What is a statement under 37 CFR 1.97(e) and when is it required?

A statement under 37 CFR 1.97(e) is a declaration that either:

1. Each item of information in the IDS was first cited in a foreign patent office communication no more than 3 months prior to the IDS filing, or
2. No item in the IDS was cited by a foreign patent office, and no item was known to anyone with a duty of disclosure more than 3 months prior to the IDS filing.

This statement is required when submitting an IDS after a first Office action but before a final Office action, Notice of Allowance, or Quayle action, unless a fee is paid. It’s also required when submitting an IDS after a final Office action, Notice of Allowance, or Quayle action (along with the fee).

As stated in MPEP 609.04(b): “A statement under 37 CFR 1.97(e) can contain either of two statements. One statement is that each item of information in an information disclosure statement was first cited in any communication, such as a search report, from a patent office outside the U.S. in a counterpart foreign application not more than three months prior to the filing date of the statement.”

To learn more:

• IDS
• Information Disclosure Statement
• 37 CFR 1.97(e)
• Patent Application

To learn more:

• 37 CFR 1.97(e)