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# Chapter 200 Types, Cross-Noting, and Status of Application 201 Types of Applications 201.01 Sole 201.02 Joint 201.03 Convertibility of Application 201.04 Original or Parent 201.05 Reissue 201.06 Divisional 201.07 Continuation 201.08 Continuation-in-part 201.09 Substitute 201.10 Refile 201.11 Continuity Between Applications : When En- titled to Filing Date 201.12 Assignment Carries Title 201.13 Right of Priority of Foreign Application 201.14 Right of Priority, Formal Requirements 201.14 (a) Time for Filing Papers 201.14(b) Papers Required 201.14 (c) Practice 201.15 Right of Priority, Overcoming a Reference 201.16 Extension of Period of Priority, Public Law 690 201.17 Government Cases 202 Cross-Noting 202.01 In Specification 202.02 On File Wrapper of Division, Continuation, Substitute, or Continuation-in-part 202.03 On File Wrapper When Foreign Application Is Acknowledged 202.04 In Oath 202.05 In Case of Reissues 203 Status of Applications 203.01 New 203.02 Rejected 203.03 Amended 203.04 Allowed 203.05 Abandoned 203.06 Incomplete 208.07 Forfeited 203.08 "Status Letters" ## 201 Types of Applications Patent applications fall under three broad types; applications for patent under 35 U.S.C. 101 relating to a "new and useful process, ma- chine, manufacture, or composition of matter, etc.", applications for plant patents under 35 U.S.C. 161, and applications for design pat- ents under 35 U.S.C. 171. The first type of patents are sometimes referred to as "utility" patents or "mechanical" patents when being contrasted with plant or design patents. The specialized procedure which pertains to the ex- amination of applications for design and plant patents will be treated in detail in Chapters 1500 and 1600, respectively. ## 201.01 Sole An application wherein the invention is pre- sented as that of a single person is termed a sole application. ## 201.02 Joint A joint application is one in which the in- vention is presented as that of two or more persons. ## 201.03 Convertibility of Application Rule 45. Joint Inventors (Second Paragraph). (b) If an application for patent has been made through error and without any deceptive intention by two or more persons as joint inventors when they were not in fact joint inventors, the application may be amended to remove the names of those not inventors upon fil- ing a statement of the facts verified by all of the orig- inal applicants, and an oath as required by rule 65 by the applicant who is the actual inventor, provided the amendment is diligently made. Such amendment must have the written consent of any assignee. The required "statement of the facts verified by all of the original applicants" must include at the least, a recital of the circumstances, in- cluding the relevant dates, of (1) the mis- joinder and (2) the discovery of the mis- joinder. Without such a showing of circum- stances, no basis exists for a conclusion that the application had been made in the names of the original sole or joint applicant (s) "through error and without any deceptive in- tention", and no foundation is supplied for a ruling that the amendment to remove the names of those not inventors or include those to be added as inventors was "diligently made." <!-- PageBreak --> <!-- PageHeader="201.04" --> <!-- PageHeader="MANUAL OF PATENT EXAMINING PROCEDURE" --> On the matter of diligence, attention is di- rected to the decision of the C.C.P.A. in Van Otteren v. Hafner et al., 757 O.G. 1026; 126 U.S.P.Q. 151. It is possible to file a sole application to take the place of the joint application, subject to the requirements of Rule 45. This would be equivalent to amending the original joint application. For the procedure to be followed when the joint application is involved in an interference, see 1111.07 and 1112.09(m) to 1112.09(p). Conversion from a sole to a joint application is now permitted by 35 U.S.C. 116. Rule 45. (Third Paragraph) Joint Inventors. If an application for patent has been made through error and without any deceptive intention by less than all the actual joint inventors, the application may be amended to include all the joint inventors upon filing a statement of the facts verified by, and an oath as required by Rule 65 executed by, all the actual joint inventors, provided the amendment is diligently made. Such amendment must have the written consent of any assignee. The filing of a new joint application to take the place of a sole application, subject to the provisions of the third paragraph of Rule 45, would be the equivalent of amending the sole application. An attempted second conversion, of either type, in the same application must be referred to the Supervisory Examiner. Any attempt to make both types of conversions in the same application must also be referred to the Super- visory Examiner. Any conversion must be with the consent of the assignee, if any. The provisions of Rule 312 apply to at- tempted conversions after allowance and be- fore issue. When an application is amended under either the second or third paragraphs of Rule 45, the file should be sent to the Application Branch for a revision of its record. ## 201.04 Original or Parent The terms original and parent are inter- changeably applied to the first of a series of applications of an inventor, all disclosing a given invention. Such invention may or may not be claimed in the first application. ## 201.05 Reissue A reissue application is an application for a patent to take the place of an unexpired patent that is defective in some one or more particu- lars. A detailed treatment of reissues will be' found in chapter 1400. ## 201.06 Divisional A later application for a distinct or inde- pendent invention, carved out of a pending ap- plication and disclosing and claiming nothing not disclosed in the earlier or parent applica -. tion, is known as a divisional application. Ex- cept as provided in Rule 45, both the parent and the divisional application must be by the same applicant. (See below.) The divisional application should set forth only that portion of the earlier disclosure which is germane to the invention as claimed in the divisional application. However, a design application is not to be considered to be a division of a copending, prior filed utility application and is not en- titled to the filing date thereof, even though the drawings of the earlier filed utility appli- cation show the same article as that in the de- sign application, in re Campbell, 1954 C.D. 191; 685 O.G. 470. While a divisional application may depart from the phraseology used in the parent case there may be no departure therefrom in sub- stance or variation in the drawing that would amount to "new matter" if introduced by amendment into the parent case. Compare 201.08 and 201.11. A divisional application is also referred to as a "division" of the parent case. Rule 147. Separate application for invention not elected. The nonelected inventions, those not elected after a requirement for restriction (rule 142), may be made the subjects of separate applications, which must conform to the rules applicable to original appli- cations and which will be examined in the same man- ner as original applications. However, if such an application is filed before the patenting or abandon- ment of or termination of proceedings on the original application, and if the drawings are identical and the application papers comprise a copy of the original application as filed, prepared and certified by the Patent Office, together with a proposed amendment cancelling the irrelevant claims or other matter, sign- ing and execution by the applicant may be omitted. Where a certified copy of an application is ordered in advance of filing the divisional ap- plication, it is important that the intended use be specified, as by reference to Rule 147, in or- der that the copy furnished by the Patent Office will be suitable for this purpose. Since Rule 45 (second paragraph) permits the conversion of a joint application to a sole, it follows that a new application, restricted to divisible subject matter, filed during the pend- ency of the joint application by one of the joint applicants, in place of restricting and converting the joint case, may properly be <!-- PageBreak --> <!-- PageHeader="201.11" --> <!-- PageHeader="TYPES, CROSS-NOTING, AND STATUS OF APPLICATION" --> identified as a division of the joint. In like manner under Rule 45 (third paragraph), a new joint application for divisible subject mat- ter present in a sole application may be identi- fied as a division if filed by the sole applicant and another during the pendency of the sole. However, the following conditions must be satisfied : (a) It must appear that the parent appli- cation was filed "through error and without any deceptive intention". (b) On discovery of the mistake the new application must be diligently filed and the burden of establishing good faith rests with the new applicant or applicants. (c) There must be filed in the new applica- tion the verified statement of facts required by Rule 45. For notation to be put on the file jacket by the Examiner in the case of a divisional ap- plication see 202.02. ## 201.07 Continuation A continuation is a second application for the same invention claimed in a prior applica- tion and. filed before the original becomes abandoned. Except as provided in Rule 45, the applicant in the continuing application must be the same as in the prior application. The disclosure presented in the continuation must be the same as that of the original appli- cation, i.e., the continuation should not include anything which would constitute new matter if inserted in the original application. Where an application has been prosecuted to a final rejection an applicant may have re- course to filing a continuation in order to in- troduce into the case a new set of claims and to establish a right to further examination by the Primary Examiner. For notation to be put on the file jacket, by the Examiner in the case of a continuation ap- plication see 202.02. ## 201.08 Continuation-in-Part A continuation-in-part is an application filed during the lifetime of an earlier application by the same applicant, repeating some substantial portion or all of the earlier application and adding matter not disclosed in the said earlier case. (In re Klein, 1930, C.D. 2; 393 O.G. 519.) A continuation-in-part filed by a sole appli- cant may also derive from an earlier joint application showing a portion only of the sub- ject matter of the later application, subject to the conditions stated in the case of a sole divi- sional application stemming from a joint ap- plication (201.06). Subject to the same con- ditions, a joint continuation-in-part application may derive from an earlier sole application. For notation to be put on the file jacket by the Examiner in the case of a continuation-in- part application see 202.02. ## 201.09 Substitute The use of the term "Substitute" to desig- nate an application which is in essence the duplicate of an application by the same appli- cant abandoned before the filing of the later case, finds official recognition in the decision, Ex parte Komenak, 1940 C.D. 1; 512 O.G. 739. However, the decision does not reflect current practice as to compelling applicant to insert, in the specification, reference to the earlier case. The notation on the file wrapper (See 202.02) that one case is a "Substitute" for an- other is printed in the heading of the patent copies. See 201.11. As is explained in 201.11 a "Substitute" does not obtain the benefit of the filing date of the prior application. ## 201.10 Re-file No official definition has been given the term Re-file, though it is sometimes used as an alter- native for the term Substitute. If the applicant designates his application as "re-file" and the Examiner finds that the appli- cation is in fact a duplicate of a former appli- cation by the same party which was abandoned prior to the filing of the second case, the Ex- aminer should require the substitution of the word substitute for "re-file," since the former term has official recognition. The endorsement on the file wrapper that the case is a "substi- tute" will result in the further endorsement by the Assignment Branch of any assignment of the parent case that may have been made. ## 201.11 Continuity Between Applica- tions: When Entitled to Filing Date Under certain circumstances an application for patent is entitled to the benefit of the filing date of a prior application of the same inven- tor. The conditions are specified in 35 U.S.C. 120, which contains a few variations over the practice prior to January 1, 1953, which was not based upon any specific provision of the statute. 35 U.S.C. 120. Benefit of earlier filing date in the United States. An application for patent for an in- vention disclosed in the manner provided by the first <!-- PageBreak --> <!-- PageHeader="MANUAL OF PATENT EXAMINING PROCEDURE" --> paragraph of section 112 of this title in an application previously filed in the United States by the same in- ventor shall have the same effect, as to such inven- tion, as though filed on the date of the prior applica- tion, is filed before the patenting or abandonment of or termination of proceedings on the first application or on an application similarly entitled to the benefit of the filing date of the first application and if it con- tains or is amended to contain a specific reference to the earlier filed application. There are three conditions in addition to the basic requirement that the two applications be by the same inventor: 1\. The second application (which is called a continuing application) must be an application for a patent for an invention which is also disclosed in the first application (the parent or original application) ; the disclosure of inven- tion in the first application (and obviously in the second application as well) must be suffi- cient to comply with the requirements of the first paragraph of 35 U.S.C. 112. 2\. The second application must be "copend- ing" with the first application. 3\. The second application must contain a specific reference to the first application in the specification or oath. The term "same inventor" has been construed in In re Schmidt, 48 C.C.P.A. 1140; 1961 C.D. --;-- O.G. -- , to include a continuing appli- cation of a sole inventor derived from an ap- plication of joint inventors where a showing was made that the joinder involved error with- out any deceptive intent (35 U.S.C. 116). # COPENDENCY Copendency is defined in the clause which requires that the second application must be filed before (a) the patenting, or (b) the abandonment of, or (c) the termination of proceedings in the first application. If the first application issues as a patent, it is sufficient for the second application to be co- pending with it if the second application is filed on the same day or before the patenting of the first application. Thus, the second ap- plication may be filed while the first is still pending before the Examiner, while it is in issue, or even between the time the final fee is paid and the patent issues. If the first application is abandoned, the second application must be filed before the abandonment in order for it to be copending with the first. The term "abandoned," strictly used, refers to abandonment for failure to prosecute (Section 711.02) and express aban- donment (Section 711.01). If an abandoned application is revived by the Commissioner (Section 711.03(c) ), it becomes reinstated as a pending application and the preceding period of abandonment has no effect. The expression "termination of proceedings" is new in the statute, although not new in practice. Proceedings in an application are obviously terminated when it is abandoned or when a patent has been issued, and hence this expression is the broadest of the three. There are several other situations in which proceed- ings are terminated as is explained in Section 711.02(c). When proceedings in an application are ter- minated, the application is treated in the same manner as an abandoned application, and the term "abandoned application" may be used broadly to include such applications. The term "continuity" is used to express the relationship of copendency of the same subject matter in two different applications of the same inventor, and the second application may be referred to as a continuing application. Continuing applications include those applica- tions which are called divisions, continuations, and continuations-in-part. As far as the right under the statute is concerned the name used is immaterial, the names being merely expres- sions developed for convenience. The statute is so worded that the first application may contain more than the second, or the second application may contain more than the first, and in either case the second application is en- titled to the benefit of the filing date of the first as to the common subject matter. # REFERENCE TO FIRST APPLICATION The third requirement of the statute is that the second application must contain a specific reference to the first application. In view of this requirement, the right to rely on a prior application may be waived or refused by an applicant by refraining from inserting a refer- ence to the prior application in the later one. The examiner cannot require the applicant to insert a reference in the second application. If the examiner is aware of the fact that an ap- plication is a continuing application of a prior one, he should merely call attention to this in an Office action, for example, in the following language : "It is noted that this application appears to claim subject matter disclosed in applicant's prior copending application Serial No. filed A reference to this prior ap- plication must be inserted in the specification of the present application if applicant intends to rely on the filing date of the prior applica- tion, Rule 78." The end of the first sentence of revised Rule 78 states that if the second application (and ( <!-- PageBreak --> <!-- PageHeader="TYPES, CROSS-NOTING, AND STATUS OF APPLICATION" --> by "application" is meant the specification and oath) does not contain a reference to the prior application, the prior application must be re- ferred to in a separate paper filed in the later application. This provision is merely for the purpose of requiring the applicant to call the examiner's attention to the fact that there was a prior application. If the examiner is aware of a prior application and notes it in an Office action, as indicated above, the rule is satisfied and the examiner should not require the appli- cant to call attention to the prior application. Applications are sometimes filed with a di- vision, continuation, or continuation-in-part oath, in which the oath refers back to a prior application. Such reference to the prior appli- cation satisfies the requirement of the statute. If there is no reference in the specification, in such cases, the examiner should require its insertion or he may make the insertion by Examiner's Amendment. A second application which is not copending with the first application, which includes those called substitutes in sec. 201.09, is not entitled to the benefit of the filing date of the prior ap- plication and the bars to the grant of a patent all date from the filing date of the second ap- plication. An applicant is not now required to refer to such applications in the specification of the later filed application. If the examiner is aware of such a prior abandoned applica- tion he should make a reference to it in an Office action in order that the record of the second application will show this fact. In the case of a "Substitute" application, the notation on the file wrapper is printed in the heading of the patent copies and thus calls attention to the relationship of the two cases. If an applicant refers to a prior noncopend- ing abandoned application in the specification, the manner of referring to it should make it evident that it was abandoned before filing the second. For notations to be placed on the file wrap- per in the case of continuing applications see 202.02 and 1302.09. WHEN NOT ENTITLED TO FILING DATE Where the first application is found to be fatally defective because of insufficient disclo- sure to support allowable claims, a second appli- cation filed as a "continuation-in-part" of the first application to supply the deficiency is not entitled to the benefit of the filing date of the first application. Hunt Co. v. Mallinckrodt Chemical Works, 83 U.S.P.Q. 277 at 281 and cases cited therein. Ex parte Buc et al., 1957 C.D. 40; 722 O.G. 433. These cases also in- volve the question of res judicata. # 201.12 Assignment Carries Title Assignment of an original application car- ries title to any divisional, continuation, sub- stitute or reissue application stemming from the original application and filed after the date of assignment. # 201.13 Right of Priority of Foreign Application Under certain conditions and on fulfilling certain requirements, an application for patent filed in the United States may be entitled to the benefit of the filing date of a prior applica- tion filed in a foreign country, to overcome an intervening reference or for similar purposes. The conditions are specified in the first para- graph of 35 U.S.C. 119. 35 U.S.C. 119. Benefit of earlier filing date in foreign country; right of priority. An application for patent for an invention filed in this country by any person who has, or whose legal representatives or assigns have, previously regularly filed an application for a patent for the same invention in a foreign country which affords similar privileges in the case of applications filed in the United States or to citizens of the United States, shall have the same effect as the same application would have If filed in this coun- try on the date on which the application for patent for the same invention was first filed in such foreign country, if the application in this country is filed within twelve months from the earliest date on which such foreign application was filed ; but no patent shall be granted on any application for patent for an inven- tion which had been patented or described in a printed publication in any country more than one year before the date of the actual filing of the appli- cation in this country, or which had been in public use or on sale in this country more than one year prior to such filing. The period of twelve months specified in this section is six months in the case of designs, 35 U.S.C. 172. The conditions may be listed as follows: 1\. The foreign application must be one filed in "a foreign country which affords similar privileges in the case of applications filed in the United States or to citizens of the United States." 2\. The foreign application must have been filed by the same applicant (inventor) as the applicant in the United States, or by his legal representatives or assigns. 3\. The application in the United States must be filed within twelve months from the date of the earliest foreign filing in a "recognized" country as explained below. <!-- PageFooter="598832 0-61-2" --> <!-- PageBreak --> # 201.13 <!-- PageHeader="MANUAL OF PATENT EXAMINING PROCEDURE" --> 4\. The foreign application must be for the same invention as the application in the United States. # RECOGNIZED COUNTRIES OF FOREIGN FILING The right to rely on a foreign application is known as the right of priority in international patent law and this phrase has been adopted in our statute. The right of priority origi- nated in a multilateral treaty of 1883, to which the United States adhered in 1887, known as the International Convention for the Protection of Industrial Property. This treaty has been revised several times, the last revision being one signed at London in 1934. One of the many provisions of the treaty requires each of the adhering countries to accord the right of priority to the nationals of the other countries and the first United States statute relating to this subject was enacted to carry out this obli- gation. There is another treaty between the United States and some Latin American coun- tries which also provides for the right of priority, and a foreign country may also pro- vide for this right by reciprocal legislation. A list of the countries, over fifty in number, with respect to which the right of priority is recog- nized is given in a note following Rule 55 in the rule book. NOTE: Following is a list of countries with respect to which the right of priority referred to in 35 U.S.C. 119 has been recognized. The authority in the case of these countries is the International Convention for the Protection of Industrial Property (613 O.G. 23, 53 Stat. 1748), indicated by the letter I following the name of the country; the Inter-American Con- vention relating to Inventions, Patents, De- signs and Industrial Models, signed at Buenos Aires August 20, 1910 (207 O.G. 935, 30 Stat. 1811), indicated by the letter P after the name of the country; or reciprocal legislation in the particular country, indicated by the letter L following the name of the country. Australia (I), Austria (I), Belgium (I), Brazil (I,P), Bulgaria (I), Canada (I), Ceylon (I), Costa Rica (P), Cuba (I,P), Czechoslovakia (I), Denmark (I), Dominican Republic (I,P), Ec- uador (P), Egypt (United Arab Republic) (I), Finland (I), France (I), Germany, Federal Re- public of (I), Great Britain (I), Greece (I), Guatemala (P), Haiti (I,P), Honduras (P), Hungary (I), Indonesia (I), Iran (I), Ireland (I), Israel (I), Italy (I), Japan (I), Korea (L), Lebanon (I), Liechtenstein (I), Luxem- burg (I), Mexico (I), Monaco (I), Morocco (I), Netherlands (I), New Zealand (I), Nicaragua (P), Norway (I), Panama (P), Paraguay (P), Philippines (L), Poland (I), Portugal (I), Rhodesia and Nyasaland, Federa- tion of (I), Roumania (I), San Marino (I), Spain (I), Sweden (I), Switzerland (I), Syrian Arab Republic (I), Tunis (I), Turkey (I), Union of South Africa (I), United Arab Republic (I), Uruguay (P), Vatican City (I), Viet Nam (I), Yugoslavia (I). If any applicant asserts the benefit of the filing date of an application filed in a country not on this list, the examiner should inquire to determine if there has been any change in the status of that country. It should be noted that the right is based on the country of the foreign filing and not upon the citizenship of the applicant. # IDENTITY OF INVENTORS The inventors of the U.S. application and of the foreign application must be the same as a right of priority does not exist in the case of an application of inventor A in the foreign country and inventor B in the United States, even though the two applications may be owned by the same party. However the appli- cation in the foreign country may have been filed by the assignee, or by the legal represent- ative or agent of the inventor which is per- mitted in some foreign countries, rather than by the inventor himself, but in such cases the name of the inventor is usually given in the foreign application on a paper filed therein. # TIME FOR FILING U.S. APPLICATION The United States application must be filed within twelve months of the foreign filing. In computing this twelve months, the first day is not counted; thus, if an application was filed in Canada on January 2, 1952, the U.S. appli- cation may be filed on January 2, 1953. The Convention specifies in Article 4C (2) that "the day of filing is not counted in this period." (This is the usual method of comput- ing periods, for example the six months for reply to an Office action dated January 2 does not expire on July 1 but the reply may be made on July 2.) If the last day of the twelve months is a Sunday or a holiday within the District of Columbia, the U.S. application is in time if filed on the next succeeding business day; thus, if the foreign application was filed on September 6, 1952, the U.S. application is in time if filed on September 8, 1953, since September 6, 1953 was a Sunday and Septem- ber 7, 1953 was a holiday. After January 1, 1953, the Patent Office has not received appli- cations on Saturdays and, in view of 35 U.S.C. 21, and the Convention which provides "if the last day of the period is a legal holiday, or a day on which the Patent Office is not open to receive applications in the country where pro- ( ( ( ( <!-- PageBreak --> <!-- PageHeader="201.14" --> <!-- PageHeader="TYPES, CROSS-NOTING, AND STATUS OF APPLICATION" --> tection is claimed, the period shall be extended until the next working day" (Article 4C3), if the twelve months expires on Saturday, the U.S. application may be filed on the following Monday. # FIRST FOREIGN APPLICATION The twelve months is from the earliest for- eign filing. If an inventor has filed an appli- cation in France on January 2, 1952, and an application in Great Britain on March 3, 1952, and then files in the United States on Febru- ary 2, 1953, he is not entitled to the right of priority at all; he would not be entitled to the benefit of the date of the French application since this application was filed more than twelve months before the U.S. application, and he would not be entitled to the benefit of the date of the British application since this appli- cation is not the first one filed. If the first foreign application was filed in a country which is not recognized with respect to the right of priority, it is disregarded for this purpose. If an inventor has filed two foreign applica- tions in recognized countries, one outside the year and one within the year, and the later application discloses additional subject matter, a claim in the U.S. application specifically limited to the additional disclosure would be entitled to the date of the second foreign ap- plication since this would be the first foreign application for that subject matter. # EFFECT OF RIGHT OF PRIORITY The right to rely on the foreign filing ex- tends to overcoming the effects of intervening references or uses, but there are certain re- strictions. For example the one year bar of 35 U.S.C. 102(b) dates from the U.S. filing date and not from the foreign filing date; thus if an invention was described in a printed pub- lication, or was in public use in this country, in November 1952, a foreign application filed in January 1953, and a U.S. application filed in December 1953, granting a patent on the U.S. application is barred by the printed pub- lication or public use occurring more than one year prior to its actual filing in the U.S. The right of priority can be based upon an application in a foreign country for a so-called "utility model," called Gebrauchmuster in Ger- many. # 201.14 Right of Priority, Formal Re- quirements Prior to January 1, 1953, the statute con- tained no requirements for obtaining the right of priority. This right existed in favor of any applicant or patentee whenever the conditions specified in the statute obtained, and the ap- plicant was not required to do anything to ob- tain it except when he wished to assert the earlier date to overcome a reference or estab- lish a date in interference. Patents granted prior to January 1, 1953 are still subject to the old law in this respect. Under the new statute, however, an applicant who wishes to secure the right of priority must comply with certain formal requirements within a time specified. If these requirements are not complied with the right of priority is lost and cannot there- after be asserted. The second paragraph of 35 U.S.C. 119 reads: No application for patent shall be entitled to this right of priority unless a claim therefor and a certi- fied copy of the original foreign application, specifi- cation and drawings upon which it is based are filed in the Patent Office before the patent is granted, or at such time during the pendency of the application as required by the Commissioner not earlier than six months after the filing of the application in this country. Such certification shall be made by the pat- ent office of the foreign country in which filed and show the date of the application and of the filing of the specification and other papers. The Commissioner may require a translation of the papers filed if not in the English language and such other information as he deems necessary. The requirements of the statute are (a) that the applicant must file a claim for the right and (b) he must also file a certified copy of the original foreign application; these papers must be filed within a certain time limit. The maxi- mum time limit specified in the statute is that the papers must be filed before the patent is granted, but the statute gives the Commis- sioner authority to set this time limit at an earlier time during the pendency of the appli- cation. If the required papers are not filed within the time limit set the right of priority is lost. Delay in making the claim and filing the papers was held not to be a basis for a reissue. Ex parte Arkless, 1958 C.D. 19; 726 O.G. 635. It should be particularly noted that these papers must be filed in all cases even though they may not be necessary during the pendency of the application to overcome the date of any reference. The statute also gives the Commis- sioner authority to require a translation of the foreign documents if not in the English lan- guage and such other information as he may deem necessary. Before going into the procedure on the filing of the papers, reference must be made to the requirements of the oath. Rule 65, relating to <!-- PageBreak --> <!-- PageHeader="201.14(a)" --> # MANUAL OF PATENT EXAMINING PROCEDURE the oath, requires that the oath shall state whether or not any application for patent on the same invention has been filed in any for- eign country either by the applicant or by his legal representatives or assigns; if any foreign application has been filed the applicant must state the country and the date of filing of the earliest such application and he must also identify every foreign application which was filed more than twelve months before the filing of the application in this country. If all for- eign applications have been filed within twelve months of the U.S. filing the applicant is re- quired to recite only the first such application and it should be clear in the recitation that the foreign application referred to is the first filed foreign application. The requirements for re- citing foreign applications before January 1, 1953, included more information than the pres- ent rule and any oath following the require- ments of the old rule would still be acceptable. (It may be pointed out here that a para- graph, (d), of Rule 65 was canceled on Janu- ary 1, 1953. The statute referred to in this paragraph is still in force with respect to barring the patenting of certain inventions made by Germans or Japanese but the former requirement in the oath was omitted because of the fact that the critical date of January 1, 1946, is now so old that the recitation in the oath is no longer insisted upon unless the ap- plicant is claiming priority under P.L. 619.) The requirements for recitation of foreign applications in the oath, while serving other purposes as well, are used in connection with the right of priority. ## 201.14(a) Right of Priority, Time for Filing Papers The time for filing the papers required by the statute is specified in the second paragraph of Rule 55. An applicant may claim the benefit of the filing date of a prior foreign application under the condi- tions specified in 35 U.S.C. 119. The claim to priority need be in no special form and may be made by the attorney or agent if the foreign application is re- ferred to in the oath as required by rule 65. The claim for priority and the certified copy of the for- eign application specified in the second paragraph of 35 U.S.C. 119 must be filed in the case of interference when specified in rules 216 and 224; when necessary to overcome the date of a reference relied upon by the examiner ; or when specifically required by the exam- iner. and in all other cases they must be filed not later than the date the final fee is paid. If the pa- pers filed are not in the English language, a transla- tion need not be filed except in the three particular instances specified in the preceding sentence, in which event a sworn translation or a translation certified as accurate by a sworn or official translator must be filed. It should first be noted that the Commis- sioner has by rule specified an earlier ultimate date than the date of the patent. The latest time at which the papers may be filed is the date of the payment of the final fee, except that, under certain circumstances, they are re- quired at an earlier date. These circumstances are specified in the rule as (1) in the case of interferences in which event the papers must be filed within the time specified in the inter- ference rules, (2) when necessary to overcome the date of a reference relied upon the ex- aminer, and (3) when specifically required by the examiner. Although Rule 55 permits the filing of pri- ority papers up to and including the date for payment of the final fee, it is advisable that such papers be filed as soon as a claim is indi- cated to be allowable. Frequently, priority papers are found to be deficient in material respects, such as, for example, the failure to include the correct certified copy, and there is not sufficient time to remedy the defect. Occa- sionally, a new oath may be necessary where the original oath omits the reference to the foreign filing date for which the benefit is claimed. The early filing of priority papers would thus be advantageous to applicants in that it would afford time to explain any in- consistencies that exist or to supply any addi- tional documents that may be necessary. ## 201.14(b) Rights of Priority, Papers Required The main purpose in amending the statute to require the filing of the papers mentioned was to make the record of the file of the United States patent complete. The Patent Office does not examine the papers to deter- mine whether the applicant is in fact entitled to the right of priority and does not grant or refuse the right of priority, except as described in the next section (and also in cases of inter- ferences). The papers required are the claim for pri- ority and the certified copy of the foreign application. The claim to priority need be in no special form, and may be made by the at- torney or agent at the time of transmitting the certified copy if the foreign application is the one referred to in the oath of the U.S. appli- cation. No special language is required in making the claim for priority and any expres- sion which can be reasonably interpreted as ! : A <!-- PageBreak --> <!-- PageHeader="201.14(c)" --> <!-- PageHeader="TYPES, CROSS-NOTING, AND STATUS OF APPLICATION" --> claiming the benefit of the foreign application is accepted as the claim for priority. The claim for priority may appear in the oath with the recitation of the foreign application. The certified copy which must be filed is a copy of the original foreign application with a certification by the patent office of the foreign country in which it was filed. Certified copies ordinarily consist of a copy of the specification and drawings of the application as filed with a certificate of the foreign patent office giving certain information. Application in this con- nection is not considered to include formal papers such as a petition. A copy of the for- eign patent as issued does not comply since the application as filed is required; however, a copy of the printed specification and drawing of the foreign patent is sufficient if the certifi- cation indicates that it corresponds to the ap- plication as filed. When the claim to priority and the certified copy of the foreign application are received while the application is pending before the Ex- aminer, the Examiner should make no exam- ination of the papers except to see that they correspond in date and country to the appli- cation identified in the oath and contain no obvious formal defects. The subject matter of the application is not examined to determine whether the applicant is actually entitled to the benefit of the foreign filing date on the basis of the disclosure thereof. # DURING INTERFERENCE If priority papers are filed in an interfer- ence, it is not necessary to file an additional certified copy in the application file. The in- terference examiner will place them in the ap- plication file. # CONTINUING APPLICATIONS Where the benefit of a foreign filing date is claimed in a continuing application and a cer- tified copy has been received in the parent case, it is not necessary to file an additional certified copy in the later case. The applicant when making the claim for priority may simply call attention to the fact that the certified copy is in the parent application. # 201.14(c) Right of Priority, Practice Before going into the practice with respect to those instances in which the priority papers are used to overcome a reference, there will first be described the practice when there is no occasion to use the papers, which will be in the majority of cases. In what follows in this section it is assumed that no reference has been cited which requires the priority date to be overcome. # No IRREGULARITIES When the papers under Section 119 are re- ceived they are to be endorsed on the contents page of the file as "Letter (or amendment) and foreign application". Assuming that the pa- pers are regular in form and that there are no irregularities in dates, the Examiner in the next Office action will advise the applicant that the papers have been received. The form of acknowledgment may be as follows: A. "Receipt is acknowledged of papers sub- mitted under 35 U.S.C. 119, which papers have been placed of record in the file." The Examiner will write the country and filing date of the earliest foreign application for which priority is claimed on the face of the file wrapper in the box entitled "Claims For- eign Priority". On old file wrappers (PO- 136), the Examiner will write the notation "Foreign application received" in red ink on the face of the file wrapper at the bottom and the country and date of foreign filing. If application is in interference when papers under Section 119 are received see 1111.10. # PAPERS INCONSISTENT If the certified copy filed does not corre- spond to the application identified in the ap- plication oath, or if the application oath does not refer to the particular foreign application, the applicant has not complied with the re- quirements of the rule relating to the oath. In such instances the examiner's letter, after acknowledging receipt of the papers, should require the applicant to explain the incon- sistency and to file a new oath stating correctly the facts concerning foreign applications re- quired by Rule 65. A letter in such cases may read : B. "Receipt is acknowledged of the papers filed September 18, 1953, claiming priority un- der 35 U.S.C. 119 based on an application filed in Italy on February 17, 1950. "The applicant has not complied with the requirements of the rule relating to the oath since the original application oath does not acknowledge the filing of any foreign appli- cations. The oath states that 'no application for patent on this invention or discovery has been filed by us or our representatives or as- signs in any country foreign to the United States.' If the Italian application is what it purports to be in support of the claim for priority, then the original oath contains an erroneous statement. <!-- PageBreak --> # 201.14(c) <!-- PageHeader="MANUAL OF PATENT EXAMINING PROCEDURE" --> "Applicant is required to explain this incon- sistency and to file a new oath stating correctly the facts required by the rule regarding for- eign filing." Other situations requiring some action by the examiner are exemplified by the following sample letters. # No CLAIM FOR PRIORITY C. "Receipt is acknowledged of a certified copy, filed September 18, 1953, of the Italian application referred to in the oath. If this copy is being filed to obtain the benefits of the foreign filing date under 35 U.S.C. 119, appli- cant should also file a claim for priority as required by said section." NOTE: Where the accompanying letter states that the certified copy is filed for priority pur- poses or for the convention date, it is accepted as a claim for priority. ## FOREIGN APPLICATIONS ALL MORE THAN A YEAR BEFORE U.S. FILING D. "Receipt is acknowledged of the filing on September 18, 1953, of a certified copy of the French application referred to in the oath. "It is not seen how a claim for priority can be based on the application filed in France on March 4, 1948, since the United States applica- tion was filed more than one year thereafter. "The certified copy is herewith returned." # SOME FOREIGN APPLICATIONS MORE THAN A YEAR BEFORE U.S. FILING For example, British provisional specifica- tion filed more than a year before U.S. appli- cation, but British complete filed within the year, and certified copies of both submitted. E. "Receipt is acknowledged of papers filed on September 18, 1953, purporting to comply with the requirements of 35 U.S.C. 119. It is not seen how the claim for priority can be based on the British specification filed January 23, 1948, because the instant application was filed more than one year thereafter. However, the printed heading of the patent will note the claimed priority date based on the complete specification; i.e., November 1, 1948, for such subject matter as was not disclosed in the pro- visional specification." # CERTIFIED COPY NOT THE FIRST FILED FOREIGN APPLICATION F. "Receipt is acknowledged of papers filed on (date) purporting to comply with the requirements of 35 U.S.C. 119 and they have been placed of record in the file. Attention is directed to the fact that the date for which priority is claimed is not the date of the first filed foreign application acknowl- edged in the oath. However, the priority date claimed which will appear in the printed head- ing of the patent will be " (date claimed) ## NO CERTIFIED COPY G. "Receipt is acknowledged of the paper filed March 9, 1953, claiming priority based on an application filed in France on November 16, 1948. It is noted, however, that applicant has not filed a certified copy of the French appli- cation as required by 35 U.S.C. 119." The above letters are merely typical ones which have been used, and any unusual situa- tion may be referred to the Supervisory Ex- aminer. ## APPLICATION IN ISSUE The priority papers may be received while the application is in issue. When the papers are apparently regular in form and correspond to the earliest foreign application recited in the oath and this application is not too old, the Issue Branch will enter the papers, acknowl- edge their receipt, and make the notation on the face of the file. In other cases the allowed application, together with the papers, will be forwarded to the examining division for con- sideration and taking any appropriate action. If foreign application papers are received after the final fee has been paid, they will be left in the file and the applicant notified by the Issue Branch that the papers were re- ceived too late to be admitted. ## RETURN OF PAPERS It is sometimes necessary for the Examiner to return papers filed under 35 U.S.C. 119 either upon request of the applicant or because they fail to meet a basic requirement of the statute, e.g., all foreign applications were filed more than a year prior to the U.S. filing date. Where the papers have not been entered in the file, it is not necessary to secure approval of the Commissioner for their return but they should be sent to the Office of the Director, Patent Examining Operation for cancellation of the Office stamps. Where the papers have been entered in the file, a request for permission to return the papers should be addressed to the Commissioner of Patents and forwarded to the Director, Patent Examining Operation for approval. ( ( <!-- PageBreak --> 201.15 <!-- PageHeader="TYPES, CROSS-NOTING, AND STATUS OF APPLICATION" --> # 201.15 Right of Priority, Overcoming a Reference The only time during ex parte prosecution that the Examiner considers the merits of an applicant's claim of priority is when a refer- ence is found with an effective date between the date of the foreign filing and the date of filing in the United States. If at the time of making an action the Examiner has found such a reference, he simply rejects whatever claims may be considered unpatentable thereover, without paying any attention to the priority date (assuming the papers have not yet been filed). The applicant in his response may argue the rejection if it is of such a nature that it can be argued, or he may present the foreign papers for the purpose of overcoming the date of the reference. If the applicant argues the reference, the Examiner, in his next action in the case, may, if he so desires, spe- cifically require the foreign papers to be filed in addition to repeating the rejection if it is still considered applicable, or he may merely continue the rejection. In those cases where the applicant files the foreign papers for the purpose of overcoming the effective date of a reference a translation is required, if the for- eign papers are not in the English language. When the Examiner requires the filing of the papers the translation should also be required at the same time. This translation must be a sworn translation or a translation certified as accurate by a sworn or official translator. When the necessary papers are filed to over- come the date of the reference, the examiner's action, if he determines that the applicant is not entitled to the priority date, is to repeat the rejection on the reference, stating the rea- sons why the applicant is not considered en- titled to the date. If it is determined that he is entitled to the date, the rejection is with- drawn in view of the priority date. If the priority papers are already in the file when the examiner finds a reference with the intervening effective date, the examiner will study the papers, if they are in the English language, to determine if the applicant is en- titled to their date. If the applicant is found to be entitled to the date, the reference is simply not used. If the applicant is found not entitled to the date, the unpatentable claims are rejected on the reference with an explana- tion. If the papers are not in the English language and there is no translation, the ex- aminer may reject the unpatentable claims and at the same time require an English translation for the purpose of determining the applicant's right to rely on the foreign filing date. If the named applicant in the foreign appli- cation differs from the applicant in the U.S. application, the examiner should refuse to recognize the priority date until the matter is taken care of, unless the priority papers show that the inventor in the foreign applica- tion is the same as the inventor in the U.S. application. If the oath states the foreign serial number and this corresponds with the certified copy submitted, it may be assumed that the same applicant is involved. The most important aspect of the examiner's action pertaining to a right of priority is the determination of the identity of invention be- tween the U.S. and the foreign application. The foreign application may be considered in the same manner as if it had been filed in this country on the same date that it was filed in the foreign country, and the applicant is ordi- narily entitled to any claims based on such foreign application that he would be entitled to under our laws and practice. The foreign application must be examined for the question of sufficiency of the disclosure under 35 U.S.C. 112, as well as to determine if there is a basis for the claims sought. In applications filed from Great Britain there may be submitted a certified copy of the British "provisional specification," which may also in some cases be accompanied by a copy of the "complete specification." The nature and function of the British provisional specifica- tion is described in an article in the Journal of the Patent Office Society for November 1936, pages 770-774. According to British law the provisional specification need not contain a complete disclosure of the invention in the sense of 35 U.S.C. 112, but need only describe the general nature of the invention, and neither claims nor drawings are required. Consequently, in considering such provisional specifications, the question of completeness of disclosure is important. If it is found that the British provisional specification is insufficient for lack of disclosure, reliance may then be had on the complete specification and its date, if one has been presented, the complete specifica- tion then being treated as a different appli- cation. In some instances the specification and draw- ing of the foreign application may have been filed at a date subsequent to the filing of the petition in the foreign country. Even though the petition is called the application and the filing date of this petition is the filing date of the application in a particular country, the date accorded here is the date on which the specification and drawing were filed. It may occasionally happen that the U.S. application will be found entitled to the filing <!-- PageBreak --> <!-- PageHeader="201.16" --> <!-- PageHeader="MANUAL OF PATENT EXAMINING PROCEDURE" --> date of the foreign application with respect to some claims and not with respect to others. Occasionally an applicant may rely on two dif- ferent foreign applications and may be entitled to the filing date of one of them with respect to certain claims and to the other with respect to other claims. # 201.16 Extension of Period of Prior- ity, Public Law 690 The twelve months period of priority is fixed by statute and the Patent Office has no power to extend it in any manner. On August 8, 1946, Congress passed an act, Public Law 690 (sometimes referred to as the Boykin Act), providing for extensions of the period to take care of delays during the war. Public Law 220, July 23, 1947, Public Law 380, August 6, 1947, and Public Law 619, November 16, 1954, supplement the original enactment. These laws are reprinted in the back of the Patent Law pamphlet. The practice concerning Public Law 619 cases is outlined in the Notice of Sept. 20, 1954, reprinted in 36, Journal of the Patent Office Society at 752. These cases are subject to the practice set forth in 201.16(a) to 201.16(u) of the first edition of the Manual, which sec- tions are omitted from the present edition be- cause they will soon be obsolete. ## PARTICULAR COUNTRIES The Notice of December 17, 1952, stated: "In connection with Boykin Act cases, ex- aminers are reminded that if an applicant claims the benefit of the filing of an applica- tion in a country not given in the list of coun- tries in Section 201.16(b) of the first edition of the Manual, the application must be called to the attention of the Supervisor who will in- stitute an inquiry concerning that particular country. Since the publication of the Manual, Greece has been added to the list of countries. The final date in the case of Brazil may be ex- tended and any application asserting the bene- fit of the filing of an application in Brazil later than the date given in the Manual should be called to the attention of the Supervisory Examiner." If an application having a request under Public Law 619 or 690 is to be put in interfer- ence see secs. 1102.01 (a) and 1111.10. # 201.17 Government Cases The term "Act of 1883 application" was used in referring to applications of govern- ment employees filed without fee under an act dated March 3, 1883, which was amended April 30, 1928. This act is now 35 U.S.C. 266. Such applications are not always owned by the government. Other applications, not inven- tions of government employees, may be as- signed to and owned by the government. See 607.01. # 202 Cross-Noting ## 202.01 In Specification See Rule 78(a) and Section 201,11. There is seldom a reason for one application to refer to the application of another applicant not assigned to a common assignee. Such reference ordinarily should not be permitted. 202.02 Notation as to Parent Applica- tion on Jacket and in File of a Divisional, Continuation, Con- tinuation-in-Part, or Substitute Application The identifying data of a parent or prior application, when given in the specification must be inserted by the Examiner on the file jacket in the case of a DIVISION, a CON- TINUATION and, whether given in the speci- fication or not, in the case of a SUBSTITUTE Application. This is to be filled in no later than the first action. If the prior application has issued as a patent, the patent number and date should also be supplied. If the applica- tion at hand is a division of a division, the data of all cases involved should be given. In the case of a continuation-in-part, when the identifying data of the parent case is given in the specification, the serial number and filing date must be inserted by the Examiner in the box provided on the face of the file wrapper. When an application is a continuation-in-part of two or more distinct applications, each ap- plication shall be noted on the face of the file. When an application is a continuation-in-part of a continuation-in-part, only the immediate parent application will be noted on the face of the file. "On old file wrappers (PO-136), only the letters C-P are stamped therein. These notations indicate to the Docket Clerk when an application is a DIVISION, CON- TINUATION, CONTINUATION-IN-PART, or a SUBSTITUTE. These four types of ap- plications must be sent to the Assignment Branch for a title search when in condition for allowance even though there is an earlier title search in the file. (Order No. 1832, Revised and Order No. 3411, Revised.) <!-- PageBreak --> <!-- PageHeader="203.07" --> <!-- PageHeader="TYPES, CROSS-NOTING, AND STATUS OF APPLICATION" --> See 306 for work done by the Assignment Branch pertaining to these particular types of applications. In those cases where the benefit of the filing date of the parent application is not claimed, no notation as to the parent case is made on the face of the file wrapper; however, if the later application is in fact otherwise a divi- sion, continuation or continuation-in-part, the Examiner should nevertheless refer the appli- cation at the time of allowance to the Assign- ment Branch for title search. # 202.03 On File Wrapper When Prior- ity Is Claimed for Foreign Ap- plication When satisfactory papers have been filed un- der 35 U.S.C. 119, the Examiner will write the country and filing date of the earliest foreign application for which priority is claimed on the face of the file wrapper just under "Claims Foreign Priority." On old file wrappers (PO- 136), the Examiner will write "Foreign appli- cation received" in red ink on the face thereof at the bottom and the country and date of foreign filing. See 201.14. The heading of the printed patent will read, "Claims priority application (country) (date)". In cases where there is some discrep- ancy or ambiguity, the notation may be omit- ted from the heading of the patent. If the dates of several foreign filed applica- tions are claimed for different subject matter (see 201.15, last paragraph) the date of only the earliest such application is noted in the heading. ## 202.04 In Oath As will be noted by reference to 201.14, Rule 65 requires that the oath include certain in- formation concerning applications filed in any foreign country. If no applications for patent have been filed in any foreign country, the oath should so state. ## 202.05 In Case of Reissues Rule 179 requires that a notice be placed in the file of an original patent for which an ap- plication for reissue has been filed. For the form employed for this notice see Clerk's Manual. ## 203 Status of Applications ### 203.01 New A "new" application is one that has not yet received an action by the Examiner. An amendment filed prior to the first Office Action does not alter the status of a "new" applica- tion. ## 203.02 Rejected An application which, during its prosecution in the examining division and before allow- ance, contains an unanswered Examiner's action is designated as a "rejected" application. Its status as a "rejected" application continues as such until acted upon by the applicant in response to the Examiner's action (within the allotted response period), or until it becomes abandoned. ## 203.03 Amended An "amended" or "old" application is one that, having been acted on by the Examiner, has in turn been acted on by the applicant in response to the Examiner's action. The appli- cant's response may be confined to a traverse of the action taken by the Examiner or may in- clude an amendment of the application. ### 203.04 Allowed or in Issue An "allowed" application or an application "in issue" is one which, having been examined, is passed for issue as a patent subject to pay- ment of the final fee. Its status as an "al- lowed" case continues from the date of allow- ance until it is withdrawn from issue or until it issues as a patent or becomes forfeited. The files of allowed cases are kept in the Issue and Gazette Branch, arranged numeri- cally by serial number. ### 203.05 Abandoned An abandoned application is, inter alia, one which is removed from the Office docket of pending cases through formal abandonment by the applicant (acquiesced in by the assignee if there is one) or through failure of applicant to take appropriate action at some stage in the prosecution of the case. (711 to 711.02(b)) ### 203.06 Incomplete An application lacking some of the essential parts and not accepted for filing is termed an incomplete application. (506 and 506.1) ### 203.07 Forfeited An allowed application, in which the final fee is not paid within the 6 months after the Notice of Allowance, is a forfeited application. After an additional period of 1 year has elapsed, it becomes abandoned. It may, however, be- <!-- PageBreak --> <!-- PageHeader="MANUAL OF PATENT EXAMINING PROCEDURE" --> come abandoned earlier either by express aban- donment or by transfer of the drawings to another application. See Rule 316 in 712. # 203.08 Examiners To Answer "Status Letters" Inquiries as to the status of applications, by persons entitled to the information, should be answered promptly. Simple letters of inquiry regarding the status of applications will be transmitted from the Correspondence and Mail Branch, to the examining divisions for direct action. Such letters will be stamped "Status Letters." If the correspondent is not entitled to the information, in view of Rule 14, he should be so informed. If the inquiry is directed to an application awaiting action by the Office, a prediction should be made of the probable date of reach- ing the case for action. The examiner's reply should be typed on the letter of inquiry when- ever possible, and signed by the Primary Ex- aminer. The original letter of inquiry should be returned to the correspondent together with the reply. Such reply does not count as an action in the case. This prediction of a date is not to be considered as binding upon the examiner in making his next action. In cases of allowed application, a memoran- dum should be pinned to the inquiry with a statement of date of notice of allowance, and transmitted to the Issue Branch for its appro- priate action. This Branch will notify the in- quirer of the date of the notice of allowance and the status of the application with respect to payment of the final fee and forfeiture. In those instances where the letter of inquiry goes beyond mere matters of inquiry, it should not be marked as a "status letter", or returned to the correspondent. Such letters must be entered in the application file as a permanent part of the record. The inquiry should be an- swered by the examiner, however, and in a manner consistent with the provisions of Rule 14. (Basis: Notices of June 22, 1921, and May 6, 1948.) Inquiries from Members of Congress con- cerning the status of pending applications should not be answered by the examiner but should be referred promptly to the Commis- sioner's Office for answer with a report as to when a particular case will be reached for further action on the part of the office. (Basis: Notice of September 24, 1956.) ( ā
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