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OCR transcription for search; preserved printed pages are authoritative

# SUBJECT INDEX

emin to xabnl

BASIS FOR PRACTICE IN STATUTES AND
RULES 802

EFFECT OF IMPROPER JOINDER IN PATENT
805

DEFINITIONS

Restriction : 802.02

Independent and Distinct 802.01

Linking Claims 809.03 (a)

Generic Claims 806.04(d)

Double Patenting 804

TIME FOR MAKING REQUIREMENT 811

Even After Compliance With Preceding Require-
ment 811.02

Repeating After Withdrawal-Proper 811.03

Proper Even Though Grouped Together in Parent

Case 811.04

ACTION ON NOVELTY 810

Not Objectionable When Coupled With Requirement
810.01

Usually Deferred 810.02

Given On Elected Invention When Requirement Is
Made Final 810.03

WHO SHOULD MAKE THE REQUIREMENT 812
Review By Primary Examiner 803.01

RESTRICTION-WHEN PROPER 803

Reasons For Insisting Upon Restriction 808

Independent Inventions 808.01

Distinct Inventions
808.02

DETERMINATION OF INDEPENDENCE OR DIS-
TINCTNESS 806

Compare Claimed Subject Matter 806.01

Patentability Not Considered 806.02

Single Embodiment, Claims Defining Same Essential
Features 808.03

Independent Inventions 806.04

Related Invention 806.05

Criteria of Distinctness 806.05(c)

GIVE REASONS FOR HOLDING OF INDEPEND-
ENCE OR DISTINCTNESS 816

Citation of Art 813

Indicate Exactly How Application Is To Be Re-
stricted 814

Make Requirement Complete 815
INDEPENDENT INVENTIONS

Species-Genus 806.04 (a)

Species 808.01 (a)

Species May Be Related Inventions 806.04(b)

Claims Restricted To Species 806.04(e)

By Mutually Exclusive Characteristics 806 .-
04 (f)

Species In Separate Applications Must Be Distinct
From Each Other and From Genus 806.04 (h)

No Species Claims 809.02(d)

Generic Claims Linking Species 809.02

Generic Claims Rejected 809.02(a)

Generic Claims Allowed 809.02(b)

Generic Claims Rejected When Presented for First
Time After Issue of Speciex 806.04(1)

Generic Claims in One Patent Only 806.04(j)

## DISTINCT INVENTIONS

Combination or Aggregation and Subcombination

808.05 (a)

Old Combination-Novel, Subcombination 806 .-
05(b)
Subcombinations Usable Together 806.05 (d)

Process and Apparatus for Its Practice 806.05(e)

Process and Product Made 808.05(g)

Claims Linking District Inventions 800

Outline of Restriction Requirement 817

TELEPHONE PRACTICE 812.01

NOT AN ELECTION 820

Generic Claims Only 818.02 (b)

Old Combination claimed 820.01

Interference Issues 820.02

ELECTION AND RESPONSE 818
Election Fixed by Action On Claims 818.01
Election Other Than Express 818.02

By Originally Presented Claims 818.02(a)

By Optional Cancelation of Claims 818.02(c)

Express Election and Traverse 818.03

Response Must Be Complete 818.05 (a)

Must Elect, Even When Requirement is Tra-
versed 818.03 (b)

Must Traverse to Preserve Right of Petition
818.03(c)

Traverse of Rejection of Linking Claims
818.03 (d)

Applicant Must Make His Own Election
818.03 (e)

ACTION FOLLOWING ELECTION 800.02(c)

Generic Claims Allowable In Substance 809.02(e)

Retention of Claims To Non-Elected Invention
800.04

Office Generally Does Not Permit Shift 819

Office May Waive Election and Permit Shift
819.01

TREATMENT OF CLAIMS HELD TO BE DRAWN
TO NON-ELECTED INVENTION 821

After Election With Traverse 821.01

After Election Without Traverse 821.02

Claims for Different Invention Added After Office
Action 821.03

CLAIMS TO INVENTIONS THAT ARE NOT DIS-
TINCT IN PLURAL CASES OF SAME INVEN-
TOR 822

Copending Before Examiner 822.01

Double Patenting Rejection

Nullification of Double Patenting Rejection
804.01

Terminal Disclaimer Avoiding Double Patenting
Rejection 804.02

Terminal Disclaimer Not Applicable 804.03

Submission To Group Manager 804.04

PATENTABILITY REPORT PRACTICE HAS NO
EFFECT ON RESTRICTION PRACTICE 807

# Chapter 800 Restriction; Double Patenting NUMERICAL INDEX

## 801 Introduction

802
Basis for Practice In Statutes and Rules

802.01
Meanings of "Independent", "Distinct"

802.02
Definition of Restriction

803
Restriction-When Proper

803.01
Review by Primary Examiner

804
Definition of Double Patenting

804.01
Nullification of Double Patenting Rejection

804.02
Terminal Disclaimer Avoiding Double Patent-
ing Rejection

804.03
Terminal Disclaimer Not Applicable-Com-
monly Owned Cases of Different Inventive
Entities

804.04
Submission to Group Manager

805
Effect of Improper Joinder in Patent

806
Determination of Distinctness or Independence
of Claimed Inventions

806.01
Compare Claimed Subject Matter

806.02
Patentability Not Considered

906.03
Single Embodiment, Claims Defining Same
Essential Features

808.04
Independent Embodiments

806.04 (a)
Species-Genus

806.04 (b)

806.04(c)

Species May Be Related Inventions
Subcombination Not Generic to Combina-
tion

806.04 (đ)

Definition of a Generic Claim

806.04 (e)
Claims Restricted to Species

808.04 (f)
By Mutually Exclusive Characteristics

806.04(h)
Species in Separate Application Must Be
Distinct From Each Other and From
Genus

806.04 (1)

Generic Claims Rejected When Presented
for First Time After Issue of Species

806.04 (j)
Generic Claims in One Patent Only

806.05
Related Embodiments

906.05 (a)

Combination or Aggregation and Subcom-
bination

806.05 (b)
Oid Combination-Novel Subcombination
808.05(c)
Criteria of Distinctness

806.05 (đ)
Subcombinations Usable Together

806.05 (e)
Process and Apparatus for Its Practice

806.05(f)
Process and Product Made

806.05(g)
Apparatus and Product Made

807
Patentability Report Practice Has no Effect on
Restriction Practice

808
Reasons for Insisting Upon Restriction

808.01
Independent Invention

808.01 (a)
Species

808.02
Related Inventions

809
('infmx Linking Distinct Inventions

800.01
Practice First Stated

800.02
Generic Claim Linking Species

809.02 (a)
Generic claim Not Allowable

809.02(b)
Generle claim allowed

809.02 (c)
Action Following Election

809.02(d)
No species claims

809.02 (e)
Generic claim Allowable in Substance

809.03
Linking Claims

809.04
Retention of Claims to Non-Elected Invention

810
Action on Novelty

810.01
Not Objectionable When Coupled with Re-
quirement

810.02
Usually Deferred

810.03
Given on Elected Invention when Requirement
is Made Final

811
Time for making Requirement

811.02
Even After Compliance with Preceding Re-
quirement

811.03
Repeating After Withdrawal-Proper

811.04
Proper Even Though Grouped Together in
Parent Case

812
Who should Make the Requirement

812.01
Telephone Practice in Restriction

813
Citation of Art

814
Indicate Exactly How Application Is To Be
Restricted

815
Make Requirement Complete

816
Give Reasons for Holding of Independence or
Distinctness

817
Outline of Letter for Restriction Requirement

818
Election and Response

818.01
Election Fixed by Action on Claims

818.02
Election Other Than Express

818.02 (a)
By Originally Presented Claims

818.02 (b)
Generic claims only-No Election of Spe-

cies

818.02(c)
By Optional Cancelation of claims

818.03
Express Election and Traverse

818.03 (a)
Response Must Be Complete

818.03 (b)
Must Elect, Even When Requirement is
Traversed

818.03(c)
Must Traverse to Preserve Right of Peti-
tion

818.03(d)
Traverse of Rejection of Linking Claims

818.03 (e)
Applicant must make his own Election

819
Office Generally does not Permit Shift

819.01
Office May Waive Election and Permit Shift

820
Not an Election ; Permissible Shift

820.01
Old Combination Claimed-Not an Election

820.02
Interference Issues-Not an Election

821
Treatment of Claims Held to be Drawn to Non-
elected Inventions

821.01
After Election With Traverse
821.02
After Election Without Traverse

801

821.03 Claims for Different Invention Added After
an Office Action

822
Claims to Inventions That are Not Distinct in
Plural Applications of Sarse Investor

822.01 Copending Before Examine

## 801 Introduction

The subject of restriction and double patent-
ing are herein treated under U.S.C. Title 35,
which became effective January 1, 1953, and
the revised Rules of Practice that became effec-
tive January 1, 1953.

## 802 Basis for Practice in Statutes and Rules

The basis for restriction and double patent-
ing practice is found in the following statute
and rules :

35 U.S.C. 121. Divisional applications. If two or
more independent and distinct inventions are claimed
in one application, the Commissioner may require the
application to be restricted to one of the inventions.
If the other invention is made the subject of a divi-
sional application which complies with the require-
ments of section 120 of this title it shall be entitled to
the benefit of the filing date of the original application.
A patent issuing on an application with respect to which
a requirement for restriction under this section has
been made, or on an application filed as a result of
such a requirement, shall not be used as a reference
either in the Patent Office or in the courts against a
divisional application or against the original applica-
tion or any patent issued on either of them, if the
divisional application is filed before the issuance of
the patent on the other application. If a divisional
application is directed solely to subject matter de-
scribed and claimed in the original application as filed,
the Commissioner may dispense with signing and exe-
cution by the inventor. The validity of a patent shall
not be questioned for failure of the Commissioner to
require the application to be restricted to one invention.

Rules 141 through 146, which will be quoted
under pertinent topics, outline Office practice
on questions of restriction.

## 802.01 Meaning of "Independent", "Distinct"

35 U.S.C. 121 quoted in the preceding section
states that the Commissioner may require re-
striction if two or more "independent and dis-

tinct" inventions are claimed in one applica-
tion. In Rule 141 the statement is made that
two or more "independent and distinct inven-
ticos" may not be claimed in one application.

This raises the question of the subjects as be-
tween which the Commissioner may require
restriction. " This in turn depends on the con-
struction of the expression "independent and
distinct" inventions.

"Independent," of course, means not depend-
ent. If "distinct" means the same thing, then
its use in the statute and in the rule is re-
dundant. If "distinct" means something dif-
ferent, then the question arises as to what the
difference in meaning between these two words
may be. The hearings before the committees
of Congress considering the codification of the
patent laws indicate that Section 121: "enacts
as law existing practice with respect to divi-
sion, at the same time introducing a number
of changes."

The report on the hearings does not mention
as a change that is introduced, the subjects be-
tween which the Commissioner may properly
require division.

The term "independent" as already pointed
out, means not dependent. A large number of
subjects between which, in the past, division
has been proper, are dependent subjects, such,
for example, as combination and a subcombina-
tion thereof; as process and apparatus used in
the practice of the process; as composition and
the process in which the composition is used;
as process and the product made by such proc-
ess, etc. If Section 121 were intended to direct
the Commissioner never to approve division
between dependent inventions, the word "inde-
pendent" would clearly have been used alone
If the Commissioner has authority or discre
tion to divide independent inventions only
then division would be improper as between
dependent inventions, e.g., such as the ones
used for purpose of illustration above. Such
was clearly, however, not the intent of Con-
gress. Nothing in the language of the statute
and nothing in the hearings of the committees
indicate any intent to change the substantive
law on this subject. On the contrary, joinder
of the term "distinct" with the term "in-
pendent", indicates lack of such intent. The
law has long been established that dependent
inventions (frequently termed related inven-
tions) such as used for illustration above may

804.01

be properly divided if they are, in fact "dis-
tinct" inventions, even though dependent.

While in ordinary parlance, two inventions
that are "independent" (i.e., not dependent)
might also be considered as accurately termed
"distinct", the converse is not true. Inventions
that may be "distinct" may be dependent, and
thus the term "independent" could not accu-
rately be used in referring to the same. For
the purpose of this Manual, these terms are
used as defined below.

The term "independent" (i.e., not depend-
ent) means that there is no disclosed relation-
ship between the two or more subjects disclosed,
i.e., they are unconnected in design, operation
or effect, e.g., (1) species under a genus which
species are not usable together as disclosed or
(2) process and apparatus incapable of being
used in practicing the process, etc.

The term "distinct" means that two or more
subjects as disclosed are connected in design,
operation, or effect, i.e., they are related, for
example as combination and part (subcombina-
tion) thereof, process and apparatus for its
practice, process and product made, etc.,
but are capable of separate manufacture, use
or sale as claimed, and are patentable over
each other (though they may each be unpatent-
able because of the prior art). It will be noted
that in this definition the term "related" is
used as an alternative for "dependent" in re-
ferring to subjects other than independent
subjects.

It is further noted that the terms "inde-
pendent" and "distinct" are used in decisions
with varying meanings. All decisions should
be read carefully to determine the meaning
intended.

### 802.02 Definition of Restriction

Restriction, a generic term, includes that
practice of requiring an election between dis-
tinet or dependent inventions, e.g., election be-
tween combination and subcombination inven-
tions, and the practice relating to an election
between independent inventions, e.g., an election
of species.

### 803 Restriction-When Proper

Under the statute an application may prop-
erly be required to be restricted to one of two
or more claimed inventions only if they are
independent (806.04-806.04(j)) or distinct
(806.05-806.05(g)).

Where inventions are neither independent
nor distinct one from the other their joinder
in a single application must be permitted.

803.01 Review by Primary Examiner

Requirements for restriction under Title 35
U.S. Code 121 being discretionary with the
Commissioner, it becomes very important that
the practice under this section be carefully
administered. Notwithstanding the fact that
this section apparently protects the applicant
against the dangers that previously might have
resulted from compliance with an improper
requirement for restriction, it still remains im-
portant from the standpoint of the public
interest that no requirements be made which
might result in the issuance of two patents
for the same invention. Therefore to guard
against this possibility, the Primary Exam-
iner must personally review all requirements for
restriction.

## 804 Definition of Double Patenting

The term "double patenting" is properly ap-
plicable only to cases involving two or more
applications and/or patents wherein an inven-
tion claimed in one case is the same as, or not
patentably distinct from, an invention already
claimed. The cases must have the same inven-
tive entity and should not be applied to situa-
tions involving commonly owned cases of
different inventive entities.

Sole and joint inventors cannot constitute a
single entity, nor do two or more sets of joint
inventors constitute a single entity if any indi-
vidual is included in either set who is not also
included in the other.

When a patent is involved, a rejection on the
ground of double patenting may be overcome
by filing a Terminal Disclaimer if the claims
involved do not overlap. When only applica-
tions are involved and the claims do not overlap,
the rejection may be overcome by allowing the
applications to issue on the same date. See
804.02 for the definition of overlap. Also see
706.03 (k), 822 and 822.01.

## 804.01 Nullification of Double Patent- ing Rejection

35 U.S.C. 121, third sentence, provides that
where the Office requires restriction, the patent
of either the parent or any divisional applica-
tion thereof conforming to the requirement can-
not be used as a reference against the other.
This apparent nullification of double patenting
as a ground of rejection or invalidity in such
cases imposes a heavy burden on the Office to
guard against erroneous requirements for re-
striction where the claims define essentially the
same inventions in different language and
which, if acquiesced in, might result in the issu-
ance of several patents for the same invention.

801.02

The apparent nullification of double patent-
ing as e ground of rejection or invalidity raises
many troublesome questions as to meaning and
situations where it applies.

A. SITUATIONS WHERE 35 U.S.C. 121 Doss Nor
APELY

(a) The applicant voluntarily files two or
more cases without requirement by the exam-
iner.

(b) The claims of the different applica-
tions or patents are not consonant with the
requirement made by the Examiner, due to the
fact that the claims have been changed in ma-
terial respects from the claims at the time the
requirement was made.

(c) The requirement was made subject to
the nonallowance of generic or other linking
claims and such linking claims are subse-
quently allowed.

B. SITUATIONS WHERE 35 U.S.C. 121 APPAR-
ENTLY APPLIES

It is considered that the prohibition against
holdings of double patenting applies to re-
quirements for restriction between the related
subjects treated in this Manual, 806.04 through
806.05(g), namely, between combination and
subcombination thereof, between subcombina-
tions disclosed as usable together, between
process and apparatus for its practice, between
process and product made by such process and
between apparatus and product made by such
apparatus, etc., so long as the claims in each
case filed as a result of such requirement are
limited to its separate subject.

## 804.02 Terminal Disclaimer Avoiding Double Patenting Rejection

If two or more cases are filed by a single in-
ventive entity, and if the expiration dates of
the patents, granted or to be granted, are the
same, either because of a common issue date or
by reason of the filing of one or more terminal
disclaimers, two or more patents may properly
be granted, if the claims do not overlap, even
though the subject matter to which the claims
of one case is directed may be obvious in view
of the subject matter claimed in the other case.
In re Robeson, 1964 C.D. 561, 141 U.S.P.Q. 485.
In re Kay, 1964 C.D. 630, 141 U.S.P.Q. 829.

Claims overlap within the meaning of this
statement if it is possible for them to be in-
fringed by the same process, machine. manufac-
ture, or composition of matter; cross reading is
not necessary to constitute such an overlap.

Overlapping claims should not be allowed in
cases filed by the same inventive entity if they

are directed to identical inventive concepts, or
if the concept to which one set of claim is di-
rected would be obvious in view of that to which
the other set is directed. This is true, regard-
less of the relative filing dates of the cases or the
relative scope of the claims.

## 804.03 Terminal Disclaimer Not Ap- plicable - Commonly Owned Cases of Different Inventive Entities

In view of 35 U.S.C. 135, it is necessary to
determine priority of invention whenever two
different inventive entities are claiming a single
inventive concept. This is true regardless of
ownership, and the provision of Rule 201 (c)
that interferences will not be declared or con-
tinued between commonly owned cases unless
good cause is shown therefor.

Accordingly, the assignee of two or more
cases of different inventive entities, containing
conflicting claims must maintain a line of de-
marcation between them. If such a line is not
maintained and one of the cases is in condition
for allowance, claims covering the conflicting
subject matter should be suggested as provided
in Rule 203; care being taken to insure that
such claims cover all the conflicting matter.
The assignee should be called on to state which
entity is the prior inventor of that subject mat-
ter and to limit the claims of the other applica-
tion accordingly. If the assignee does not
comply with this requirement and presents the
interfering claims in both cases, an interfer-
ence should be declared. Attention is directed
to Rule 208 if there is a common attorney. If
suggested claims are not presented within the
time allowed, rejection should be made on the
ground of disclaimer as indicated in Rule
203(b).

If after taking out a patent, a common
assignee presents claims for the first time in a
copending application not patentably distinct
from the claims in the pate ,the claims of the
application should be rejected on the ground
that the assignee, by taking out the patent at
a time when the application was not claiming
the patented invention, is estopped to contend
that the patentee is not the prior inventor.

If a patent is inadvertently issued on one of
two commonly owned applications by different
inventive entities which at the time when the
patent issued were claiming inventions which
are not patentably distinct, the assignee should
be called on to make a determination of priority
as in the case of pending applications. If the
determination indicates that the patent issued

to the senior entity a rejection under 35 U.S.C.
103 should be maintained. If no election is
made and the patent has issued to the junior
entity, an interference should be declared. An
election of the applicant as the first inventor
should not be accepted without a complete (not
terminal) disclaimer of the conflicting claims in
the patent. See 804.03.

## 804.04 Submission to Group Manager

In order to promote uniform practice, every
action containing a rejection on the ground of
double patenting of either a parent or a divi-
sional case (where the divisional case was filed
because of a requirement to restrict, including
a requirement to elect species, made by the
Office) must be submitted to the Group Man-
ager for approval prior to mailing. When the
rejection on the ground of double patenting is
disapproved, it shall not be mailed but other
appropriate action shall be taken. See 1005.

## 805 Effect of Improper Joinder in Patent

35 U.S.C. (1952) 121, last sentence provides :
"The validity of a patent shall not be ques-
tioned for failure of the Commissioner to re-
quire the application to be restricted to one
invention." In other words, under this stat-
ute, no patent can be held void for improper
joinder of inventions claimed therein.

## 806 Determination of Distinctness or Independence of Claimed Inven- tions

The general principles relating to distinct-
ness or independence are elementary, and may
be summarized as follows:

1\. Where inventions are independent (i.e.,
no disclosed relation therebetween), restriction,
to one thereof is ordinarily proper, 806.04-
806.04(j), though up to 5 species may be
claimed when there is an allowed claim generic
thereto, Rule 141, 809.02-809.02(e).

2\. Where inventions are related as disclosed
but are distinct as claimed, restriction may be
proper.

3\. Where inventions are related as disclosed
but are not distinct as claimed, restriction is
never proper. Since, if restriction is required
by the Office double patenting cannot be held.
it is imperative the requirement should never
be made, where related inventions as claimed
are not distinct. For (2) and (3) see 806.05-
806.05(g) and 809.03, 809.03(a).

## 806.01 Compare Claimed Subject Mat- ter

In passing upon questions of double patent-
ing and restriction, it is the claimed subject
matter that is considered and such claimed
subject matter must be compared in order to
determine the question of distinctness or inde-
pendence.

## 806.02 Patentability Not Considered

For the purpose of a decision on the question
of restriction, and for this purpose only, the
claims are ordinarily assumed to be in proper
form and patentable over the prior art.

This assumption, of course, is not continued
after the question of restriction is settled and
the question of patentability of the several
claims in view of prior art is taken up.

## 806.03 Single Embodiment, Claims Defining Same Essential Fea- tures

Where the claims of an application define
the same essential characteristics of a single
disclosed embodiment of an invention, restric-
tion therebetween should never be required.
This is because the claims are but different
definitions of the same disclosed subject mat-
ter, varying in breadth or scope of definition.

Where such claims appear in different appli-
cations optionally filed by the same inventor,
disclosing the same embodiments, only one
application can be allowed.

## 806.04 Independent Inventions

Rule 141. Different inventions in one application.
Two or more independent and distinct inventions may
not be claimed in one application except that more than
one species of an invention, not to exceed five, may be
specifically claimed in different claims in one applica-
tion, provided the application also includes an allow-
able claim generic to all the claimed species and all the
claims to each species in excess of one are written in
dependent form (Rule 75) or otherwise include all the
limitations of the generic claim.

If it can be shown that the two or more
inventions are in fact independent applicant
should be required to restrict the claims pre-
sented to but one only of such independent
inventions. For example :

1\. Two different combinations, not disclosed
as capable of use together, having different
modes of operation, different functions or differ-
ent effects are independent. An article of ap-
parel such as a shoe, and a locomotive bearing
would be an example. A process of painting a

sosoL(d)

house and a process of boring a well would be
& second example.

2\. Where the two embodiments are process
and apparatus, and the apparatus cannot be used
to practice the process or any part thereof, they
are independent. . A specific process of molding
is independent from a molding apparatus which
cannot be used to practice the specific process.

3\. Where species under a genus are independ-
ent. For example, a genus of paper clips having
species differing in the manner in which a sec-
tion of the wire is formed in order to achieve a
greater increase in its holding power.

## SPECIES ARE TREATED EXTENSIVELY IN THE FOLLOWING SECTIONS

### 806.04(a) Species-Genus

The statute lays down the general rule that
restriction may be required to one of two or
more independent inventions. Rule 141 makes
an exception to this, providing that up to five
species may be claimed in one application if
the other conditions of the rule are met.

## 806.04(b) Species May Be Related Inventions

Species, while usually independent may be
related under the particular disclosure. Where
inventions as disclosed and claimed, are both
(a) species under a claimed genus and (b)
related, then the question of joinder must be
determined by both the restriction practice ap-
plicable to election of species and the practice
applicable to cther types of restrictions. If
restriction is improper under either practice it
should not be required.

For example, two different subcombinations
usable with each other may each be a species of
some common generic invention. In ex parte
Healy 1898 C.D. 157; 84 O.G. 1281, a clamp for
a handle bar stem and a specifically different
clamp for a seat post both usable together on
a bicycle were claimed. In his decision, the
commissioner considered both the restriction
practice under election of species and the prac-
tice applicable to restriction between combina-
tion and subcombinations.

As a further example, species of carbon com-
pounds may be related to each other as inter-
mediate and final product. Thus these species
are not independent and in order to sustain a
restriction requirement, distinctness must be
shown. Distinctness is proven if it can be shown
that the intermediate product is useful other
than to make the final product. Otherwise, the
disclosed relationship would preclude their
being issued in separate patents.

## 806.04(c)->Subcombination( Not) Con- eric to Combinations

The situation is frequently presented where
two different combinations are disclosed, hav-
ing a subcombination common to each. It is
frequently puzzling to determine whether a
claim readable on two different combinations
is generic thereto.

This was early recognized in Ex parte Smith
1888 C.D. 131; 44 O.G. 1183, where it was held
that a subcombination was not generic to the
different combinations in which it was used.

To exemplify, a claim that defines only the
subcombination, e.g., the mechanical structure
of a joint, is not a generic or genus claim to
two forms of a combination, e.g., two different
forms of a doughnut cooker each of which
utilize the same form of joint.

## 806.04(d) Definition of a Generic Claim

In an application presenting three species
illustrated, for example, in Figures 1, 2 and 3
respectively, a generic claim should read on
each of these views; but the fact that a claim
does so read is not conclusive that it is generic.
It may define only an element or subcombina-
tion common to the several species.

It is not possible to define a generic claim
with that precision existing in the case of a
geometrical term. In general, a generic claim
should include no material element additional
to those recited in the species claims, and must
comprehend within its confines the organiza-
tion covered in each of the species.

For the purpose of obtaining claims to more
than one species in the same case, the generic
claim cannot include limitations not present in
each of the added species claims. Otherwise
stated, the claims to the species which can be
included in a case in addition to a single spe-
cies must contain all the limitations of the
generic claim.

Once a claim that is determined to be generic
is allowed, the claims restricted to species in
addition to one but not to exceed four addi-
tional species, provided they comply with the
requirements, will ordinarily be obviously al-
lowable in view of the allowance of the generic
claim, since the additional species will depend
thereon or otherwise include all of the limita-
tions thereof.

When all or some of the claims directed to
one of the species in addition to the first do
not include all the limitations of the generic
claim, then that species cannot be claimed in
the same case with the other species, see
809.02(c) (2).

## 806.04 (e) ... Claim el :: Restricted acto anoilani Species dino

Claims are never species. They are defini-
tions of inventions. They may be restricted to
a single disclosed embodiment (i.e. a single
species; and thus be designated a specific spe-
cies claim), or may include two or more of the
disclosed embodiments within the breadth of
scope of definition (and thus be designated
a generic or genus claim).

Species are always the specifically different
embodiments.

They are usually but not always independent
as disclosed (See 806.04(b) ) since there is usu-
ally no disclosure of relationship therebetween.
The fact that a genus for two different embodi-
ments is capable of being conceived and de-
fined, does not affect the independence of the
embodiments, where the case under considera-
tion contains no disclosure of any community
of operation, function or effect.

## 806.04(f) Claims Restricted to Spe- cies, by Mutually Exclusive Characteristics

Claims to be restricted to different species
must be mutually exclusive. The general test
as to when claims are restricted respectively to
different species is the fact that one claim re-
cites limitations which under the disclosure are
found in a first species but not in a second,
while a second claim recites limitations dis-
closed only for the second species and not the
first. This is frequently expressed by saying
that claims to be restricted to different species,
must recite the mutually exclusive characteris-
tics of such species.

## 806.04(h) Species Must Be Patentably Distinct From Each Other and From Genus

Where an applicant files a divisional appli-
cation claiming a species previously claimed
in the parent case, pursuant to and consonant
with a requirement to restrict, there should be
no determination of whether or not the species
claimed in the divisional application is pat-
entable over the species retained in the parent
case.

In an application containing claims directed
to more than five species, the Examiner should
not require restriction to five species unless he
is satisfied that he would be prepared to allow
claims to each of the claimed species over the

pszent case, if presented in a divisional appli-
cation filed according to the requirement. Re.
striction should not be required if the species
claimed are considered clearly unpatentable
over each other.

In making a requirement for restriction in
an application claiming plural species, the Ex-
aminer should group together species consid-
ered clearly unpatentable over each other, with
the statement that restriction as between those
species is not required.

Where generic claims are allowed, applicant
may claim in the same application species not
to exceed five, as provided by Rule 141. As to
these, the patentable distinction between the
species or between the species and genus is not
rigorously investigated, since they will issue in
the same patent. However, the practice stated
in 706.03(k) may be followed if the claims
differ from the allowed genus only by subject
matter that can be shown to be old by citation
of prior art.

Where, however, an applicant optionally files
another application for a different species, or
for a species disclosed but not claimed in a par-
ent case as filed and first acted upon by the Ex-
aminer, there should be close investigation to
determine the presence or absence of patentable
difference. See 804.01 and 804.02.

## 806.04(i) Generic Claims Rejected When Presented for First Time After Issue

Where an applicant has separate applica-
tions for plural species, but presents no generic
claim until after the issue of a patent for one
of the species, the generic claims cannot be al-
lowed, even though the applications were
copending.

## 806.04(j) Generic Claims in One Pat- ent Only (Generic Claims in Application Rejected)

Generic claims covering two or more species
which are separately claimed in two or more
patents to the same inventor issued.on copend-
ing applications must all be present in a single
one of the patents. If present in two or more
patents, the generic claims in the later patents
are void. Thus generic claims in an applica-
tion should be rejected on the ground of dou-
ble patenting in view of the generic claims of
the patent.

807

806.05 Related Embodiments $0.808

Where two or more related embodiments are
being claimed, the principal question to be de-
termined in connection with a requirement to
restrict or a rejection on the ground of double
patenting is whether or not the inventions as
claimed are distinct. If they are not distinct,
restriction is never proper. If claimed in sepa-
rate applications or patents, double patenting
must be held, except where the additional ap-
plications were filed consonant with a require-
ment to restrict.

The various pairs of related inventions are
noted in the following sections. The distinc-
tion between them shown as a basis for re-
quiring restriction, or for a holding that
there would be no double patenting, must be
material.

## 806.05(a) Combination or Aggrega- tion and Subcombination

A combination or an aggregation is an or-
ganization of which a subcombination (or
element) is a part.

The distinction between combination and ag-
gregation is not material to questions of re-
striction or to questions of double patenting.
Relative to questions of restriction where a
combination is alleged, the claim thereto must
be assumed to be allowable as pointed out in
806.02, in the absence of a holding by the Ex-
aminer to the contrary. When a claim is
found in a patent, it has already been found
by the Office to be for a combination and not
an aggregation and must be treated on that
basis.

## 806.05 (b) Old Combination -- Novel Subcombination

Restriction is never proper between a com-
bination (AB) that the examiner holds to be
old and unpatentable and the subcombination
(B) in which the examiner holds the novelty,
if any, to reside, ex parte Donnell 1923 C.D.
54, 315 O.G. 398. (See 820.01.)

### 806.05(c) Criteria of Distinctness

In order to support a requirement to restrict
between combination and subcombination in-
ventions, two-way distinctness must be demon-
strated.

If it can be shown that a combination, as
claimed

(1) does not require the particulars of the
subcombination as claimed for patentability,
and

(2) the subcombination can be shown to have
utility either by itself or in other and different
relations, the inventions are distinct. When
these factors cannot be shown, such inventions
are not distinct,

In applications claiming inventions in alf-
ferent statutory classes only one-way distinct-
ness is needed to support a restriction require-
ment. The demonstration of either (1) or (2)
is sufficient.

## 806.05(d) Subcombinations Usable Together

Two or more claimed subcombinations, dis-
closed as usable together in a single combina-
tion, and which can be shown to be separately
usable, are usually distinct from each other.

Care should always be exercised in this situ-
ation to determine if the several subcombina-
tions are generically claimed. (See 806.04 (b).)

## 806.05(e) Process and Apparatus for Its Practice

Process and apparatus for its practice can
be shown to be distinct inventions, if either or
both of the following can be shown: (1) that
the process as claimed can be practiced by an-
other materially different apparatus or by
hand, or (2) that the apparatus as claimed can
be used to practice another and materially dif-
ferent process.

### 806.05(f) Process and Product Made

A process and a product made by the process
can be shown to be distinct inventions if either
or both of the following can be shown: (1)
that the process as claimed is not an obvious
process of making the product and the process
as claimed can be used to make other and dif-
ferent products, or (2) that the product as
claimed can be made by another and materially
different process.

### 806.05(g) Apparatus and Product Made

The criteria are the same as in 806.05 (f) sub-
stituting apparatus for process.

807 The Practice of Making Patenta-
bility Reports Has No Effect Upon
Restriction Practice

Patentability report practice (705), has no
effect upon, and does not modify in any way,

808

the practice of restriction,"being designed
merely to facilitate the handling of casse in
which restriction can not properly be required.

### 808 Reasons for Insisting Upon Re- striction

Every requirement to restrict has two as-
pects, (1) the reasons (as distinguished from
the mere statement of conclusion) why the in-
ventions as claimed are either independent or
distinct, and (2) the reasons for insisting upon
restriction therebetween.

#### 808.01 Independent Inventions

Where the inventions claimed are independ-
ent, i.e., where they are not connected in de-
sign, operation or effect under the disclosure of
the particular application under consideration
(806.04), the facts relied upon for this con-
clusion are in essence the reasons for insisting
upon restriction. [This situation, except for
species (treated in the following section) is but
rarely presented, since few persons will file an
application containing disclosures of independ-
ent things.]

##### 808.01(a) Species

Where there is no disclosure of relationship
between species (see 806.04(b) ), they are inde-
pendent inventions and election of one is man-
datory even though applicant disagrees with
the Examiner. Where the Examiner decides
that there is a patentable distinction between
the species as claimed, see 806.04(h). Thus
the reasons for insisting upon election of one
species, are the facts relied upon for the con-
clusion that there are claims restricted respec-
tively to two or more different species that are
disclosed in the application, and it is not nec-
essary to show a separate status in the art or
separate classification.

A single disclosed species must be elected as
a prerequisite to applying the provisions of
Rule 141 to four additional species if a generic
claim is allowed.

Even though the examiner rejects the generic
claims, and even though the applicant cancels
the same and thus admits that the genus is un-
patentable, where there is a relationship dis-
closed between species such disclosed relation
must be discussed and reasons advanced leading
to the conclusion that the disclosed relation
does not prevent restriction, in order to estab-
lish the propriety of restriction.

808.02 Related favortions # 20.008

Where, as disclosed in the application, the
several inventions claimed are related, and such
related inventions are not patentably distinct
as claimed, restriction is never proper (806.05).
If applicant optionally restricts, double patent-
ing will be held.

Where the related inventions as claimed are
shown to be distinct, it is the Office policy to
permit them to be claimed in one application
where they are classified together, do not have
a separate status in the art, and involve the
same field of search. The examiner must show
by appropriate explanation at least one of the
following, in order to establish reasons for
insisting upon restriction :

(1) Separate classification thereof:

This shows that each distinct subject has at-
tained a separate status in the art as a sepa-
rate subject for inventive effort, and also a
separate field of search.

(2) A separate status in the art when they
are classifiable together;

Even though they are classified together, as
shown by the appropriate explanation each
subject can be shown to have formed a separate
subject for inventive effort when an explanation
indicates a recognition of separate inventive ef-
fort by inventors.

(3) A separate field of search :

Where it is necessary to search for one of the
distinct subjects in places where no pertinent
art to the other subject exists, a separate field
of search is shown, even though the two are
classified together. The indicated separate field
of search must in fact be pertinent to the type of
subject matter covered by the claims.

Where, however, the classification is the same
and the field of search is the same and there is
no clear indication of separate future classifi-
cation and field of search, no reasons exist for
dividing among related inventions. This is
particularly true in the manufacturing arts
where manufacturing processes and the result-
ant product are classified together, e.g. Carbon
Compounds Class 260. Under these circum-
stances, applicant may optionally restrict to
one of plural distinct inventions since double
patenting will not be held, but it is Office policy
not to require restriction.

##### 809 Claims Linking Distinct Inven- tions

Where upon examination of an application
containing claims to distinct inventions linking
claims are found, restriction should be required.

See 809.05 (a) for definition of linking claims
A letter including only a restriction regaire-
ment or a telephoned requirement to restrict
(the latter being encouraged) will be effected,
specifying which claims are considered linking.
See 812.01 for telephone practice in restriction
requirements.y Atd 3Ry bariba At migAs
No art will be indicated for this type of link-
ing claim and no rejection of these claims made.
.A 30 day shortened statutory period will be
set for response to a written requirement. Such
action will not be an "action on the merits" for
the purpose of the second action final program.

To be complete, a response to a requirement
made according to this section need only include
a proper election.

A basic policy of the streamlined examining
program is that the second action on the merits
should be made final. In those applications
wherein a requirement for restriction or election
is accompanied by a complete action on the
merits of all the claims, such action will be con-
sidered to be an action on the merits and the next
action by the examiner should be made final.

In stating a requirement for restriction, there
should be no citation of patents to show separate
status or classification or utility. The separate
inventions should be identified by a grouping of
the claims with a short description of the total
extent of the invention claimed in each group,
specifying the type or relationship of each group
as by stating the group is drawn to process, or
to subcombination, or to product, etc., and
should indicate the classification or separate
status of each group, as for example, by class
and subclass.

The linking claims must be examined with
the invention elected, and should any linking
claim be allowed, rejoinder of the divided in-
ventions must be permitted.

##### 809.02 Generic Claim Linking Species

Under Rule 141, an allowed generic claim
may link up to five disclosed species embraced
thereby.

The practice is stated in Rule 146:

Rule 146. Election of species. In the first action on
an application containing a generic claim and claims
restricted separately to each of more than one species
embraced thereby, the examiner, if of the opinion after
a complete search on the generic claims that no generic
claim presented is allowable, shall require the appli-
cant in his response to that action to elect that species
of his invention to which his claims shall be restricted
if no generic claim is finally held allowable. However,
if such application contains claims directed to more
than five species, the examiner may require restriction

SRAZ(4)

of the claims to pot more than five species biltore taking
any further action in the case.

The last sentence of Rule 146, that the Ex-
aminer may require restriction of the claims
so that not more than five species are separately
claimed, is permissive.It may be used in ng-
gravated cases of a multiplicity of specica,
without acting on generic claims, to narrow
the iques down to five species. But see
806.04 (h).

809.02(a) Election Required-Go-
neric Claim Not Allowable

Where generic claims are present, a letter in-
cluding only a restriction requirement or a tele-
phoned requirement to restrict (the latter being
encouraged) should be effected. See 812.01 for
telephone practice in restriction requirements.

Action as follows should be taken :

(1) Indicate generic claims not allowable in
view of cited art or that no generic claims are
present."See 806.04(d) for definition of a
generic claim.

(2) Clearly identify each (or in aggravated
cases at least exemplary ones) of the disclosed
species, to which claims are restricted. The
species are preferably identified as the species
of figures 1, 2 and 3 or the species of examples
I, II and III, respectively. In the absence of
distinct figures or examples to identify the sev-
eral species, the mechanical means, the par-
ticular material, or other distinguishing char-
acteristic of the species should be stated for
each species identified. If the species cannot
be more conveniently identified, the claims may
be grouped in accordance with the species to
which they are restricted.

(3) Applicant should then be required to
elect a single disclosed species, and advised as
to the requisites of a complete response and his
rights under Rule 141.

For generic claims, a search should be made
and art cited. However, the generic claims will
not be rejected but merely indicated as not al-
lowable in view of the cited art (Rule 146).

. A 30-day shortened statutory period will be
set for response when a written requirement is
made. Such action will not be an "action on the
merits" for purpose of the second action final
program.

To be complete, a response to a requirement
made according to this section need only include
a proper election.

In those applications wherein a requirement
for restriction is accompanied by an action on
all claims, such action will be considered to be
an action on the merits and the next action
should be made final.

800.03 (b)

The following form paragraphs are sag-
gested :
"None of the generic claims .. . (identify)
having been allowed, applicant is required to
elect ~ single disclosed species to which his
claims shall be restricted if no generic claim is
finally held allowable."

"Applicant is advised that his response must
include an identification of the disclosed species
that he elects consonant with the requirement,
and a listing of all claims readable thereon.
An argument that a generic claim is allowable,
or that all claims are generic or amended to be
generic, unless accompanied by an election, is
nonresponsive."

"Upon the allowance of a generic claim ap-
plicant will be entitled to consideration of
claims to not more than four species in addi-
tion to the single elected species, provided all
the claims to each additional species are writ-
ten in dependent form or otherwise include all
the limitations of an allowed generic claim as
provided by Rule 141."

If claims are added after the election, appli-
cant must indicate which are readable on the
elected species.

##### How EXPRESSED

The following text is ordinarily sufficient in
requiring election of species :

"Applicant is required (1) to elect a single
disclosed species even though this requirement
be traversed and (2) to list all claims readable
thereon, including any claims subsequently
added. Section 809.02(a) Manual of Patent
Examining Procedure."

This may be used instead of the three quoted
paragraphs in part (3) of this section except
where applicant is prosecuting his own case or
there are other reasons for believing that the
short form would not be understood.

It is still necessary to (1) indicate generic
claims not allowable in view of cited art or state
that none are present, and (2) to clearly identify
each species involved.

Where the search develops prior art which
meets all the claims, action on merits of all
claims should be given. Election may also be
required.

##### 809.02(b) Election Required-Ge- neric Claim Allowed

When a claim generic to two or more claimed
species is found to be allowable on the first or
any subsequent action and election of a single
species has not been made, applicant should be
informed that the claim is allowable and go-

nerio, and a requirement should be made that
applicant elcot a single species embraced by the
allowed genus unless the species claims are all
in the form required by Rule 141 and no more
than five species are claimed. Substantially
the following should be stated:

"Applicant is advised that his response to be
complete must include an identification of the
single, disclosed species within the allowed
genus that he elects and a listing of all claims
readable thereupon. Applicant is entitled to
consideration of claims to not more than four
disclosed species in addition to the elected spe-
cies, which species he must identify and list
all claims restricted to each, provided all the
claims to each additional species are written
in dependent form or otherwise include all the
limitations of an allowed generic claim as pro-
vided by Rule 141."

##### 809.02(e) Action Following Election

An examiner's action subsequent to an elec-
tion of species should include a complete ac-
tion on the merits of all claims readable on the
elected species.

(1) When the generic claims are rejected, all
claims not readable on the elected species
should be treated substantially as follows:
"Claims
are held to be withdrawn
from further consideration under Rule 142(b)
as not readable on the elected species."

(2) When a generic claim is subsequently
found to be allowable, and not more than 4
additional species are claimed treatment should
be as follows:

When any claim directed to one of said addi-
tional species embraced by an allowed generic
claim is not in the required form, all claims to
that species should be held to be withdrawn
from further consideration by the examiner.
The holding should be worded somewhat as fol-
lows: "Claims
directed to species

are withdrawn from further consid-
eration in this case, since all of the claims to
this species do not depend upon or otherwise
include all of the limitations of an allowed
generic claim as required by Rule 141." When
the case is otherwise ready for issue, an addi-
tion worded somewhat as follows should be
added to the holding: "This application is in
condition for allowance except for the presence
of such claims. Applicant is given one month
from the date of this letter to amend the claims
in conformance to Rule 141 or take other ac-
tion (Rule 144). Failure to take action dur-
ing this period will be treated as authorization
to cancel claims to the nonelected species by
Examiner's Amendment and pass the case to
issue. The prosecution of this case is closed

810.02

except for consideration nº sou elove mottar."
Claims directed to techs mot embreed by:
an allowed gentrid claim should be treated int
follows: Claims silmen aced are for opesies hot
embraced by allowed gineriz claims Ivodaltonz)
as required by Rulerkti and withdrawn
from further consideration in this case, Rule
142(b),11 mi moitos19 suoigalsT 10.818

##### 809.02(d) No Species CiAms

Where only generic claims are presented no
restriction can be required. If after an action
on these claims applicant presents claims to
more than one species of the invention he must
at that time indicate an election of a single
species.

##### 809.02(e) Generic Claims Allowable in Substance Mir wolle jon ois

Whenever a generic, claim is found to be al.
lowable in substance, even though it is objected
to or rejected on merely formal grounds, action
on the species claims shall thereupon be given
as if the generic claim were allowed.

The treatment of the case should be as indi-
cated in sections 809.02 (b), (e), or (d).

##### 809.03 T Linking Claims

There are a number of situations which arise
in which an application has claims to two or
more properly divisible inventions, so that a re-
quirement to restrict the application to one
would be proper, but presented in the same case
are one or more claims (generally called "link-
ing" claims) inseparable therefrom and thus
linking together the inventions otherwise
divisible.

The most common types of linking claims
which, if allowed, act to prevent restriction be-
tween inventions that can otherwise be shown to
be divisible, are:

Genus claims linking species claims.

Aggregation or combination linking two sub-
combinations.

Claims to a product defined by process of
making the same linking proper product claims
and process claims.

A claim to the necessary process of making a
product linking proper process and product
claims.

A claim to "means" for practicing a process
linking proper apparatus and process claims.

Where linking claims exist, a letter including
a restriction requirement only or a telephoned
requirement to restrict (the latter being encour-
aged) will be affected, specifying which claims
are considered to be linking.

a For goodticfolgimala march should burada
end ort cited. .. However, the gaperio claims will
not be rejected but merely indicated as not al-
lowable in view of the cited art, ( Rule 146).

No art will be citel for other types of linking
claims and no rejection of these claims madenem
eds of siniala odi no lon smil amse oiff ta Ifiw
809.04% Retention of Claims to Non's
nottos ad: Elected Invention off no: novig

Where the requirement is predicated upon
the mon allowability of generic! or other type
of linking claims, applicant is entitled to retain
in the case claims to the non elected invention
or inventions.

If a linking claim is allowed, the Examiner
must thereafter examine species not to exceed
five if the linking claim is generic thereto, or
he must examine the claims to the nonelected
inventions that are linked to the elected inven-
tion by such allowed linking claim.

When a final requirement is contingent on
the non-allowability of the linking claims, ap-
plicant may petition from the requirement un-
der Rule 144 without waiting for a final action
on the merits of the linking claims; or he may
defer his petition until the linking claims hate;
been finally rejected, but not later than appeal,
Rule 144, 818.03 (c).

##### 810 Action on Novelty

In general, when a requirement to restrict is
made, no action on novelty and patentability is
given.

When generic claims are present see
809.03 (a).

## 810.01 Not Objectionable When Cou- pled With Requirement

Even where action on novelty and patentabil-
ity is not necessary to a requirement, it is not
objectionable, ex parte Lantzke 1910 C.D. 100;
156 O.G. 257.

However, except as noted in 809, if an action
is given on novelty, it must be given on all
claims.

## 810.02 Usually Deferred

The office policy is to defer action on novelty
and patentability until after the requirement is
complied with, withdrawn or made final.

Ex parte Pickles, 1904 C.D. 126; 109 O.G.
1888

Ex parte Snyder, 1904 C.D. 242; 110 O.G.
2636

Ex parte Weston, 1911 C.D. 218; 173 O.G.
285

810.03:

810.08 b'Given on Elected i Invention
fre aminis When Requirement Is Made
Final

Rule 149 lest sentence states: "If the require-
ment is repeated and made final, the Examiner
will at the same time act on the claims to the
elected invention!") Thus, action id ordinarily;
given on the elected invention in the action
making the requirement final.

## 811 Time for Making Requirement

Rule 142(a), 2nd sentence: "If the distinct-
ness and independence of the inventions be
clear, such requirement (i.e. election of the in-
vention to be claimed as required by 1st sen-
tence) will be made before any action upon the
merits; however, it may be made at any time
before final action in the case, at the discretion
of the examiner."

This means, make a proper requirement as
early as possible in the prosecution, in the first
action if possible, otherwise as soon as a proper
requirement develops.

## 811.02 Even After Compliance With ingga Preceding Requirement

Since the rule provides that restriction is
proper at any stage of prosecution up to final
action, a second requirement may be made when
it becomes proper, even though there was a
prior requirement with which applicant com-
plied (Ex parte Benke, 1904 C.D. 63; 108 O.G.
1588).

### 811.03 Repeating After Withdrawal -- Proper

Where a requirement to restrict is made and
withdrawn, because improper, when it becomes
proper at a later stage in the prosecution, re-
striction may again be required.

### 811.04 Proper Even Though Grouped Together in Parent Case

Even though inventions are grouped together
in a requirement in a parent case, restriction
thereamong may be required in the divisional
case if proper.

### 812 Who Should Make the Require- ment

The requirement should be made by an exam-
iner who would examine at least one of the
inventions.

Antexamine ordinarily should not require
restriction in \an application | nons ; of the
cisimed subject matter of which is classifiable
in his group. Such an application should be?
transferred to a group to which at least some
of the subject matter belongs.

812.01 Telephone Practice in Restric-
tion, Situations
(b)$0.008

If an examiner determines that a requirement
for restriction should be made in an applica-
tion, he should formulate a draft of such re-
striction requirement including an indication of
those claims considered to be linking and if
generic, a search should be made and art cited.
No rejection of the linking claims should be
made, but in the case of generic claims the ex-
aminer should indicate that the generic claims
are not allowable over the cited art. Thereupon,
he should telephone the attorney of record and
ask if he will make an oral election, with or
without traverse if desired, after the attorney
has had time to consider the restriction require-
ment. The examiner should arrange for a sec-
ond telephone call within a reasonable time,
generally within three working days. If the
attorney objects to making an oral election, or
fails to respond, the usual restriction letter will
be mailed, and this letter should NOT contain
any reference to the unsuccessful telephone call.
See 809 and 809.02(a).

When an oral election is made, the examiner
will then proceed to incorporate into his letter
a formal restriction requirement including the
date of the election, the attorney's name, and a
complete record of the telephone interview, fol-
lowed by a complete action on the elected claims
including linking or generic claims if present.

If on examination the examiner finds the
elected claims to be allowable and no traverse
was made, the letter should be written on POL-
37 (Examiner's Amendment) and should in-
clude cancellation of the non-elected claims, a
statement that the prosecution is closed and that
a notice of allowance will be sent in due course.
Correction of formal matters in the above-noted
situation which cannot be handled by a tele-
phone call and thus requires action by the ap-
plicant should be handled under the Eo parte
Quayle practice, using POL-90; these would
usually be drawing corrections or the like re-
quiring payment of charges.

Should the elected claims be found allowable
in the first action, and an oral traverse was
noted, the examiner should include in his action
a statement under Section 821.01, M.P.E.P.,
making the restriction final and giving appli-
cant one month to either cancel the non-elected
claims or take other appropriate action (Rule

144). Failure to take action will be treated as
an authorization to cancel the non-elected
claims by an Examiner's Amendment and pass
the case to issue. Prosecution of this applica-
tion is otherwise closed.

In either situation (traverse or no traverse),
caution should be exercised to determine if any
of the allowed claims are linking or generic be-
fore cancelling the non-elected claims.

Where the respective inventions are located
in different groups the requirement for restric-
tion should be made only after consultation
with and approval by all groups involved. If
an oral election would cause the application to
be examined in another group, the initiating
group should transfer the application with a
signed memorandum of the restriction require-
ment and a record of the interview. The re-
ceiving group will incorporate the substance of
this memorandum in its official letter as indi-
cated above. Differences as to restriction
should be settled by the existing chain of com-
mand, e.g. Supervisory Primary Examiner or
Manager.

This practice is limited to use by examiners
who have at least negotiation authority. Other
examiners must have the prior approval of their
Supervisory Primary Examiner.

### 813 Citation of Art

A. Linking claims. For generic claims a
search should be made and art cited. No art
will be cited for other types of linking claims.

B. Independent or distinct inventions-no
linking claims. No art is cited to show sep-
arate status, separate classification, divergent
searches, or separate utility. See 809.

## 814 Indicate Exactly How Application Is To Be Restricted

A. Species. The mode of indicating how to
require restriction between species is set forth
in Section 809.02(a).

As pointed out in ex parte Ljungstrom 1905
C.D. 541; 119 O.G. 2335, the particular limi-
tations in the claims and the reasons why such
limitations are considered to restrict the claims
to a particular disclosed species should be men-
tioned if necessary to make the requirement
clear.

B. Inventions other than species. It is nec-
essary to read all of the claims in order to de-
termine what the claims cover. When doing
this, the claims directed to each separate sub-
ject should be noted along with a statement of
the subject matter to which they are drawn.

This is the best way to most clearly and pre-
cisely indicate to applicant how the application

should be restricted.,It consists in identifying
each separate subject amongst which restriction
is required, and grouping each claim with its
subject.

While every claim should be accounted for,
the omission to group a claim, or placing a
claim in the wrong group will not affect the
propriety of a final requirement where the re-
quirement is otherwise proper and the correct
disposition of the omitted or erroneously
grouped claim is clear.

C. Linking claims. The generic or other
linking claims should not be associated with
any one of the linked inventions since such
claims must be examined with any one of the
linked inventions that may be elected. This
fact should be clearly stated.

### 815 Make Requirement Complete

When making a requirement every effort
should be made to have the requirement com-
plete. If some of the claimed inventions are
classifiable in another division and the exam-
iner has any doubt as to the proper line among
the same, he should refer the application to the
examiner of the other division for information
on that point and such examiner should render
the necessary assistance.

### 816 Give Reasons for Holding of Inde- pendence or Distinctness

The particular reasons relied upon by the
Examiner for his holding that the inventions
as claimed are either independent or distinct,
should be concisely stated. A mere statement
of conclusion is inadequate. The reasons upon
which the conclusion is based should be given.

For example, relative to combination and a
subcombination thereof, the examiner should
point out the reasons why he considers the
subcombination to have utility by itself or in
other combinations, and why he considers that
the combination as claimed does not rely upon
the subcombination as its essential distinguish-
ing part.

Each other relationship of claimed invention
should be similarly treated and the reasons for
the conclusion of distinctness of invention as
claimed set forth.

The separate inventions should be identified
by a grouping of the claims with a short descrip-
tion of the total extent of the invention claimed
in each group, specifying the type or relation-
ship of each group as by stating the group is
drawn to a process, or to subcombination, or to
product, etc., and should indicate the classifica-
tion or separate status of each group, as for
example, by class and subclass. See 809.

## 817 Outline of Letter for Restriction Requirement between District In- ventions

The statement in 809.02 through 809.02(d)
is adequate indication of the form of letter
when election of species is required.

No outline of a letter is given for other types
of independent inventions since they rarely
occur.

The following outline of a letter for a require-
ment to restrict is intended to cover every type
of original restriction requirement between
related inventions including those having link-
ing claims.

### OUTLINE OF LETTER

A. Statement of the requirement

Identify each group by Roman numeral
List claims in each group

Check accuracy of numbering

Look for same claims in two groups
Look for omitted claims

Give short description of total extent of
the subject matter claimed in each
group

Point out critical claims of different
scope

Identify whether combination, subcom-
bination, process, apparatus or prod-
uct
Classify each group

B. Take into account claims not grouped, indi-
cating their disposition.

Linking claims

Indicate-(make No Action)

Statement of groups to which linking
claims may be assigned for examina-
tion

Other ungrouped claims
Indicate disposition

e.g., previously nonelected, nonstatu-
tory, canceled, etc.

C. Allegation of distinctness

Point out facts which show distinctness
Treat the inventions as claimed, don't
merely state your conclusion that in-
ventions in fact are distinct

(1) Subcombination -- Subcombination
(disclosed) as usable together)
Each usable alone or in other identified
combination

Demonstrate by Examiner's sugges-
tion

(2) Combination-Subcombination
Combination as claimed does not require
subcombination
AND

Subcombination usable alone or in other
combination

Demonstrate by Examiner's sugges-
tion

#### (3) Process-Apparatas

Process can be carried out by hand or
by other apparatus

Demonstrate by Examiner's sugges-
tion

Demonstrate apparatus can be used in
other process (rare).

(4) Process and/or apparatus-Product
Demonstrate claimed product can be
made by other process (or appara-
tus)

By Examiner's suggestion
OR
Process (or apparatus) can produce
other product (rare)

D. Allegation of reasons for insisting upon re-
striction

Separate status in the art
Different classification

Same classification but recognition of di-
vergent subject matter

Divergent fields of search

Search required for one group not re-
quired for the other

E. Summary statement

Summarize (1) distinctness and (2) rea-
sons for insisting upon restriction.

Include paragraph advising as to response
required.

Indicate effect of allowances of linking
claims, if any present.

#### 818 Election and Response

Extract from Rule 142. (a) If two or more inde-
pendent and distinct inventions are claimed in a single
application, the Examiner in his action shall require
the applicant in his response to that action to elect
that invention to which his claims shall be restricted,
this oficial action being called a requirement for re-
striction (also known as a requirement for division).
If the distinctness and independence of the inventions
be clear, such requirement will be made before any
action on the merits; however, it may be made at any
time before final action in the case, at the discretion
of the Examiner.

Election is the designation of the particular
one of two or more disclosed inventions that
will be prosecuted in the application.

A response is the reply to each point raised
by the examiner's action, and may include a
traverse or compliance.

A traverse of a requirement to restrict is a
statement of the reasons upon which the appli-

818.01

cant relies for his conclusion that the require-
ment is in error.

To be complete, a response to a requirement
which merely specifies the linking claims and
in the case of generic claims merely indicates
that they are not allowable over cited art, need
only include a proper election.

Where a rejection or objection is included
with a restriction requirement, applicant, be-
sides making a proper election must also dis-

tinctly and specifically point out the supposed
errors in the examiner's rejection or objection.
See Rule 111.

818.01 Election Fixed by Action on
Claims

Election becomes fixed when the claims in an
application have received an action on their
merits by the Office.

81as(a)

818.02 Dictiin Other THAN Express

Election may be made in other ways than
expressly in response to a requirement.

818.02(#) By Originally Presented
Claims

Where claims to another invention are prop-
erly added and entered in the case before an
action is given, they are treated as original
claims for purposes of restriction only.

The claims originally presented and acted
upon by the Office on their merits determine
the invention elected by an applicant, and sub-
sequently presented claims to an invention
other than that acted upon should be treated
as provided in section 821.03.

## 818.02(b) Gemcrie Claims Only-No Election of Species

Where only generic claims are first presented
and prosecuted in an application no election of
a single invention has been made. If applicant
later presents claims to more than one species
of the invention he must at that time indicate
an election of a single species.

## 818.02(c) By Optional Cancellation of Claims

Where applicant is claiming two or more
inventions (which may be species or various
types of related inventions) and as a result of
action on the claims he cancels the claims to
one or more of such inventions, leaving claims
to one invention, and such claims are acted
upon by the examiner, the claimed invention
thus acted upon is elected.

## 818.03 Express Election and Traverse

Rule 148. Reconsideration of requirement. If the
applicant disagrees with the requirement for, restric-
tion, he may request reconsideration and withdrawal
or modification of the requirement, giving the reasons
therefor (see rule 111). In requesting reconsideration
the applicant must indicate a provisional election of
one Invention for prosecution, which invention shall
be the one elected in the event the requirement be-
comes final. The requirement for restriction will be
reconsidered on such a request. If the requirement is
repeated and made final, the examiner will at the same
time act on the claims to the invention elected.

Election in response to a requirement may
be made either with or without an accompany-
ing traverse of the requirement.

818.00 (6) Response Mak Be Couplese

As shown by the first sentence of Ruta 145,
the traverse to a requirement must be complete
as required by Rule 111(b) which/reads in
part: "In order to be entitled to reexamination
or reconsideration, the applicant must make
request thensfor in writing, and he must dis-
tinctly and specifically point out the supposed
errors in the examiner's action; the applicant
must respond to every ground of objection and
rejection of the prior office action

and the applicant's action must appear
throughout to be a bona fide attempt to ad-
vance the case to final action. The mere alle-
gation that the examiner has erred will not
be received as a proper reason for such re-
examination or reconsideration."

Under this rule, the applicant is required to
specifically point out the reasons on which he
bases his conclusion that a requirement to re-
strict is in error. A mere broad allegation that
the requirement is in error does not comply
with the requirement of Rule 111. Thus the
required provisional election (See 818.03(b))
becomes an election without traverse.

818.03(b) Must Elect, Even When
Requirements Is Traversed

As noted in the second sentence of Rule 143,
a provisional election must be made even
though the requirement is traversed.

All requirements should have as a conclud-
ing paragraph a sentence stating in substance:
"Applicant is advised that his response to be
complete must include an election consonant
with the requirement, see Rule 143."

The suggested concluding statement should
be reworded to fit the facts of the particular
requirement, e.g., as in 809.02(a) second form
paragraph under (3).

818.03(c) Must Traverse To Preserve
Right of Petition

Rale 144. Petition from requirement for restriction.
After a final requirement for restriction, the applicant,
in addition to making any response due on the re-
mainder of the action, may petition the Commissioner
to review the requirement. Petition may be deferred
until after final action on or allowance of ciaims to
the invention elected, but must be filed not later than
appeal. A petition will not be considered if reconsid-
eration of the requirement was not requested. (See
rule 181.)

818.03(d) Traverse of Rejection of
Linking Claims

A traverse of the rejection of the linking
claims is not a traverse of the requirement to

818.03(e)

restrict, it is a traverse of a holding of non-
patentability.

Election combined with a traverse of the re-
jection of the linking claims only is an agree-
ment with the position taken by the Office that
restriction is proper if the linking typo claim
is not allowed and improper if they are al-
lowed. If the Office allows such a claim it is
bound to withdraw the requirement and to act
on all linked inventions. But once all linking
claims are canceled Rule 144 would not apply,
since the record would be one of agreement as
to the propriety of restriction.

Where, however, there is a traverse on the
ground that there is some relationship (other
than and in addition to the linking type claim)
that also prevents restriction, the merits of the
requirement are contested and not admitted.
Assume a particular situation of process and
product made where the claim held linking is
a claim to product limited by the process of
making it. The traverse may set forth partic-
ular reasons justifying the conclusion that re-
striction is improper since the process neces-
sarily makes the product and that there is no
other present known process by which the
product can be made. If restriction is made
final in spite of such traverse, the right to
petition is preserved even though all linking
claims are canceled.

## 818.03(e) Applicant Must Make His Own Election

Applicant must make his own election. The
examiner will not make the election for him,
Rule 142, Rule 143, second sentence.

## 819 Office Generally Does Not Permit Shift

The general policy of the Office is not to
permit the applicant to shift to claiming an-
other invention after an election is once made
and action given on the elected subject matter.
When claims are presented which the Exam-
iner holds are drawn to an invention other
than elected he should treat the claims as out-
lined in 821.03.

Where the inventions are distinct and of
such a nature that the Office compels restric-
tion, an election is not waived even though the
examiner gives action upon the patentability
of the claims to the non-elected invention. Ex
parte Loewenbach 1904 C.D. 170, 110 O.G. 857,
and In re Waugh 1943 C.D. 411; 553 O.G. 3
(CCPA).

## 819.01 : Office May Waive Election and Permit Shift

While applicant, as a matter of right, may
not shift from claiming one invention to claim-
ing another, the Office is not precluded from
permitting a shift. It may do so where the
shift results in no additional work or expense,
and particularly where the shift reduces work
as by simplifying the issues (Ex parte Heri-
tage Pat. No. 2,375,414 decided January 26,
1944). Having accepted a shift, case is not
abandoned (Meden v. Curtis, 1905 C.D. 272;
117 O.G. 1795).

### 820 Not an Election; Permissible Shift

Where the Office rejects on the ground that
the process is obvious, the only invention being
in the product made, presenting claims to the
product is not a shift (Ex parte Trevette,
1901 C.D. 170; 97 O.G. 1173).

Product elected-no shift where examiner
holds invention to be in process (Ex parte
Grier, 1923 C.D. 27; 309 O.G. 223).

Genus allowed, applicant may elect up to
four additional species thereunder, in accord-
ance with Rule 141, this not constituting a
shift (Ex parte Sharp et al., Patent No.
2,232,739).

### 820.01 Old Combination Claimed --- Not an Election

Where an application originally presents
claims to a combination (AB), the examiner
holding the novelty if any, to reside in the sub-
combination (B) per se (see 806.05(b) ) only,
and these claims are rejected on the ground of
"old combination," subsequently presented
claims to subcombination (B) of the originally
claimed combination should not be rejected on
the ground of previous election of the combi-
nation, nor should this rejection be applied to
such combination claims if they are reasserted.
Final rejection of the reasserted "old combina-
tion" claims is the action that should be taken.
The combination and subcombination as de-
fined by the claims under this special situation
are not for distinct inventions. (See
806.05(c).)

### 820.02 Interference Issues-Not an Election

Where an interference is instituted prior to
an applicant's election, the subject matter of
the interference issues is not elected. An ap-
plicant may, after the termination of the in-

£021.03

terference, elect any one of the inventions that
he claimed.

### 821 Treatment of Claims Held to be Drawn to Non-Elected Inventions

Claims held to be drawn to non-elected in-
ventions, including claims to non-elected spe-
cies, are treated as indicated in 821.01 through
821.03. However, for treatment of claims held
to be drawn to species non-elected without
traverse in applications not ready for issue
(where such holding is not challenged), see
809.02(c) through 809.02(e).

The propriety of a requirement to restrict, if
traversed, is reviewable by petition under Rule
144.

All claims that the Examiner holds are not
directed to the elected subject matter should be
withdrawn from further consideration by the
Examiner as set forth in section 809.02(c) and
821.01 through 821.03. As to one or more of
such claims the applicant may traverse the Ex-
aminer's holding that they are not directed to
the elected subject matter. The propriety of
this holding, if traversed, is appealable. Thus,
if the Examiner adheres to his position after
such traverse, he should reject the claims to
which the traverse applies on the ground that
they are not directed to the elected subject
matter. Claims for which no traverse is pre-
sented should be withdrawn under Rule 142(b)
as indicated in the other, above noted, section.

#### 821.01 After Election With Traverse

Where the initial requirement is traversed, it
should be reconsidered. If, upon reconsidera-
tion, the Examiner is still of the opinion that
restriction is proper he shall repeat and make
final the requirement in the next Office action.
(See 803.01.) In doing so, the Examiner
should reply to the reasons or argument ad-
vanced by applicant in his traverse. If the
Examiner, upon reconsideration, is of the opin-
ion that the requirement for restriction is im-
proper he should state in the next Office action
that the requirement for restriction is with-
drawn and give an action on all the claims.

If the requirement is repeated and made
final, in that and in each subsequent action,
the claims to the nonelected invention should
be treated substantially as follows:

"Claims
stand withdrawn from
further consideration by the examiner, Rule
142(b), as being for a nonelected invention (or

species)y the requirichent having been traversed
in paper No.D .... InA JobbA

This will show that applicant has retained
the right to ; petition from the requirement
under Rule 144. (See 818.08(c).)

When the case is otherwise ready for issue,
the examiner should treat the case substantially
as follows:

Claims ________ stand allowed.

"This application is in condition for allow-
ance except for the presence of claims _____ to
an invention (or species) nonelected with trav-
erse in paper No. ....... Applicant is given
one month from the date of this letter to can-
cel the noted claims or take other appropriate
action (Rule 144). Failure to take action dur-
ing this period will be treated as authorization
to cancel the nonelected claims by Examiner's
Amendment and pass the case for issue.

The prosecution of this case is closed ex-
cept for consideration of the above matter."

Note that the petition under Rule 144 must
be filed "not later than appeal". This is con-
strued to mean appeal to the Board of Appeals.
If the case is ready for allowance after appeal
and no petition has been filed, the Examiner
should simply cancel the non-elected claims by
Examiner's Amendment, calling attention to
the provisions of Rule 144.

#### 821.02 After Election Without Trav- erse

Where the initial requirement is not tra-
versed, if adhered to, appropriate action should
be given on the elected claims and the claims
to the nonelected invention should be treated
substantially as follows:

"Claims
stand withdrawn from
further consideration by the examiner, Rale
142(b), as being for a nonelected invention (or
species). Election was made without traverse
in paper No. ______. "

This will show that applicant has not re-
tained the right to petition from the require-
ment under Rule 144.

Under these circumstances, when the case is
otherwise ready for issue, the claims to the
nonelected invention, including nonelected spe-
cies, may be canceled by an Examiner's
Amendment, and the case passed for issue.
The Examiner's Amendment should state in
substance:

"In view of the fact that this application is
in condition for allowance except for the pres-
ence of claims
to an invention (or
species) nonelected without traverse in paper
No.
these claims have been canceled."

821.63

831.03 ... Claims for Different Invention
Added After an Office Action

Claims added by amendment following sc-
tion by the examiner, 818.01, 818.08(8), to an
invention other than previously claimed, should
be treated as indicated by Rule 145. /

Rule 115. Subsequent presentation of clatins for dif-
ferent invention." If, after an office action on an ap-
plication, the applicant presents claims directed to an
Invention distinct from and independent of the laven-
tion previously claimed, the applicant will be required
to restrict the cieinis to the inventicu previously claimed
If the amendment is entered, subject to reconsideration
and review as provided in rules 143 and 144.

The action should take substantially the fol-
lowing form:
"I. Claims
are directed to
(identify the invention) elected by
indicate how the invention was elected, as by
original presentation of claims, election with
(or without) traverse in paper No.
etc.)
and applicant has received an action on such
claims.

IL. Claims
are for
(identify invention, give factual showing of
reasons why, as claimed, it is distinct from
elected invention, show separate classification
or status, etc., i.e., make complete showing of
propriety of requirement in manner similar to
an original requirement).

Applicant is required to restrict the claims
to the invention previously elected, and thus
the claims of group II are held withdrawn
from further consideration by the examiner
by the prior election, Rule 142(b)."

Of course, a complete action on all claims to
the elected invention should be given.

Note that the above practice is intended to
have no effect on the practice stated in 1101.01.

822
Claims to Inventions That Are Not
Distinct in Plural Applications of
Same Inventor

The treatment of plural applications of the
same inventor, none of which has become a
patent, is treated in Rule 78 as follows:

(b) Where bre ce more applications Shed br the
same applicant, or owned by the mme party, contado
conflicting claims, elimination of such claims from all
but one application mey be required in the absence of
Wood and suficient feeson be thett retencion during
prendiney Ia more this one applide iton, st

Seo 304 for conflicting subject matter in two
applications, same inventor, one assigned.

See 805 for conflicting subject matter, differ-
ent inventors, common ownership.

Ses 706.03(k) for rejection of one claim on
another in the same application.

See 706.03(w) and 706.07(b) for res judi-
catas

See 709.01 for one application in interference.
See 806.04(h) to 806.04(j) for species and
genus in separate applications.

Wherever appropriate, such conflicting ap-
plications should be joined. This is particu-
farly true, where the two or more applications
are due to, and consonant with, a requirement
to restrict which the examiner now considers
to be improper.

822.01 Co-pending Before the Exam-
iner

Under Rule 78(b) the practice relative to
overlapping claims in applications copending
before the examiner (and not the result of and
consonant with a requirement to restrict, for
which see 804.01), is as follows:

Where claims in one application are unpat-
entable over claims of another application of
the same inventor (either because they recite
the same subject matter, or because the prior
art shows that the differences do not impart &
patentable distinction), a complete examina-
tion should be made of the claims of one appli-
cation. The claims of the other application
may be rejected on the claims of the one exam-
ined, whether the claims of the one examined
are allowed or not.

In aggravated situations no other rejection
need be entered on the claims held unpatentable
over the claims of the other application. How-
ever, any additional claims in the one applica-
tion that are not rejected on the claims of the
other should be fully treated.

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