MPEP § 2205 — Content of Prior Art or Section 301 Written Statements (Annotated Rules)

§2205 Content of Prior Art or Section 301 Written Statements

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

This page consolidates and annotates all enforceable requirements under MPEP § 2205, 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.

Content of Prior Art or Section 301 Written Statements

This section addresses Content of Prior Art or Section 301 Written Statements. Primary authority: 35 U.S.C. 301, 35 U.S.C. 301(b), and 35 U.S.C. 301(d). Contains: 5 requirements and 5 permissions.

Key Rules

Topic

Prior Art Analysis and Evaluation

3 rules
StatutoryRequiredAlways
[mpep-2205-71cbab000cf2d2e501aa00c7]
Explanation of Cited Prior Art and Written Statements Must Be Provided
Note:
The submission must explain the relevance and application of cited prior art and written statements to at least one patent claim.

Pursuant to 35 U.S.C. 301(b) and 37 CFR 1.501(b), an explanation is required of the pertinence and manner of applying any cited prior art and written statements to at least one claim of the patent. The submission must, at a minimum, contain some broad statement of the pertinence and manner of applying the cited prior art or written statement as to the patentability of the claim(s) of the patent. The explanation must set forth, for at least one of the patent claims, how each item cited shows or teaches at least one claim limitation. Submissions by patent owners may also include an explanation of how the claims of the patent differ from the cited prior art or written statement.

Jump to MPEP Source · 37 CFR 1.501(b)Prior Art Analysis and EvaluationPrior Art
StatutoryRequiredAlways
[mpep-2205-690b16bb86b12670abf233b3]
Explanation of Cited Prior Art Needed
Note:
The submission must explain how cited prior art pertains to and affects the patentability of at least one claim.

Pursuant to 35 U.S.C. 301(b) and 37 CFR 1.501(b), an explanation is required of the pertinence and manner of applying any cited prior art and written statements to at least one claim of the patent. The submission must, at a minimum, contain some broad statement of the pertinence and manner of applying the cited prior art or written statement as to the patentability of the claim(s) of the patent. The explanation must set forth, for at least one of the patent claims, how each item cited shows or teaches at least one claim limitation. Submissions by patent owners may also include an explanation of how the claims of the patent differ from the cited prior art or written statement.

Jump to MPEP Source · 37 CFR 1.501(b)Prior Art Analysis and EvaluationPrior Art
StatutoryRequiredAlways
[mpep-2205-313b5ebf17a084f7af195a7e]
Explanation of Pertinence for Patent Claims
Note:
Provide an explanation showing how cited prior art or written statements teach at least one claim limitation.

Pursuant to 35 U.S.C. 301(b) and 37 CFR 1.501(b), an explanation is required of the pertinence and manner of applying any cited prior art and written statements to at least one claim of the patent. The submission must, at a minimum, contain some broad statement of the pertinence and manner of applying the cited prior art or written statement as to the patentability of the claim(s) of the patent. The explanation must set forth, for at least one of the patent claims, how each item cited shows or teaches at least one claim limitation. Submissions by patent owners may also include an explanation of how the claims of the patent differ from the cited prior art or written statement.

Jump to MPEP Source · 37 CFR 1.501(b)Prior Art Analysis and EvaluationPrior Art
Topic

PTAB Contested Case Procedures

3 rules
StatutoryRequiredAlways
[mpep-2205-26f33debb6efbc54f8fc8814]
Identification of Patent Owner Claim Scope Statements Required
Note:
A submission including section 301 written statements must identify the forum, specific papers containing the statement, and how it reflects a patent owner's position on claim scope.

A submission that includes section 301 written statements must further include the identification of: (1) The forum and proceeding in which patent owner filed each statement (37 CFR 1.501(a)(3)(i)); (2) The specific papers and portions of the papers submitted that contain the statement (37 CFR 1.501(a)(3)(ii)); and (3) How each statement submitted is a statement in which patent owner took a position on the scope of any claim in the patent (37 CFR 1.501(a)(3)(iii)). Identification of the portions of the papers required by 37 CFR 1.501(a)(3)(ii) can be satisfied, for example, by citing to the documents and specific pages of those documents where the patent owner claim scope statements are found. The requirement of 37 CFR 1.501(a)(3)(iii) ensures that the statement is one in which patent owner has taken a position on claim scope in a proceeding and not merely a restatement of a position asserted by another party. Other information can be provided by the submitter to assist the Office in readily identifying the patent owner claim scope statement, such as (1) information regarding the status of the proceeding and (2) the relationship of the proceeding to the patent.

Jump to MPEP Source · 37 CFR 1.501(a)(3)(i))PTAB Contested Case Procedures
StatutoryRequiredAlways
[mpep-2205-da76827797fabd1dd960f0a4]
Identification of Patent Owner Claim Scope Statements Required
Note:
Submitter must identify specific pages in documents where patent owner claim scope statements are found for Section 301 written statements.

A submission that includes section 301 written statements must further include the identification of: (1) The forum and proceeding in which patent owner filed each statement (37 CFR 1.501(a)(3)(i)); (2) The specific papers and portions of the papers submitted that contain the statement (37 CFR 1.501(a)(3)(ii)); and (3) How each statement submitted is a statement in which patent owner took a position on the scope of any claim in the patent (37 CFR 1.501(a)(3)(iii)). Identification of the portions of the papers required by 37 CFR 1.501(a)(3)(ii) can be satisfied, for example, by citing to the documents and specific pages of those documents where the patent owner claim scope statements are found. The requirement of 37 CFR 1.501(a)(3)(iii) ensures that the statement is one in which patent owner has taken a position on claim scope in a proceeding and not merely a restatement of a position asserted by another party. Other information can be provided by the submitter to assist the Office in readily identifying the patent owner claim scope statement, such as (1) information regarding the status of the proceeding and (2) the relationship of the proceeding to the patent.

Jump to MPEP Source · 37 CFR 1.501(a)(3)(i))PTAB Contested Case Procedures
StatutoryPermittedAlways
[mpep-2205-9f530f46e49011cd65d201fc]
Requirement for Patent Owner Claim Scope Statement in Proceeding
Note:
The rule requires that patent owner's claim scope statement be identified and not merely a restatement of another party’s position, along with information on the proceeding status and its relationship to the patent.

A submission that includes section 301 written statements must further include the identification of: (1) The forum and proceeding in which patent owner filed each statement (37 CFR 1.501(a)(3)(i)); (2) The specific papers and portions of the papers submitted that contain the statement (37 CFR 1.501(a)(3)(ii)); and (3) How each statement submitted is a statement in which patent owner took a position on the scope of any claim in the patent (37 CFR 1.501(a)(3)(iii)). Identification of the portions of the papers required by 37 CFR 1.501(a)(3)(ii) can be satisfied, for example, by citing to the documents and specific pages of those documents where the patent owner claim scope statements are found. The requirement of 37 CFR 1.501(a)(3)(iii) ensures that the statement is one in which patent owner has taken a position on claim scope in a proceeding and not merely a restatement of a position asserted by another party. Other information can be provided by the submitter to assist the Office in readily identifying the patent owner claim scope statement, such as (1) information regarding the status of the proceeding and (2) the relationship of the proceeding to the patent.

Jump to MPEP Source · 37 CFR 1.501(a)(3)(i))PTAB Contested Case Procedures
Topic

Commercial Success

3 rules
StatutoryPermittedAlways
[mpep-2205-ed256d524dff308772edc9d4]
Affidavits for Explaining Contents or Dates
Note:
Patent owners may submit affidavits to explain the contents of documents or provide details on pertinent dates, including evidence of commercial success.

Affidavits or declarations or other written evidence relating to the submitted documents may accompany the 37 CFR 1.501 submission to explain the contents or pertinent dates in more detail. A commercial success affidavit tied in with a particular document may also be acceptable. For example, the patent owner may wish to cite a patent or printed publication which raises the issue of obviousness of at least one patent claim. Together with the cited art, the patent owner may file (A) an affidavit of commercial success or other evidence of nonobviousness, or (B) an affidavit which questions the enablement of the teachings of the cited prior art.

Jump to MPEP Source · 37 CFR 1.501Commercial SuccessSecondary Considerations of NonobviousnessObviousness
StatutoryPermittedAlways
[mpep-2205-666ae97dacf3a2f4d09f64c0]
Commercial Success Affidavit for Nonobviousness
Note:
A patent owner may submit an affidavit demonstrating commercial success to support the nonobviousness of a claimed invention.

Affidavits or declarations or other written evidence relating to the submitted documents may accompany the 37 CFR 1.501 submission to explain the contents or pertinent dates in more detail. A commercial success affidavit tied in with a particular document may also be acceptable. For example, the patent owner may wish to cite a patent or printed publication which raises the issue of obviousness of at least one patent claim. Together with the cited art, the patent owner may file (A) an affidavit of commercial success or other evidence of nonobviousness, or (B) an affidavit which questions the enablement of the teachings of the cited prior art.

Jump to MPEP Source · 37 CFR 1.501Commercial SuccessSecondary Considerations of NonobviousnessObviousness
StatutoryPermittedAlways
[mpep-2205-e22c7985941b938ab1171bd9]
Patent Owner Can File Affidavit of Commercial Success or Enablement Question
Note:
The patent owner may submit an affidavit claiming commercial success or questioning the enablement of cited prior art to support nonobviousness.

Affidavits or declarations or other written evidence relating to the submitted documents may accompany the 37 CFR 1.501 submission to explain the contents or pertinent dates in more detail. A commercial success affidavit tied in with a particular document may also be acceptable. For example, the patent owner may wish to cite a patent or printed publication which raises the issue of obviousness of at least one patent claim. Together with the cited art, the patent owner may file (A) an affidavit of commercial success or other evidence of nonobviousness, or (B) an affidavit which questions the enablement of the teachings of the cited prior art.

Jump to MPEP Source · 37 CFR 1.501Commercial SuccessSecondary Considerations of NonobviousnessObviousness
Topic

Ex Parte Reexamination

3 rules
StatutoryPermittedAlways
[mpep-2205-fc92385448b715874b502d80]
Requirement for Patent and Publication Submissions
Note:
This rule requires that submissions under 37 CFR 1.501 must include patents, printed publications, or patent owner statements with explanations of their pertinence.

A submission under 37 CFR 1.501 is limited to patents, printed publications, or patent owner written statements, accompanying information and an explanation of the pertinency and the manner of applying them. This may include an explanation by the patent owner as to how the claims differ from the prior art patents or printed publications or written claim scope statements and accompanying information. It may also include affidavits and declarations. The submission cannot include any issue which is not directed to patents, printed publications or written claim scope statements and accompanying information. Thus, for example, a submission cannot include a statement as to the claims violating 35 U.S.C. 112, a statement as to the public use of the claimed invention, or a statement as to the conduct of the patent owner. The submission must be directed to patents, printed publications and/or written claim scope statements and accompanying information and cannot discuss what the patent owner did, or failed to do, with respect to submitting and/or describing patents and printed publications during examination, because that would be a statement as to the conduct of the patent owner. The submission also should not contain argument and discussion of references previously treated in the prosecution of the application which matured into the patent or references previously treated in a reexamination proceeding as to the patent.

Jump to MPEP Source · 37 CFR 1.501Ex Parte ReexaminationDisclosure Requirements
StatutoryProhibitedAlways
[mpep-2205-bec9dde5e15659a5e521a439]
Submission Must Focus on Patents and Publications
Note:
The submission must be limited to patents, printed publications, and written claim scope statements, without discussing the patent owner's conduct during examination.

A submission under 37 CFR 1.501 is limited to patents, printed publications, or patent owner written statements, accompanying information and an explanation of the pertinency and the manner of applying them. This may include an explanation by the patent owner as to how the claims differ from the prior art patents or printed publications or written claim scope statements and accompanying information. It may also include affidavits and declarations. The submission cannot include any issue which is not directed to patents, printed publications or written claim scope statements and accompanying information. Thus, for example, a submission cannot include a statement as to the claims violating 35 U.S.C. 112, a statement as to the public use of the claimed invention, or a statement as to the conduct of the patent owner. The submission must be directed to patents, printed publications and/or written claim scope statements and accompanying information and cannot discuss what the patent owner did, or failed to do, with respect to submitting and/or describing patents and printed publications during examination, because that would be a statement as to the conduct of the patent owner. The submission also should not contain argument and discussion of references previously treated in the prosecution of the application which matured into the patent or references previously treated in a reexamination proceeding as to the patent.

Jump to MPEP Source · 37 CFR 1.501Ex Parte ReexaminationDisclosure Requirements
StatutoryRecommendedAlways
[mpep-2205-c96dcb53249a57e0508b34a9]
References Not Previously Treated In Prosecution Prohibited
Note:
A submission cannot include references previously discussed in the patent's prosecution or reexamination proceedings.

A submission under 37 CFR 1.501 is limited to patents, printed publications, or patent owner written statements, accompanying information and an explanation of the pertinency and the manner of applying them. This may include an explanation by the patent owner as to how the claims differ from the prior art patents or printed publications or written claim scope statements and accompanying information. It may also include affidavits and declarations. The submission cannot include any issue which is not directed to patents, printed publications or written claim scope statements and accompanying information. Thus, for example, a submission cannot include a statement as to the claims violating 35 U.S.C. 112, a statement as to the public use of the claimed invention, or a statement as to the conduct of the patent owner. The submission must be directed to patents, printed publications and/or written claim scope statements and accompanying information and cannot discuss what the patent owner did, or failed to do, with respect to submitting and/or describing patents and printed publications during examination, because that would be a statement as to the conduct of the patent owner. The submission also should not contain argument and discussion of references previously treated in the prosecution of the application which matured into the patent or references previously treated in a reexamination proceeding as to the patent.

Jump to MPEP Source · 37 CFR 1.501Ex Parte ReexaminationDisclosure Requirements
Topic

Reissue and Reexamination

2 rules
StatutoryPermittedAlways
[mpep-2205-b71c47b30cd4bdc78ca53789]
Copies of Cited Prior Art Must Be Included
Note:
Patent files must include copies of cited prior art patents, printed publications, and their English translations for easy review during reissue, reexamination, or other post-patent proceedings.

It is preferred that copies of all the cited prior art patents or printed publications and any necessary English translation be included so that the value of the citations may be readily determined by persons inspecting the patent files and by the Office during any subsequent reissue, reexamination, or other post-patent proceeding. Copies of section 301 written statements must be submitted so that the value of the information may be readily determined by persons inspecting the patent files and so that the Office may determine the proper meaning of a patent claim after an ex parte reexamination, inter partes review, or post-grant review has been ordered or instituted. See 35 U.S.C. 301(d).

Jump to MPEP SourceReissue and ReexaminationPrior Art in ReissueConcurrent Reissue Proceedings
StatutoryRequiredAlways
[mpep-2205-bab55bbebd08ea08bda9e79d]
Copies of Section 301 Written Statements Required for Patent Files Inspection
Note:
Patent files must include copies of section 301 written statements to determine the value of information and clarify patent claims during reexamination or post-grant review.

It is preferred that copies of all the cited prior art patents or printed publications and any necessary English translation be included so that the value of the citations may be readily determined by persons inspecting the patent files and by the Office during any subsequent reissue, reexamination, or other post-patent proceeding. Copies of section 301 written statements must be submitted so that the value of the information may be readily determined by persons inspecting the patent files and so that the Office may determine the proper meaning of a patent claim after an ex parte reexamination, inter partes review, or post-grant review has been ordered or instituted. See 35 U.S.C. 301(d).

Jump to MPEP SourceReissue and ReexaminationReexamination OrderConcurrent Reissue Proceedings
Topic

Prior Art

1 rules
StatutoryPermittedAlways
[mpep-2205-f26456d1fd79964932635db6]
Explain Patent Claims Differ from Prior Art
Note:
Provide an explanation of how patent claims differ from cited prior art or written statements.

Pursuant to 35 U.S.C. 301(b) and 37 CFR 1.501(b), an explanation is required of the pertinence and manner of applying any cited prior art and written statements to at least one claim of the patent. The submission must, at a minimum, contain some broad statement of the pertinence and manner of applying the cited prior art or written statement as to the patentability of the claim(s) of the patent. The explanation must set forth, for at least one of the patent claims, how each item cited shows or teaches at least one claim limitation. Submissions by patent owners may also include an explanation of how the claims of the patent differ from the cited prior art or written statement.

Jump to MPEP Source · 37 CFR 1.501(b)Prior ArtPrior Art Analysis and Evaluation
Topic

Correspondence Address Requirements

1 rules
StatutoryRequiredAlways
[mpep-2205-5524d5a4daac43d66fd3928f]
Proof of Service Required for Submissions
Note:
Submissions by non-patent owners must include proof that a copy has been served on the patent owner at their defined correspondence address.

All submissions filed by persons other than the patent owner must include proper proof of service as required by 37 CFR 1.248(b) reflecting that a copy of the submission has been mailed to, or otherwise served upon, the patent owner at the correspondence address as defined under 37 CFR 1.33(c). 37 CFR 1.501(e).

Jump to MPEP Source · 37 CFR 1.248(b)Correspondence Address RequirementsCorrespondence with the OfficeCorrespondence Address
Topic

Obviousness

1 rules
StatutoryPermittedAlways
[mpep-2205-a18289e6ab49e70e6e4c9590]
Evidence for Nonobviousness or Enablement Required with Cited Art
Note:
The patent owner must provide evidence, such as an affidavit of commercial success or an enablement challenge, when citing art that raises obviousness issues.

Affidavits or declarations or other written evidence relating to the submitted documents may accompany the 37 CFR 1.501 submission to explain the contents or pertinent dates in more detail. A commercial success affidavit tied in with a particular document may also be acceptable. For example, the patent owner may wish to cite a patent or printed publication which raises the issue of obviousness of at least one patent claim. Together with the cited art, the patent owner may file (A) an affidavit of commercial success or other evidence of nonobviousness, or (B) an affidavit which questions the enablement of the teachings of the cited prior art.

Jump to MPEP Source · 37 CFR 1.501ObviousnessCommercial Success
Topic

Fee Requirements

1 rules
StatutoryRequiredAlways
[mpep-2205-b704f6893480c51682b62552]
No Fee Required for Submission
Note:
This rule states that no fee is required when submitting under 37 CFR 1.501.

No fee is required for the submission under 37 CFR 1.501.

Topic

35 U.S.C. 112 – Disclosure Requirements

1 rules
StatutoryProhibitedAlways
[mpep-2205-79e0ee7debb31f06e1d1df51]
Submission Must Include Only Patents, Publications, and Claim Statements
Note:
The submission can only include patents, printed publications, or written claim scope statements and their accompanying information. It cannot discuss the conduct of the patent owner or other issues not related to these elements.

A submission under 37 CFR 1.501 is limited to patents, printed publications, or patent owner written statements, accompanying information and an explanation of the pertinency and the manner of applying them. This may include an explanation by the patent owner as to how the claims differ from the prior art patents or printed publications or written claim scope statements and accompanying information. It may also include affidavits and declarations. The submission cannot include any issue which is not directed to patents, printed publications or written claim scope statements and accompanying information. Thus, for example, a submission cannot include a statement as to the claims violating 35 U.S.C. 112, a statement as to the public use of the claimed invention, or a statement as to the conduct of the patent owner. The submission must be directed to patents, printed publications and/or written claim scope statements and accompanying information and cannot discuss what the patent owner did, or failed to do, with respect to submitting and/or describing patents and printed publications during examination, because that would be a statement as to the conduct of the patent owner. The submission also should not contain argument and discussion of references previously treated in the prosecution of the application which matured into the patent or references previously treated in a reexamination proceeding as to the patent.

Jump to MPEP Source · 37 CFR 1.501Disclosure RequirementsEx Parte Reexamination

Citations

Primary topicCitation
35 U.S.C. 112 – Disclosure Requirements
Ex Parte Reexamination
35 U.S.C. § 112
35 U.S.C. § 301
Prior Art
Prior Art Analysis and Evaluation
35 U.S.C. § 301(b)
Reissue and Reexamination35 U.S.C. § 301(d)
Correspondence Address Requirements37 CFR § 1.248(b)
Correspondence Address Requirements37 CFR § 1.33(c)
35 U.S.C. 112 – Disclosure Requirements
Commercial Success
Ex Parte Reexamination
Fee Requirements
Obviousness
37 CFR § 1.501
37 CFR § 1.501(a)(2)
PTAB Contested Case Procedures37 CFR § 1.501(a)(3)(i)
PTAB Contested Case Procedures37 CFR § 1.501(a)(3)(ii)
PTAB Contested Case Procedures37 CFR § 1.501(a)(3)(iii)
Prior Art
Prior Art Analysis and Evaluation
37 CFR § 1.501(b)
Correspondence Address Requirements37 CFR § 1.501(e)
MPEP § 2206
MPEP § 2258

Source Text from USPTO’s MPEP

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

BlueIron Last Updated: 2025-12-31