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976) (Claims directed to a method for the commercial scale production of polyesters in the presence of a solvent at superatmospheric pressure were rejected as obvious over a reference which taught the claimed method at atmospheric pressure in view of a reference which taught the claimed process except for the presence of a solvent. The court reversed, finding there was no reasonable expectation that a process combining the prior art steps could be successfully scaled up in view of unchallenged evidence showing that the prior art processes individually could not be commercially scaled up successfully.). See also OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“These references provide no more than hope—and hope that a potentially promising drug will treat a particular cancer is not enough to create a reasonable expectation of success in a highly unpredictable art such as this. Indeed, given a 99.5% failure rate and no efficacy data or any other reliable indicator of success, the only reasonable expectation at the time of the invention was failure, not success.”); Amgen, Inc. v. Chugai Pharm. Co., 927 F.2d 1200, 1207-08, 18 USPQ2d 1016, 1022-23 (Fed. Cir. 1991), cert. denied, 502 U.S. 856 (1991) (In the context of a biotechnology case, testimony supported the conclusion that the references did not show that there was a reasonable expectation of success.); In re O’Farrell, 853 F.2d 894, 903, 7 USPQ2d 1673, 1681 (Fed. Cir. 1988) (The court held the claimed method would have been obvious over the prior art relied upon because one reference contained a detailed enabling methodology, a suggestion to modify the prior art to produce the claimed invention, and evidence suggesting the modification would be successful.).

Jump to MPEP SourceObviousnessTestimony Request ProceduresUSPTO Employee Testimony
Topic

Testimony Request Procedures

5 rules
StatutoryPermittedAlways
[mpep-2143-02-707ab435968a2665156fc625]
Evidence Showing Lack of Success Supports Nonobviousness
Note:
Evidence indicating no reasonable expectation of success can support a claim of nonobviousness.

Obviousness does not require absolute predictability, but at least some degree of predictability is required. Evidence showing there was no reasonable expectation of success may support a conclusion of nonobviousness. In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976) (Claims directed to a method for the commercial scale production of polyesters in the presence of a solvent at superatmospheric pressure were rejected as obvious over a reference which taught the claimed method at atmospheric pressure in view of a reference which taught the claimed process except for the presence of a solvent. The court reversed, finding there was no reasonable expectation that a process combining the prior art steps could be successfully scaled up in view of unchallenged evidence showing that the prior art processes individually could not be commercially scaled up successfully.). See also OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“These references provide no more than hope—and hope that a potentially promising drug will treat a particular cancer is not enough to create a reasonable expectation of success in a highly unpredictable art such as this. Indeed, given a 99.5% failure rate and no efficacy data or any other reliable indicator of success, the only reasonable expectation at the time of the invention was failure, not success.”); Amgen, Inc. v. Chugai Pharm. Co., 927 F.2d 1200, 1207-08, 18 USPQ2d 1016, 1022-23 (Fed. Cir. 1991), cert. denied, 502 U.S. 856 (1991) (In the context of a biotechnology case, testimony supported the conclusion that the references did not show that there was a reasonable expectation of success.); In re O’Farrell, 853 F.2d 894, 903, 7 USPQ2d 1673, 1681 (Fed. Cir. 1988) (The court held the claimed method would have been obvious over the prior art relied upon because one reference contained a detailed enabling methodology, a suggestion to modify the prior art to produce the claimed invention, and evidence suggesting the modification would be successful.).

Jump to MPEP SourceTestimony Request ProceduresUSPTO Employee TestimonyObviousness
StatutoryInformativeAlways
[mpep-2143-02-efbbd1f812deeaba06740a65]
No Reasonable Expectation of Success Required for Nonobviousness
Note:
The court found no reasonable expectation of success in scaling up a process combining prior art steps, supporting nonobviousness when individual processes could not be scaled successfully.

Obviousness does not require absolute predictability, but at least some degree of predictability is required. Evidence showing there was no reasonable expectation of success may support a conclusion of nonobviousness. In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976) (Claims directed to a method for the commercial scale production of polyesters in the presence of a solvent at superatmospheric pressure were rejected as obvious over a reference which taught the claimed method at atmospheric pressure in view of a reference which taught the claimed process except for the presence of a solvent. The court reversed, finding there was no reasonable expectation that a process combining the prior art steps could be successfully scaled up in view of unchallenged evidence showing that the prior art processes individually could not be commercially scaled up successfully.). See also OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“These references provide no more than hope—and hope that a potentially promising drug will treat a particular cancer is not enough to create a reasonable expectation of success in a highly unpredictable art such as this. Indeed, given a 99.5% failure rate and no efficacy data or any other reliable indicator of success, the only reasonable expectation at the time of the invention was failure, not success.”); Amgen, Inc. v. Chugai Pharm. Co., 927 F.2d 1200, 1207-08, 18 USPQ2d 1016, 1022-23 (Fed. Cir. 1991), cert. denied, 502 U.S. 856 (1991) (In the context of a biotechnology case, testimony supported the conclusion that the references did not show that there was a reasonable expectation of success.); In re O’Farrell, 853 F.2d 894, 903, 7 USPQ2d 1673, 1681 (Fed. Cir. 1988) (The court held the claimed method would have been obvious over the prior art relied upon because one reference contained a detailed enabling methodology, a suggestion to modify the prior art to produce the claimed invention, and evidence suggesting the modification would be successful.).

Jump to MPEP SourceTestimony Request ProceduresUSPTO Employee TestimonyObviousness
StatutoryInformativeAlways
[mpep-2143-02-374ccb4ff89acf38d3d93035]
No Reasonable Expectation of Success Is Required for Obviousness
Note:
The absence of a reasonable expectation of success can support a conclusion of nonobviousness in the face of predictability issues.

Obviousness does not require absolute predictability, but at least some degree of predictability is required. Evidence showing there was no reasonable expectation of success may support a conclusion of nonobviousness. In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976) (Claims directed to a method for the commercial scale production of polyesters in the presence of a solvent at superatmospheric pressure were rejected as obvious over a reference which taught the claimed method at atmospheric pressure in view of a reference which taught the claimed process except for the presence of a solvent. The court reversed, finding there was no reasonable expectation that a process combining the prior art steps could be successfully scaled up in view of unchallenged evidence showing that the prior art processes individually could not be commercially scaled up successfully.). See also OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“These references provide no more than hope—and hope that a potentially promising drug will treat a particular cancer is not enough to create a reasonable expectation of success in a highly unpredictable art such as this. Indeed, given a 99.5% failure rate and no efficacy data or any other reliable indicator of success, the only reasonable expectation at the time of the invention was failure, not success.”); Amgen, Inc. v. Chugai Pharm. Co., 927 F.2d 1200, 1207-08, 18 USPQ2d 1016, 1022-23 (Fed. Cir. 1991), cert. denied, 502 U.S. 856 (1991) (In the context of a biotechnology case, testimony supported the conclusion that the references did not show that there was a reasonable expectation of success.); In re O’Farrell, 853 F.2d 894, 903, 7 USPQ2d 1673, 1681 (Fed. Cir. 1988) (The court held the claimed method would have been obvious over the prior art relied upon because one reference contained a detailed enabling methodology, a suggestion to modify the prior art to produce the claimed invention, and evidence suggesting the modification would be successful.).

Jump to MPEP SourceTestimony Request ProceduresUSPTO Employee TestimonyObviousness
StatutoryInformativeAlways
[mpep-2143-02-7f317d0f12f851767ed9275a]
Testimony Supports Lack of Reasonable Expectation of Success in Biotech Case
Note:
Testimony indicates that references did not demonstrate a reasonable expectation of success for the claimed invention, supporting nonobviousness in biotechnology cases.

Obviousness does not require absolute predictability, but at least some degree of predictability is required. Evidence showing there was no reasonable expectation of success may support a conclusion of nonobviousness. In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976) (Claims directed to a method for the commercial scale production of polyesters in the presence of a solvent at superatmospheric pressure were rejected as obvious over a reference which taught the claimed method at atmospheric pressure in view of a reference which taught the claimed process except for the presence of a solvent. The court reversed, finding there was no reasonable expectation that a process combining the prior art steps could be successfully scaled up in view of unchallenged evidence showing that the prior art processes individually could not be commercially scaled up successfully.). See also OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“These references provide no more than hope—and hope that a potentially promising drug will treat a particular cancer is not enough to create a reasonable expectation of success in a highly unpredictable art such as this. Indeed, given a 99.5% failure rate and no efficacy data or any other reliable indicator of success, the only reasonable expectation at the time of the invention was failure, not success.”); Amgen, Inc. v. Chugai Pharm. Co., 927 F.2d 1200, 1207-08, 18 USPQ2d 1016, 1022-23 (Fed. Cir. 1991), cert. denied, 502 U.S. 856 (1991) (In the context of a biotechnology case, testimony supported the conclusion that the references did not show that there was a reasonable expectation of success.); In re O’Farrell, 853 F.2d 894, 903, 7 USPQ2d 1673, 1681 (Fed. Cir. 1988) (The court held the claimed method would have been obvious over the prior art relied upon because one reference contained a detailed enabling methodology, a suggestion to modify the prior art to produce the claimed invention, and evidence suggesting the modification would be successful.).

Jump to MPEP SourceTestimony Request ProceduresUSPTO Employee TestimonyObviousness
StatutoryInformativeAlways
[mpep-2143-02-515a994b1be3e2337550df14]
Requirement for Reasonable Expectation of Success in Obviousness Determinations
Note:
The rule requires that there must be a reasonable expectation of success when determining whether a claimed invention is obvious over prior art.

Obviousness does not require absolute predictability, but at least some degree of predictability is required. Evidence showing there was no reasonable expectation of success may support a conclusion of nonobviousness. In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976) (Claims directed to a method for the commercial scale production of polyesters in the presence of a solvent at superatmospheric pressure were rejected as obvious over a reference which taught the claimed method at atmospheric pressure in view of a reference which taught the claimed process except for the presence of a solvent. The court reversed, finding there was no reasonable expectation that a process combining the prior art steps could be successfully scaled up in view of unchallenged evidence showing that the prior art processes individually could not be commercially scaled up successfully.). See also OSI Pharm., LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019) (“These references provide no more than hope—and hope that a potentially promising drug will treat a particular cancer is not enough to create a reasonable expectation of success in a highly unpredictable art such as this. Indeed, given a 99.5% failure rate and no efficacy data or any other reliable indicator of success, the only reasonable expectation at the time of the invention was failure, not success.”); Amgen, Inc. v. Chugai Pharm. Co., 927 F.2d 1200, 1207-08, 18 USPQ2d 1016, 1022-23 (Fed. Cir. 1991), cert. denied, 502 U.S. 856 (1991) (In the context of a biotechnology case, testimony supported the conclusion that the references did not show that there was a reasonable expectation of success.); In re O’Farrell, 853 F.2d 894, 903, 7 USPQ2d 1673, 1681 (Fed. Cir. 1988) (The court held the claimed method would have been obvious over the prior art relied upon because one reference contained a detailed enabling methodology, a suggestion to modify the prior art to produce the claimed invention, and evidence suggesting the modification would be successful.).

Jump to MPEP SourceTestimony Request ProceduresUSPTO Employee TestimonyObviousness
Topic

Establishing Prima Facie Case

4 rules
StatutoryProhibitedAlways
[mpep-2143-02-f85eee9e34152e8180144c86]
Implicit Reasonable Expectation of Success Not Sufficient for Prima Facie Obviousness
Note:
The rule states that relying solely on an implicit showing of reasonable expectation of success may not be enough to establish a prima facie case of obviousness, depending on the technology and prior art analysis.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourceEstablishing Prima Facie CaseImplicit or Inherent MotivationPrima Facie Case of Obviousness
StatutoryInformativeAlways
[mpep-2143-02-939297e3a2b349d5bd601fe1]
Preamble Limitations Must Be Addressed in Reasonable Expectation of Success Analysis
Note:
The court requires that any obviousness rejection must address the limitations in the preamble, which are relevant to the reasonable expectation of success.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourceEstablishing Prima Facie CaseImplicit or Inherent MotivationPTAB Jurisdiction
StatutoryInformativeAlways
[mpep-2143-02-8b15bcc00fd2f6f24e4b7fb2]
Preamble Limitations Are Relevant to Reasonable Expectation of Success
Note:
The court found that limitations in the preamble of a claim are relevant to determining the reasonable expectation of success for an obviousness rejection.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourceEstablishing Prima Facie CaseImplicit or Inherent MotivationPTAB Jurisdiction
StatutoryInformativeAlways
[mpep-2143-02-a016e9bd2011a481370df3b3]
Preamble Limitations Must Be Addressed in Obviousness Analysis
Note:
The obviousness analysis must include an indication of a reasonable expectation of success, especially when the preamble contains relevant limitations.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourceEstablishing Prima Facie CaseImplicit or Inherent MotivationPTAB Jurisdiction
Topic

AIA vs Pre-AIA Practice

3 rules
StatutoryInformativeAlways
[mpep-2143-02-97577cf70169c924d5db8107]
Requirement for AIA and Pre-AIA Practice
Note:
This rule applies to both AIA and pre-AIA applications, requiring a reasonable expectation of success in the claimed invention.

[Editor Note: This MPEP section is applicable regardless of whether an application is examined under the AIA or under pre-AIA law. For applications subject to the first inventor to file (FITF) provisions of the AIA, the relevant time is "before the effective filing date of the claimed invention". For applications subject to pre-AIA 35 U.S.C. 102, the relevant time is "at the time of the invention". See MPEP § 2150 et seq. Many of the court decisions discussed in this section involved applications or patents subject to pre-AIA 35 U.S.C. 102. These court decisions may be applicable to applications and patents subject to AIA 35 U.S.C. 102 but the relevant time is before the effective filing date of the claimed invention and not at the time of the invention.]

Jump to MPEP SourceAIA vs Pre-AIA PracticeDetermining Whether Application Is AIA or Pre-AIADetermining AIA vs Pre-AIA Applicability (MPEP 2159)
StatutoryInformativeAlways
[mpep-2143-02-055e966af414539a24204698]
Relevant Time for Pre-AIA Inventions
Note:
The relevant time for determining prior art under pre-AIA law is at the time of the invention.

[Editor Note: This MPEP section is applicable regardless of whether an application is examined under the AIA or under pre-AIA law. For applications subject to the first inventor to file (FITF) provisions of the AIA, the relevant time is "before the effective filing date of the claimed invention". For applications subject to pre-AIA 35 U.S.C. 102, the relevant time is "at the time of the invention". See MPEP § 2150 et seq. Many of the court decisions discussed in this section involved applications or patents subject to pre-AIA 35 U.S.C. 102. These court decisions may be applicable to applications and patents subject to AIA 35 U.S.C. 102 but the relevant time is before the effective filing date of the claimed invention and not at the time of the invention.]

Jump to MPEP SourceAIA vs Pre-AIA PracticeDetermining Whether Application Is AIA or Pre-AIADetermining AIA vs Pre-AIA Applicability (MPEP 2159)
StatutoryInformativeAlways
[mpep-2143-02-41885f7ca120e21be032a409]
Court Decisions on Pre-AIA Patents
Note:
This rule discusses court decisions involving patents subject to pre-AIA 35 U.S.C. 102, which may be applicable to AIA cases but with different timeframes.

[Editor Note: This MPEP section is applicable regardless of whether an application is examined under the AIA or under pre-AIA law. For applications subject to the first inventor to file (FITF) provisions of the AIA, the relevant time is "before the effective filing date of the claimed invention". For applications subject to pre-AIA 35 U.S.C. 102, the relevant time is "at the time of the invention". See MPEP § 2150 et seq. Many of the court decisions discussed in this section involved applications or patents subject to pre-AIA 35 U.S.C. 102. These court decisions may be applicable to applications and patents subject to AIA 35 U.S.C. 102 but the relevant time is before the effective filing date of the claimed invention and not at the time of the invention.]

Jump to MPEP SourceAIA vs Pre-AIA PracticeDetermining Whether Application Is AIA or Pre-AIADetermining AIA vs Pre-AIA Applicability (MPEP 2159)
Topic

Determining Whether Application Is AIA or Pre-AIA

2 rules
StatutoryInformativeAlways
[mpep-2143-02-58b06e1c71977642c820b0b2]
Requirement for Effective Filing Date Before Invention
Note:
The rule requires that applications subject to the AIA FITF provisions must demonstrate prior art before the effective filing date of the claimed invention.

[Editor Note: This MPEP section is applicable regardless of whether an application is examined under the AIA or under pre-AIA law. For applications subject to the first inventor to file (FITF) provisions of the AIA, the relevant time is "before the effective filing date of the claimed invention". For applications subject to pre-AIA 35 U.S.C. 102, the relevant time is "at the time of the invention". See MPEP § 2150 et seq. Many of the court decisions discussed in this section involved applications or patents subject to pre-AIA 35 U.S.C. 102. These court decisions may be applicable to applications and patents subject to AIA 35 U.S.C. 102 but the relevant time is before the effective filing date of the claimed invention and not at the time of the invention.]

Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIADetermining AIA vs Pre-AIA Applicability (MPEP 2159)AIA vs Pre-AIA Practice
StatutoryPermittedAlways
[mpep-2143-02-859d3b56dba25a1ff129a45d]
Time of Invention for AIA and Pre-AIA Patents
Note:
The relevant time for court decisions on applications and patents subject to AIA or pre-AIA 35 U.S.C. 102 is before the effective filing date, not at the time of invention.

[Editor Note: This MPEP section is applicable regardless of whether an application is examined under the AIA or under pre-AIA law. For applications subject to the first inventor to file (FITF) provisions of the AIA, the relevant time is "before the effective filing date of the claimed invention". For applications subject to pre-AIA 35 U.S.C. 102, the relevant time is "at the time of the invention". See MPEP § 2150 et seq. Many of the court decisions discussed in this section involved applications or patents subject to pre-AIA 35 U.S.C. 102. These court decisions may be applicable to applications and patents subject to AIA 35 U.S.C. 102 but the relevant time is before the effective filing date of the claimed invention and not at the time of the invention.]

Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIADetermining AIA vs Pre-AIA Applicability (MPEP 2159)AIA vs Pre-AIA Practice
Topic

Teaching, Suggestion, Motivation (TSM)

2 rules
StatutoryInformativeAlways
[mpep-2143-02-4fbcbf4546614b878bb5eee9]
Motivation to Combine Does Not Imply Success for Treatment Claims
Note:
A patent challenger showing a motivation to combine references does not automatically prove they met the burden of demonstrating a reasonable expectation of success in achieving a claimed method of treatment.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourceTeaching, Suggestion, Motivation (TSM)ObviousnessEstablishing Prima Facie Case
StatutoryInformativeAlways
[mpep-2143-02-f73431f1d8368f7b6c82b584]
Preamble Limitations Must Be Addressed in Motivation to Combine Analysis
Note:
The court found that limitations in the preamble are relevant to reasonable expectation of success and must be addressed in the motivation to combine analysis for an obviousness rejection.

As discussed above, reasonable expectation of success can be implicitly shown via the prior art teachings or as part of the obviousness analysis. See Elekta Ltd. v. ZAP Surgical Sys., Inc., 81 F.4th 1368, 1376-77, 2023 USPQ2d 1100 (Fed. Cir. 2023) (“[W]e can reasonably discern that the Board considered and implicitly addressed reasonable expectation of success based on the arguments and evidence presented to the Board on motivation to combine.”). In this decision, the court found the Board’s explanation on why the patent owner's arguments and evidence presented on motivation to combine were not persuasive implicitly addressed reasonable expectation of success and was supported by substantial evidence. On the other hand, depending on the situation (e.g., the technology, the prior art teachings and the obviousness analysis), reliance on an implicit showing of reasonable expectation of success may not be sufficient to establish a prima facie showing of obviousness. Eli Lilly & Co. v. Teva Pharms. Int’l GmbH, 8 F.4th 1331, 1344, 2021 USPQ2d 862 (Fed. Cir. 2021) (A finding that a patent challenger in an inter partes review had demonstrated a motivation to combine references does not necessarily imply that the challenger had also met its burden of showing a reasonable expectation of success in achieving a claimed method of treatment.). In this case, the court found that the challenged method of treating claims “contain limitations related to their intended purpose for treating vasomotor symptoms [as stated in the preamble], and thus those limitations are undoubtedly relevant to the reasonable expectation of success.” Id. at 1345. In other words, the court found that the preamble was limiting and applicable to reasonable expectation of success. However, the limitations in the preamble were not addressed in the motivation to combine analysis. Any obviousness rejection should include, either explicitly or implicitly, an indication of a reasonable expectation of success.

Jump to MPEP SourceTeaching, Suggestion, Motivation (TSM)ObviousnessEstablishing Prima Facie Case

Citations

Primary topicCitation
AIA vs Pre-AIA Practice
Determining Whether Application Is AIA or Pre-AIA
35 U.S.C. § 102
Obviousness
PTAB Jurisdiction
MPEP § 2143
AIA vs Pre-AIA Practice
Determining Whether Application Is AIA or Pre-AIA
MPEP § 2150
Obviousness
Testimony Request Procedures
In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976)
Obviousness
Testimony Request Procedures
LLC v. Apotex Inc., 939 F.3d 1375, 1385, 2019 USPQ2d 379681 (Fed. Cir. 2019)
ObviousnessPharmaStem Therapeutics, Inc. v. ViaCell, Inc., 491 F.3d 1342, 1364 (Fed. Cir. 2007)
Obviousnessciting to Hoffmann-La Roche Inc. v. Apotex Inc., 748 F.3d 1326, 1331 (Fed. Cir. 2014)

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