MPEP § 2146 — Pre-AIA 35 U.S.C. 103(c) (Annotated Rules)

§2146 Pre-AIA 35 U.S.C. 103(c)

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

This page consolidates and annotates all enforceable requirements under MPEP § 2146, 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.

Pre-AIA 35 U.S.C. 103(c)

This section addresses Pre-AIA 35 U.S.C. 103(c). Primary authority: 35 U.S.C. 100, 35 U.S.C. 103(c), and 35 U.S.C. 103(a). Contains: 1 requirement, 2 prohibitions, 1 permission, and 15 other statements.

Key Rules

Topic

Obviousness Under AIA (MPEP 2158)

11 rules
StatutoryInformativeAlways
[mpep-2146-cc12f0f4c294b46e12be3205]
Pre-AIA 103(c) Does Not Affect Rejections Under 102
Note:
The rule states that pre-AIA 35 U.S.C. 103(c) only applies to the consideration of prior art for obviousness under 35 U.S.C. 103(a), and does not affect subject matter applied in rejections under 35 U.S.C. 102 or double patenting rejections.

It is important to recognize that pre-AIA 35 U.S.C. 103(c) applies only to consideration of prior art for purposes of obviousness under 35 U.S.C. 103(a). It does not apply to or affect subject matter which is applied in a rejection under 35 U.S.C. 102 or a double patenting rejection. In addition, if the subject matter qualifies as prior art under any subsection of pre-AIA 35 U.S.C. 102 other than (e), (f), or (g) (e.g., pre-AIA 35 U.S.C. 102(a) or (b)) it will not be disqualified as prior art under pre-AIA 35 U.S.C. 103(c).

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StatutoryInformativeAlways
[mpep-2146-0f1195871dbe7c432a960b5f]
Prior Art Not Disqualified Under 103(c)
Note:
Subject matter qualifying as prior art under pre-AIA 35 U.S.C. 102(a) or (b) is not disqualified under pre-AIA 35 U.S.C. 103(c).

It is important to recognize that pre-AIA 35 U.S.C. 103(c) applies only to consideration of prior art for purposes of obviousness under 35 U.S.C. 103(a). It does not apply to or affect subject matter which is applied in a rejection under 35 U.S.C. 102 or a double patenting rejection. In addition, if the subject matter qualifies as prior art under any subsection of pre-AIA 35 U.S.C. 102 other than (e), (f), or (g) (e.g., pre-AIA 35 U.S.C. 102(a) or (b)) it will not be disqualified as prior art under pre-AIA 35 U.S.C. 103(c).

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StatutoryInformativeAlways
[mpep-2146-d1709c0fa51961b19200c1aa]
Subject Matter Construed Broadly Under Pre-AIA 35 U.S.C. 103
Note:
The term 'subject matter' is to be broadly construed in the same manner as it is defined in pre-AIA 35 U.S.C. 103.

The term “subject matter” will be construed broadly, in the same manner the term is construed in the remainder of pre-AIA 35 U.S.C. 103. The term “another” as used in pre-AIA 35 U.S.C. 103 means any inventive entity other than the inventor and would include the inventor and any other persons. The term “developed” is to be read broadly and is not limited by the manner in which the development occurred. The term “commonly owned” means wholly owned by the same person(s) or organization(s) at the time the invention was made. The term “joint research agreement” means a written contract, grant, or cooperative agreement entered into by two or more persons or entities for the performance of experimental, developmental, or research work in the field of the claimed invention. See MPEP § 2146.02.

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StatutoryInformativeAlways
[mpep-2146-9a3d07efaaf6a7d6b8b0bd0d]
Inventor and Others Count as Another Entity in Non-Obviousness Determination
Note:
This rule states that when determining if an invention is non-obvious, any inventive entity other than the original inventor, including the inventor themselves and others, must be considered.

The term “subject matter” will be construed broadly, in the same manner the term is construed in the remainder of pre-AIA 35 U.S.C. 103. The term “another” as used in pre-AIA 35 U.S.C. 103 means any inventive entity other than the inventor and would include the inventor and any other persons. The term “developed” is to be read broadly and is not limited by the manner in which the development occurred. The term “commonly owned” means wholly owned by the same person(s) or organization(s) at the time the invention was made. The term “joint research agreement” means a written contract, grant, or cooperative agreement entered into by two or more persons or entities for the performance of experimental, developmental, or research work in the field of the claimed invention. See MPEP § 2146.02.

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StatutoryInformativeAlways
[mpep-2146-637bfd9c442e377a379d306b]
Pre-AIA 35 U.S.C. 103(c) Applies Only to Specific Prior Art
Note:
The rule restricts the use of pre-AIA 35 U.S.C. 103(c) to subject matter that qualifies as prior art under pre-AIA 35 U.S.C. 102(e), (f), or (g) and is relied upon in a rejection under 35 U.S.C. 103(a).

Pre-AIA 35 U.S.C. 103(c), as amended by the CREATE Act, applies only to subject matter which qualifies as prior art under pre-AIA 35 U.S.C. 102(e), (f), or (g), and which is being relied upon in a rejection under 35 U.S.C. 103(a). If the rejection is anticipation under pre-AIA 35 U.S.C. 102(e), (f), or (g), pre-AIA 35 U.S.C. 103(c) cannot be relied upon to disqualify the subject matter in order to overcome or prevent the anticipation rejection. Likewise, pre-AIA 35 U.S.C. 103(c) cannot be relied upon to overcome or prevent a double patenting rejection. See 37 CFR 1.78(c) and MPEP § 804.
Pre-AIA 35 U.S.C. 103(c), as amended by the CREATE Act , applies only to subject matter which qualifies as prior art under pre-AIA 35 U.S.C. 102(e), (f), or (g), and which is being relied upon in a rejection under 35 U.S.C. 103(a).

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StatutoryProhibitedAlways
[mpep-2146-1762cc5771a7edaa5e6eb069]
Anticipation Cannot Be Overcome by Pre-AIA 103(c)
Note:
If a rejection is based on anticipation under pre-AIA 102(e), (f), or (g), it cannot be overcome using pre-AIA 103(c).

Pre-AIA 35 U.S.C. 103(c), as amended by the CREATE Act, applies only to subject matter which qualifies as prior art under pre-AIA 35 U.S.C. 102(e), (f), or (g), and which is being relied upon in a rejection under 35 U.S.C. 103(a). If the rejection is anticipation under pre-AIA 35 U.S.C. 102(e), (f), or (g), pre-AIA 35 U.S.C. 103(c) cannot be relied upon to disqualify the subject matter in order to overcome or prevent the anticipation rejection. Likewise, pre-AIA 35 U.S.C. 103(c) cannot be relied upon to overcome or prevent a double patenting rejection. See 37 CFR 1.78(c) and MPEP § 804.

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StatutoryProhibitedAlways
[mpep-2146-4ff88caf072d98adfb2161d2]
Pre-AIA 35 U.S.C. 103(c) Cannot Overcome Double Patenting
Note:
The pre-AIA 35 U.S.C. 103(c) cannot be used to overcome or prevent a double patenting rejection, as per 37 CFR 1.78(c) and MPEP § 804.

Pre-AIA 35 U.S.C. 103(c), as amended by the CREATE Act, applies only to subject matter which qualifies as prior art under pre-AIA 35 U.S.C. 102(e), (f), or (g), and which is being relied upon in a rejection under 35 U.S.C. 103(a). If the rejection is anticipation under pre-AIA 35 U.S.C. 102(e), (f), or (g), pre-AIA 35 U.S.C. 103(c) cannot be relied upon to disqualify the subject matter in order to overcome or prevent the anticipation rejection. Likewise, pre-AIA 35 U.S.C. 103(c) cannot be relied upon to overcome or prevent a double patenting rejection. See 37 CFR 1.78(c) and MPEP § 804.

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StatutoryInformativeAlways
[mpep-2146-6cb5d6fabf4a08a8614cc087]
Combining Related Foreign Applications
Note:
Foreign applicants can combine related applications with different inventors into a single U.S. application, and the examiner assumes compliance with disclosure duties if no information on invention dates or common ownership is provided.

Foreign applicants will sometimes combine the subject matter of two or more related applications with different inventors into a single U.S. application naming joint inventors. The examiner will make the assumption, absent contrary evidence, that the applicants are complying with their duty of disclosure if no information is provided relative to invention dates and common ownership at the time the later invention was made. Such a claim for 35 U.S.C. 119(a) – (d) priority based upon the foreign filed applications is appropriate and 35 U.S.C. 119(a) – (d) priority can be accorded based upon each of the foreign filed applications.

Jump to MPEP SourceObviousness Under AIA (MPEP 2158)Obviousness Under Pre-AIA (MPEP 2141-2146)AIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-2146-e9980a378c194e7c800f1aa8]
Priority Claim for Foreign Filed Applications
Note:
A claim for 35 U.S.C. 119(a)-(d) priority based on foreign filed applications is appropriate and can be accorded to each of the foreign applications.

Foreign applicants will sometimes combine the subject matter of two or more related applications with different inventors into a single U.S. application naming joint inventors. The examiner will make the assumption, absent contrary evidence, that the applicants are complying with their duty of disclosure if no information is provided relative to invention dates and common ownership at the time the later invention was made. Such a claim for 35 U.S.C. 119(a) – (d) priority based upon the foreign filed applications is appropriate and 35 U.S.C. 119(a) – (d) priority can be accorded based upon each of the foreign filed applications.

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StatutoryPermittedAlways
[mpep-2146-fc3debcbd905532176c896a5]
Priority Claim for Foreign Filed Applications
Note:
A U.S. application can claim priority from foreign filed applications if no contrary evidence is provided regarding invention dates and common ownership.

Foreign applicants will sometimes combine the subject matter of two or more related applications with different inventors into a single U.S. application naming joint inventors. The examiner will make the assumption, absent contrary evidence, that the applicants are complying with their duty of disclosure if no information is provided relative to invention dates and common ownership at the time the later invention was made. Such a claim for 35 U.S.C. 119(a) – (d) priority based upon the foreign filed applications is appropriate and 35 U.S.C. 119(a) – (d) priority can be accorded based upon each of the foreign filed applications.

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StatutoryInformativeAlways
[mpep-2146-c7c3e68232aab6cded4be10a]
Requirement for Using Pre-AIA Prior Art in Non-Provisional Applications
Note:
This rule requires the use of pre-AIA prior art under sections 102(f) or (g) for rejections under section 103(a) in applications pending on or after December 10, 2004.

For rejections under pre-AIA 35 U.S.C. 103(a) using prior art under pre-AIA 35 U.S.C. 102(f) or (g) in applications pending on or after December 10, 2004, see MPEP § 2146.01.

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Topic

Determining Whether Application Is AIA or Pre-AIA

8 rules
StatutoryInformativeAlways
[mpep-2146-ca9e359ff35c1ae009a61dd1]
Developed Term Is Broadly Construed
Note:
The term 'developed' must be interpreted broadly and is not limited by the method of development.

The term “subject matter” will be construed broadly, in the same manner the term is construed in the remainder of pre-AIA 35 U.S.C. 103. The term “another” as used in pre-AIA 35 U.S.C. 103 means any inventive entity other than the inventor and would include the inventor and any other persons. The term “developed” is to be read broadly and is not limited by the manner in which the development occurred. The term “commonly owned” means wholly owned by the same person(s) or organization(s) at the time the invention was made. The term “joint research agreement” means a written contract, grant, or cooperative agreement entered into by two or more persons or entities for the performance of experimental, developmental, or research work in the field of the claimed invention. See MPEP § 2146.02.

Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIADetermining AIA vs Pre-AIA Applicability (MPEP 2159)Joint Research Agreements (MPEP 2156)
StatutoryInformativeAlways
[mpep-2146-b04770546d73c1b620a2ed2e]
Requirement for Common Ownership of Invention
Note:
The invention must be wholly owned by the same person(s) or organization(s) at the time it was made.

The term “subject matter” will be construed broadly, in the same manner the term is construed in the remainder of pre-AIA 35 U.S.C. 103. The term “another” as used in pre-AIA 35 U.S.C. 103 means any inventive entity other than the inventor and would include the inventor and any other persons. The term “developed” is to be read broadly and is not limited by the manner in which the development occurred. The term “commonly owned” means wholly owned by the same person(s) or organization(s) at the time the invention was made. The term “joint research agreement” means a written contract, grant, or cooperative agreement entered into by two or more persons or entities for the performance of experimental, developmental, or research work in the field of the claimed invention. See MPEP § 2146.02.

Jump to MPEP SourceDetermining Whether Application Is AIA or Pre-AIADetermining AIA vs Pre-AIA Applicability (MPEP 2159)Joint Research Agreements (MPEP 2156)
StatutoryInformativeAlways
[mpep-2146-7733e6adbe9a48756c9b1ead]
Definition of Joint Research Agreement
Note:
This rule defines a joint research agreement as a written contract, grant, or cooperative agreement between two or more persons or entities for performing experimental, developmental, or research work related to the claimed invention.

The term “subject matter” will be construed broadly, in the same manner the term is construed in the remainder of pre-AIA 35 U.S.C. 103. The term “another” as used in pre-AIA 35 U.S.C. 103 means any inventive entity other than the inventor and would include the inventor and any other persons. The term “developed” is to be read broadly and is not limited by the manner in which the development occurred. The term “commonly owned” means wholly owned by the same person(s) or organization(s) at the time the invention was made. The term “joint research agreement” means a written contract, grant, or cooperative agreement entered into by two or more persons or entities for the performance of experimental, developmental, or research work in the field of the claimed invention. See MPEP § 2146.02.

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StatutoryInformativeAlways
[mpep-2146-f10d38d562446634263026dc]
Common Ownership Exclusion for Prior Art
Note:
Subject matter developed by another and qualifying as prior art under pre-AIA 102(f) or (g) is not considered in determining obviousness if commonly owned, provided it was made before November 29, 1999.

Prior to November 29, 1999, pre-AIPA 35 U.S.C. 103(c) provided that subject matter developed by another which qualifies as prior art only under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g) is not to be considered when determining whether an invention sought to be patented is obvious under pre-AIA 35 U.S.C. 103, provided the subject matter and the claimed invention were commonly owned at the time the invention was made. See subsection II, below, for a discussion of pre-AIPA 35 U.S.C. 103(c) for applications filed prior to November 29, 1999.

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StatutoryInformativeAlways
[mpep-2146-5a7fd205f07d4382b61ff5e4]
Prior Art Exclusion for Commonly Owned Inventions
Note:
Excludes prior art developed by another and qualifying as pre-AIA 102(f) or (g) from consideration in determining obviousness, provided the subject matter and claimed invention were commonly owned.

Prior to November 29, 1999, pre-AIPA 35 U.S.C. 103(c) provided that subject matter developed by another which qualifies as prior art only under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g) is not to be considered when determining whether an invention sought to be patented is obvious under pre-AIA 35 U.S.C. 103, provided the subject matter and the claimed invention were commonly owned at the time the invention was made. See subsection II, below, for a discussion of pre-AIPA 35 U.S.C. 103(c) for applications filed prior to November 29, 1999.

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StatutoryRequiredAlways
[mpep-2146-13646127fbdef43eb06caee1]
Subject Matter Developed by Another Person Treated as Owned for Obviousness Determination
Note:
This rule requires that subject matter developed by another person be treated as owned or subject to an obligation of assignment if certain conditions are met, disqualifying it from being prior art against the claimed invention.
Effective November 29, 1999, subject matter which was prior art under former 35 U.S.C. 103(a) via pre-AIA 35 U.S.C. 102(e) was disqualified as prior art against the claimed invention if that subject matter and the claimed invention “were, at the time the invention was made, owned by the same person or subject to an obligation of assignment to the same person.” This amendment to pre-AIA 35 U.S.C. 103(c) was made pursuant to section 4807 of the American Inventors Protection Act of 1999 (AIPA); see Public Law 106-113, 113 Stat. 1501, 1501A-591 (1999). The changes to pre-AIA 35 U.S.C. 102(e) in the Intellectual Property and High Technology Technical Amendments Act of 2002 (Public Law 107-273, 116 Stat. 1758 (2002)) did not affect the prior art disqualification under pre-AIA 35 U.S.C. 103(c) as amended on November 29, 1999. Subsequently, the Cooperative Research and Technology Enhancement Act of 2004 (CREATE Act) (Public Law 108-453, 118 Stat. 3596 (2004)) further amended pre-AIA 35 U.S.C. 103(c) to provide that subject matter developed by another person shall be treated as owned by the same person or subject to an obligation of assignment to the same person for purposes of determining obviousness if three conditions are met:
  • (A) the claimed invention was made by or on behalf of parties to a joint research agreement that was in effect on or before the date the claimed invention was made;
  • (B) the claimed invention was made as a result of activities undertaken within the scope of the joint research agreement; and
  • (C) the application for patent for the claimed invention discloses or is amended to disclose the names of the parties to the joint research agreement (hereinafter “joint research agreement disqualification”).
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StatutoryInformativeAlways
[mpep-2146-81a9bac03f43875b51caa8d4]
Disclosure of Joint Research Agreement Parties Required
Note:
The application for patent must disclose the names of the parties to the joint research agreement for subject matter developed by another person to be treated as owned by or assigned to the same person.

Effective November 29, 1999, subject matter which was prior art under former 35 U.S.C. 103(a) via pre-AIA 35 U.S.C. 102(e) was disqualified as prior art against the claimed invention if that subject matter and the claimed invention “were, at the time the invention was made, owned by the same person or subject to an obligation of assignment to the same person.” This amendment to pre-AIA 35 U.S.C. 103(c) was made pursuant to section 4807 of the American Inventors Protection Act of 1999 (AIPA); see Public Law 106-113, 113 Stat. 1501, 1501A-591 (1999). The changes to pre-AIA 35 U.S.C. 102(e) in the Intellectual Property and High Technology Technical Amendments Act of 2002 (Public Law 107-273, 116 Stat. 1758 (2002)) did not affect the prior art disqualification under pre-AIA 35 U.S.C. 103(c) as amended on November 29, 1999. Subsequently, the Cooperative Research and Technology Enhancement Act of 2004 (CREATE Act) (Public Law 108-453, 118 Stat. 3596 (2004)) further amended pre-AIA 35 U.S.C. 103(c) to provide that subject matter developed by another person shall be treated as owned by the same person or subject to an obligation of assignment to the same person for purposes of determining obviousness if three conditions are met:

(C) the application for patent for the claimed invention discloses or is amended to disclose the names of the parties to the joint research agreement (hereinafter “joint research agreement disqualification”).

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StatutoryInformativeAlways
[mpep-2146-62e89be9a6f8101d2c901102]
Pre-AIA Prior Art Under 103(c) Must Be Commonly Owned
Note:
Subject matter that qualifies as prior art under pre-AIA 102(f) or 102(g) and was commonly owned with the claimed invention must be disqualified as prior art for patents granted before December 10, 2004.

For applications filed prior to November 29, 1999, and granted as patents prior to December 10, 2004, the subject matter that is disqualified as prior art under pre-AIPA 35 U.S.C. 103(c) is strictly limited to subject matter that A) qualifies as prior art only under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g), and B) was commonly owned with the claimed invention at the time the invention was made. If the subject matter that qualifies as prior art only under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g) was not commonly owned at the time of the invention, the subject matter is not disqualified as prior art under pre-AIPA 35 U.S.C. 103(c) in effect on December 9, 2004. See OddzOn Products, Inc. v. Just Toys, Inc., 122 F.3d 1396, 1403-04, 43 USPQ2d 1641, 1646 (Fed. Cir. 1997) (“We therefore hold that subject matter derived from another not only is itself unpatentable to the party who derived it under § 102(f), but, when combined with other prior art, may make a resulting obvious invention unpatentable to that party under a combination of §§ 102(f) and 103.”).

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Topic

Joint Research Agreements (MPEP 2156)

2 rules
StatutoryInformativeAlways
[mpep-2146-3c08526cce631accac6dba0c]
Rule Not Applicable to FITF Applications
Note:
This rule does not apply to applications subject to the first inventor to file (FITF) provisions of the AIA.

[Editor Note: This MPEP section is not applicable to applications subject to examination under the first inventor to file (FITF) provisions of the AIA as set forth in 35 U.S.C. 100 (note). See MPEP § 2159 et seq. to determine whether an application is subject to examination under the FITF provisions, and MPEP § 2150 et seq. for examination of applications subject to those provisions. See MPEP §§ 717.02 et seq., 2154.02(c) and 2156 for the examination of applications subject to the first inventor to file provisions of the AIA involving, inter alia, commonly owned subject matter or a joint research agreement.]

Jump to MPEP SourceJoint Research Agreements (MPEP 2156)Statutory Authority for ExaminationAIA vs Pre-AIA Practice
StatutoryInformativeAlways
[mpep-2146-384fae6254078bd5728ccbad]
Assumption of Compliance for Invention Dates and Common Ownership
Note:
The examiner assumes applicants are complying with their duty of disclosure if no information is provided about invention dates and common ownership at the time the later invention was made.

Foreign applicants will sometimes combine the subject matter of two or more related applications with different inventors into a single U.S. application naming joint inventors. The examiner will make the assumption, absent contrary evidence, that the applicants are complying with their duty of disclosure if no information is provided relative to invention dates and common ownership at the time the later invention was made. Such a claim for 35 U.S.C. 119(a) – (d) priority based upon the foreign filed applications is appropriate and 35 U.S.C. 119(a) – (d) priority can be accorded based upon each of the foreign filed applications.

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Topic

Prior Art in Reissue

2 rules
StatutoryInformativeAlways
[mpep-2146-77d98d897bc8956362c4fb74]
Reissue Patents Subject to Pre-AIA 35 U.S.C. 103(c) Changes
Note:
Patents, including reissues granted on or after December 10, 2004, are subject to updated pre-AIA 35 U.S.C. 103(c) conditions.

These changes to pre-AIA 35 U.S.C. 103(c) apply to all patents (including reissue patents) granted on or after December 10, 2004 that are subject to pre-AIA 35 U.S.C. 102. The amendment to pre-AIA 35 U.S.C. 103(c) made by the AIPA to change “subsection (f) or (g)” to “one of more of subsections (e), (f), or (g)” applies to applications filed on or after November 29, 1999. It is to be noted that, for all applications (including reissue applications), if the application is pending on or after December 10, 2004, the 2004 changes to pre-AIA 35 U.S.C. 103(c), which effectively include the 1999 changes, apply; thus, the November 29, 1999 date of the prior revision to pre-AIA 35 U.S.C. 103(c) is no longer relevant. In a reexamination proceeding, however, one must look at whether or not the patent being reexamined was granted on or after December 10, 2004 to determine whether pre-AIA 35 U.S.C. 103(c), as amended by the CREATE Act, applies. For a reexamination proceeding of a patent granted prior to December 10, 2004 on an application filed on or after November 29, 1999, it is the 1999 changes to pre-AIPA 35 U.S.C. 103(c) that are applicable to the disqualifying commonly assigned/owned prior art provisions of pre-AIA 35 U.S.C. 103(c). See MPEP § 2146.01 for additional information regarding disqualified prior art under pre-AIA 35 U.S.C. 102(e) / 103. For a reexamination proceeding of a patent granted prior to December 10, 2004 on an application filed prior to November 29, 1999, neither the 1999 nor the 2004 changes to pre-AIA 35 U.S.C. 103(c) are applicable. Therefore, only prior art under pre-AIA 35 U.S.C. 102(f) or (g) used in a rejection under pre-AIA 35 U.S.C. 103(a) may be disqualified under the commonly assigned/owned prior art provision pre-AIA of 35 U.S.C. 103(c).

Jump to MPEP SourcePrior Art in ReissueObviousness Under AIA (MPEP 2158)Obviousness Under Pre-AIA (MPEP 2141-2146)
StatutoryInformativeAlways
[mpep-2146-e4ceedaeed9002fac7c63d73]
Reissue Applications Subject to Revised Pre-AIA 103(c)
Note:
This rule requires that reissue applications filed on or after November 29, 1999, be subject to the revised pre-AIA 35 U.S.C. 103(c) conditions of patentability.

These changes to pre-AIA 35 U.S.C. 103(c) apply to all patents (including reissue patents) granted on or after December 10, 2004 that are subject to pre-AIA 35 U.S.C. 102. The amendment to pre-AIA 35 U.S.C. 103(c) made by the AIPA to change “subsection (f) or (g)” to “one of more of subsections (e), (f), or (g)” applies to applications filed on or after November 29, 1999. It is to be noted that, for all applications (including reissue applications), if the application is pending on or after December 10, 2004, the 2004 changes to pre-AIA 35 U.S.C. 103(c), which effectively include the 1999 changes, apply; thus, the November 29, 1999 date of the prior revision to pre-AIA 35 U.S.C. 103(c) is no longer relevant. In a reexamination proceeding, however, one must look at whether or not the patent being reexamined was granted on or after December 10, 2004 to determine whether pre-AIA 35 U.S.C. 103(c), as amended by the CREATE Act, applies. For a reexamination proceeding of a patent granted prior to December 10, 2004 on an application filed on or after November 29, 1999, it is the 1999 changes to pre-AIPA 35 U.S.C. 103(c) that are applicable to the disqualifying commonly assigned/owned prior art provisions of pre-AIA 35 U.S.C. 103(c). See MPEP § 2146.01 for additional information regarding disqualified prior art under pre-AIA 35 U.S.C. 102(e) / 103. For a reexamination proceeding of a patent granted prior to December 10, 2004 on an application filed prior to November 29, 1999, neither the 1999 nor the 2004 changes to pre-AIA 35 U.S.C. 103(c) are applicable. Therefore, only prior art under pre-AIA 35 U.S.C. 102(f) or (g) used in a rejection under pre-AIA 35 U.S.C. 103(a) may be disqualified under the commonly assigned/owned prior art provision pre-AIA of 35 U.S.C. 103(c).

Jump to MPEP SourcePrior Art in ReissueObviousness Under AIA (MPEP 2158)Obviousness Under Pre-AIA (MPEP 2141-2146)
Topic

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

2 rules
StatutoryRequiredAlways
[mpep-2146-fbfde6a4312767a3e72a3bf6]
Reexamination Proceeding Applies Different Pre-AIA 103(c) Changes
Note:
For a reexamination proceeding, the patent's grant date determines which version of pre-AIA 35 U.S.C. 103(c) applies to disqualifying commonly assigned prior art.

These changes to pre-AIA 35 U.S.C. 103(c) apply to all patents (including reissue patents) granted on or after December 10, 2004 that are subject to pre-AIA 35 U.S.C. 102. The amendment to pre-AIA 35 U.S.C. 103(c) made by the AIPA to change “subsection (f) or (g)” to “one of more of subsections (e), (f), or (g)” applies to applications filed on or after November 29, 1999. It is to be noted that, for all applications (including reissue applications), if the application is pending on or after December 10, 2004, the 2004 changes to pre-AIA 35 U.S.C. 103(c), which effectively include the 1999 changes, apply; thus, the November 29, 1999 date of the prior revision to pre-AIA 35 U.S.C. 103(c) is no longer relevant. In a reexamination proceeding, however, one must look at whether or not the patent being reexamined was granted on or after December 10, 2004 to determine whether pre-AIA 35 U.S.C. 103(c), as amended by the CREATE Act, applies. For a reexamination proceeding of a patent granted prior to December 10, 2004 on an application filed on or after November 29, 1999, it is the 1999 changes to pre-AIPA 35 U.S.C. 103(c) that are applicable to the disqualifying commonly assigned/owned prior art provisions of pre-AIA 35 U.S.C. 103(c). See MPEP § 2146.01 for additional information regarding disqualified prior art under pre-AIA 35 U.S.C. 102(e) / 103. For a reexamination proceeding of a patent granted prior to December 10, 2004 on an application filed prior to November 29, 1999, neither the 1999 nor the 2004 changes to pre-AIA 35 U.S.C. 103(c) are applicable. Therefore, only prior art under pre-AIA 35 U.S.C. 102(f) or (g) used in a rejection under pre-AIA 35 U.S.C. 103(a) may be disqualified under the commonly assigned/owned prior art provision pre-AIA of 35 U.S.C. 103(c).

Jump to MPEP SourcePre-AIA 102(e) – Earlier US Applications (MPEP 2136)SNQ CriteriaPrior Consideration of Art
StatutoryPermittedAlways
[mpep-2146-273c23e30c1aded01ca250da]
Pre-AIA 102(f) and (g) Prior Art in Reexamination of Pre-2004 Patents
Note:
For reexamining patents granted before December 10, 2004, only prior art under pre-AIA 35 U.S.C. 102(f) or (g) can be disqualified due to commonly assigned/owned status.

These changes to pre-AIA 35 U.S.C. 103(c) apply to all patents (including reissue patents) granted on or after December 10, 2004 that are subject to pre-AIA 35 U.S.C. 102. The amendment to pre-AIA 35 U.S.C. 103(c) made by the AIPA to change “subsection (f) or (g)” to “one of more of subsections (e), (f), or (g)” applies to applications filed on or after November 29, 1999. It is to be noted that, for all applications (including reissue applications), if the application is pending on or after December 10, 2004, the 2004 changes to pre-AIA 35 U.S.C. 103(c), which effectively include the 1999 changes, apply; thus, the November 29, 1999 date of the prior revision to pre-AIA 35 U.S.C. 103(c) is no longer relevant. In a reexamination proceeding, however, one must look at whether or not the patent being reexamined was granted on or after December 10, 2004 to determine whether pre-AIA 35 U.S.C. 103(c), as amended by the CREATE Act, applies. For a reexamination proceeding of a patent granted prior to December 10, 2004 on an application filed on or after November 29, 1999, it is the 1999 changes to pre-AIPA 35 U.S.C. 103(c) that are applicable to the disqualifying commonly assigned/owned prior art provisions of pre-AIA 35 U.S.C. 103(c). See MPEP § 2146.01 for additional information regarding disqualified prior art under pre-AIA 35 U.S.C. 102(e) / 103. For a reexamination proceeding of a patent granted prior to December 10, 2004 on an application filed prior to November 29, 1999, neither the 1999 nor the 2004 changes to pre-AIA 35 U.S.C. 103(c) are applicable. Therefore, only prior art under pre-AIA 35 U.S.C. 102(f) or (g) used in a rejection under pre-AIA 35 U.S.C. 103(a) may be disqualified under the commonly assigned/owned prior art provision pre-AIA of 35 U.S.C. 103(c).

Jump to MPEP SourcePre-AIA 102(e) – Earlier US Applications (MPEP 2136)Prior Consideration of ArtReissue and Reexamination
Topic

Assignee as Applicant Signature

1 rules
StatutoryInformativeAlways
[mpep-2146-5406fe5e8bdb96fbe3d242df]
Burden of Establishing Prior Art Disqualification
Note:
The patent applicant or patentee must prove that the prior art does not meet certain criteria under pre-AIA 35 U.S.C. 103(c).

A patent applicant or patentee urging that subject matter is disqualified has the burden of establishing that the prior art is disqualified under pre-AIA 35 U.S.C. 103(c). Absent such disqualification, the appropriate rejection under pre-AIA 35 U.S.C. 103(a) applying prior art under pre-AIA 35 U.S.C. 102(e), (f), or (g) should be made. See MPEP § 2146.02 for information pertaining to establishing prior art disqualifications due to common ownership or joint research agreements.

Jump to MPEP SourceAssignee as Applicant SignatureApplicant and Assignee Filing Under AIAObviousness Under AIA (MPEP 2158)
Topic

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

1 rules
StatutoryRecommendedAlways
[mpep-2146-4150939055df37433eba47b3]
Requirement for Establishing Prior Art Disqualifications
Note:
The rule requires establishing prior art disqualifications due to common ownership or joint research agreements when a patent applicant or patentee claims such disqualifications are present.

A patent applicant or patentee urging that subject matter is disqualified has the burden of establishing that the prior art is disqualified under pre-AIA 35 U.S.C. 103(c). Absent such disqualification, the appropriate rejection under pre-AIA 35 U.S.C. 103(a) applying prior art under pre-AIA 35 U.S.C. 102(e), (f), or (g) should be made. See MPEP § 2146.02 for information pertaining to establishing prior art disqualifications due to common ownership or joint research agreements.

Jump to MPEP SourceCommon Ownership Exception – 102(b)(2)(C)Joint Research Agreements (MPEP 2156)Obviousness Under AIA (MPEP 2158)
Topic

Prior Art Under Pre-AIA 35 U.S.C. 102 (MPEP 2131-2138)

1 rules
StatutoryInformativeAlways
[mpep-2146-9a8dc55185fa4088d0258951]
Commonly Owned Prior Art Requirement
Note:
Subject matter qualifying as prior art under pre-AIA 102(f) or 102(g) is not disqualified if not commonly owned at the time of invention.

For applications filed prior to November 29, 1999, and granted as patents prior to December 10, 2004, the subject matter that is disqualified as prior art under pre-AIPA 35 U.S.C. 103(c) is strictly limited to subject matter that A) qualifies as prior art only under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g), and B) was commonly owned with the claimed invention at the time the invention was made. If the subject matter that qualifies as prior art only under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g) was not commonly owned at the time of the invention, the subject matter is not disqualified as prior art under pre-AIPA 35 U.S.C. 103(c) in effect on December 9, 2004. See OddzOn Products, Inc. v. Just Toys, Inc., 122 F.3d 1396, 1403-04, 43 USPQ2d 1641, 1646 (Fed. Cir. 1997) (“We therefore hold that subject matter derived from another not only is itself unpatentable to the party who derived it under § 102(f), but, when combined with other prior art, may make a resulting obvious invention unpatentable to that party under a combination of §§ 102(f) and 103.”).

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

Pre-AIA 102(f) – Derivation (MPEP 2137)

1 rules
StatutoryPermittedAlways
[mpep-2146-80a25baa50fb1677eac6453c]
Subject Matter Derived from Another Is Unpatentable
Note:
The subject matter derived from another party is not patentable to the deriving party under §102(f), and when combined with other prior art, it may render an invention unpatentable under a combination of §§102(f) and 103.

For applications filed prior to November 29, 1999, and granted as patents prior to December 10, 2004, the subject matter that is disqualified as prior art under pre-AIPA 35 U.S.C. 103(c) is strictly limited to subject matter that A) qualifies as prior art only under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g), and B) was commonly owned with the claimed invention at the time the invention was made. If the subject matter that qualifies as prior art only under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g) was not commonly owned at the time of the invention, the subject matter is not disqualified as prior art under pre-AIPA 35 U.S.C. 103(c) in effect on December 9, 2004. See OddzOn Products, Inc. v. Just Toys, Inc., 122 F.3d 1396, 1403-04, 43 USPQ2d 1641, 1646 (Fed. Cir. 1997) (“We therefore hold that subject matter derived from another not only is itself unpatentable to the party who derived it under § 102(f), but, when combined with other prior art, may make a resulting obvious invention unpatentable to that party under a combination of §§ 102(f) and 103.”).

Jump to MPEP SourcePre-AIA 102(f) – Derivation (MPEP 2137)Obviousness Under AIA (MPEP 2158)
Topic

Individuals Under Duty

1 rules
StatutoryPermittedAlways
[mpep-2146-c0cf9c633f65d507204d8885]
Disclosure of Inventorship and Invention Dates Required for Commonly Owned Subject Matter
Note:
Applicants must disclose inventorship and invention dates when filing jointly for commonly owned subject matter not previously commonly owned to avoid 35 U.S.C. 103(a) rejections based on prior art under pre-AIA 35 U.S.C. 102(f) or (g).

Inventors of subject matter not commonly owned at the time of the invention, but currently commonly owned, may file as joint inventors in a single application. However, the claims in such an application are not protected from a 35 U.S.C. 103(a) rejection based on prior art under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g). Applicants in such cases have an obligation pursuant to 37 CFR 1.56 to point out the inventor and invention dates of each claim and the lack of common ownership at the time the later invention was made to enable the examiner to consider the applicability of a 35 U.S.C. 103(a) rejection based on prior art under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g). The examiner will assume, unless there is evidence to the contrary, that applicants are complying with their duty of disclosure.

Jump to MPEP Source · 37 CFR 1.56Individuals Under DutyCommon Ownership Exception – 102(b)(2)(C)Joint Research Agreements (MPEP 2156)
Topic

Duty of Disclosure Fundamentals

1 rules
StatutoryInformativeAlways
[mpep-2146-f090d69343e4317e2d4bcc09]
Applicants Must Comply with Duty of Disclosure
Note:
The examiner assumes applicants are complying with their duty to disclose inventorship and common ownership, unless evidence to the contrary is provided.

Inventors of subject matter not commonly owned at the time of the invention, but currently commonly owned, may file as joint inventors in a single application. However, the claims in such an application are not protected from a 35 U.S.C. 103(a) rejection based on prior art under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g). Applicants in such cases have an obligation pursuant to 37 CFR 1.56 to point out the inventor and invention dates of each claim and the lack of common ownership at the time the later invention was made to enable the examiner to consider the applicability of a 35 U.S.C. 103(a) rejection based on prior art under pre-AIA 35 U.S.C. 102(f) or pre-AIA 35 U.S.C. 102(g). The examiner will assume, unless there is evidence to the contrary, that applicants are complying with their duty of disclosure.

Jump to MPEP Source · 37 CFR 1.56Duty of Disclosure FundamentalsDuty of DisclosureObviousness Under AIA (MPEP 2158)

Citations

Primary topicCitation
Joint Research Agreements (MPEP 2156)35 U.S.C. § 100
Obviousness Under AIA (MPEP 2158)
Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)
Prior Art in Reissue
35 U.S.C. § 102
Obviousness Under AIA (MPEP 2158)35 U.S.C. § 102(a)
Assignee as Applicant Signature
Common Ownership Exception – 102(b)(2)(C)
Determining Whether Application Is AIA or Pre-AIA
Obviousness Under AIA (MPEP 2158)
Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)
Prior Art in Reissue
35 U.S.C. § 102(e)
Determining Whether Application Is AIA or Pre-AIA
Duty of Disclosure Fundamentals
Individuals Under Duty
Obviousness Under AIA (MPEP 2158)
Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)
Pre-AIA 102(f) – Derivation (MPEP 2137)
Prior Art Under Pre-AIA 35 U.S.C. 102 (MPEP 2131-2138)
Prior Art in Reissue
35 U.S.C. § 102(f)
Determining Whether Application Is AIA or Pre-AIA
Duty of Disclosure Fundamentals
Individuals Under Duty
Pre-AIA 102(f) – Derivation (MPEP 2137)
Prior Art Under Pre-AIA 35 U.S.C. 102 (MPEP 2131-2138)
35 U.S.C. § 102(g)
Determining Whether Application Is AIA or Pre-AIA
Obviousness Under AIA (MPEP 2158)
35 U.S.C. § 103
Assignee as Applicant Signature
Common Ownership Exception – 102(b)(2)(C)
Determining Whether Application Is AIA or Pre-AIA
Duty of Disclosure Fundamentals
Individuals Under Duty
Obviousness Under AIA (MPEP 2158)
Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)
Prior Art in Reissue
35 U.S.C. § 103(a)
Assignee as Applicant Signature
Common Ownership Exception – 102(b)(2)(C)
Determining Whether Application Is AIA or Pre-AIA
Obviousness Under AIA (MPEP 2158)
Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)
Pre-AIA 102(f) – Derivation (MPEP 2137)
Prior Art Under Pre-AIA 35 U.S.C. 102 (MPEP 2131-2138)
Prior Art in Reissue
35 U.S.C. § 103(c)
Joint Research Agreements (MPEP 2156)
Obviousness Under AIA (MPEP 2158)
35 U.S.C. § 119(a)
Duty of Disclosure Fundamentals
Individuals Under Duty
37 CFR § 1.56
Obviousness Under AIA (MPEP 2158)37 CFR § 1.78(c)
Obviousness Under AIA (MPEP 2158)
Pre-AIA 102(e) – Earlier US Applications (MPEP 2136)
Prior Art in Reissue
MPEP § 2146.01
Assignee as Applicant Signature
Common Ownership Exception – 102(b)(2)(C)
Determining Whether Application Is AIA or Pre-AIA
Obviousness Under AIA (MPEP 2158)
MPEP § 2146.02
Joint Research Agreements (MPEP 2156)MPEP § 2150
Joint Research Agreements (MPEP 2156)MPEP § 2159
Joint Research Agreements (MPEP 2156)MPEP § 717.02
Obviousness Under AIA (MPEP 2158)MPEP § 804

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