[
# 2139 Rejections Under Pre-AIA 35 U.S.C. 102 [R-10.2019]


Any application filed before March 16, 2013, is governed by
 **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)** and **[103](mpep-9015-appx-l.html#d0e302450)** (i.e., the application is a pre-AIA
 first to invent application). Note that neither the filing of a request for continued
 examination, nor entry into the national stage under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**, constitutes the filing
 of a new application. Accordingly, such an application remains subject to **[pre-AIA 35 U.S.C. 102](mpep-9015-appx-l.html#d0e302383)**
 and **[103](mpep-9015-appx-l.html#d0e302450)** even if a request for continued examination under
 **[37 CFR
 1.114](mpep-9020-appx-r.html#d0e322625)** is filed on or after March 16, 2013, in an application that was
 filed before March 16, 2013. Similarly, a PCT application filed under **[35 U.S.C. 363](mpep-9015-appx-l.html#d0e306994313)**
 before March 16, 2013, is subject to **[pre-AIA 35 U.S.C. 102](mpep-9015-appx-l.html#d0e302383)** and
 **[103](mpep-9015-appx-l.html#d0e302450)**, regardless of whether the application enters the national stage
 under **[35 U.S.C.
 371](mpep-9015-appx-l.html#d0e307164)** before or after March 16, 2013. 
 


Certain applications filed on or after March 16, 2013 that
 claim the benefit of a filing date earlier than March 16, 2013 under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313)**,
 **[121](mpep-9015-appx-l.html#d0e303040912)**, or **[365](mpep-9015-appx-l.html#d0e307034)** are also governed by
 **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)**; see **[MPEP § 2159](s2159.html#ch2100_d20034_1dc34_1dd)***et seq.* for guidance in determining whether such an application is
 subject to examination under the first to invent prior art regime.
 



# 2139.01 Effective Filing Date of a Claimed Invention
 Under Pre-AIA 35 U.S.C. 102 [R-10.2019]


In examining applications subject to **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)**, the effective filing date of the claimed invention is the
 actual filing date of the U.S. application, unless situation (A), (B), or (C) as set
 forth below applies. Note that the actual U.S. filing date of an application that
 entered the national stage under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)** is the international
 filing date. See **[35
 U.S.C. 363](mpep-9015-appx-l.html#d0e306994313)** and **[MPEP § 1893.03(b)](s1893.html#d0e191308)**.
 


* (A) If the application is a continuation or divisional of one or
 more earlier U.S. applications or international applications and if the
 requirements of **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313)** or
 **[365(c)](mpep-9015-appx-l.html#d0e307053)** have been satisfied, the effective filing date of
 the claimed invention is the same as the earliest filing date in the line of
 continuation or divisional applications.
* (B) If the application is a continuation-in-part of an earlier
 U.S. application or international application, any claims in the new application
 not supported by the specification and claims of the parent application have an
 effective filing date equal to the actual filing date of the new application. Any
 claims which are fully supported under **[35 U.S.C. 112](mpep-9015-appx-l.html#d0e302824)** by the earlier
 parent application have the effective filing date of that earlier parent
 application.
* (C) If the application properly claims benefit under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)** to a provisional application, the effective filing
 date of the claimed invention is the filing date of the provisional application
 for any claims which are fully supported under the first paragraph of
 **[35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824912)** by the provisional application.


The effective filing date for claims subject to
 **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)** is not the filing date of the foreign priority document,
 although the filing date of the foreign priority document may be used to overcome
 certain references. See **[MPEP § 2136.05](s2136.html#d0e206333)***et seq.*


See **[MPEP
 § 1893.03(c)](s1893.html#d0e191506)**, subsection III for benefit claims under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, **[120](mpep-9015-appx-l.html#d0e303023313)**, or **[365(c)](mpep-9015-appx-l.html#d0e307053)** in an
 application that entered the national stage under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**. See
 **[MPEP §§
 211.01(c)](s211.html#ch200_d1ff71_22ea8_22b)** and **[1895](s1895.html#d0e192715)** for additional information on
 determining the effective filing dates of claimed inventions in a continuation,
 divisional, or continuation-in-part of a PCT application designating the U.S. See also
 **[MPEP §§
 1895.01](s1895.html#d0e192774)** and **[1896](s1896.html#d0e193032)** which discuss differences between
 applications filed under **[35 U.S.C. 111(a)](mpep-9015-appx-l.html#d0e302673)** and international
 applications that enter national stage under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**.
 




# 2139.02 Determining Whether To Apply Pre-AIA 35 U.S.C.
 102(a), (b), or (e) [R-10.2019]


*[Editor Note: This MPEP section is **not applicable** to applications
 subject to examination under the first inventor to file provisions of the AIA as
 explained in **[35 U.S.C. 100 (note)](mpep-9015-appx-l.html#al_d1d917_1bef1_2b)** and
 **[MPEP
 § 2159](s2159.html#ch2100_d20034_1dc34_1dd)**. See **[MPEP §
 2152.05](s2152.html#ch2100_d2c184_13c9f_236)** for the examination of applications subject to the
 first inventor to file provisions of the AIA.]*

**I.** **PRE-AIA 35 U.S.C. 102(b)**First, the examiner should consider whether the
 reference qualifies as prior art under **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)** because
 this section results in a statutory bar to obtaining a patent. If the publication or
 issue date of the reference is more than 1 year prior to the effective filing date of
 the claimed invention (**[MPEP § 2139.01](s2139.html#ch2100_d2c184_12530_2b6)**), the reference
 qualifies as prior art under **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)**.
 


Where the last day of the year dated from the date of
 publication falls on a Saturday, Sunday or federal holiday, the publication is not a
 statutory bar under **[pre-AIA 102(b)](mpep-9015-appx-l.html#d0e302395)** if the application was filed on the next
 succeeding business day. *Ex parte Olah,* 131 USPQ 41 (Bd. App.
 1960) (The Board in *Olah* held that **[35 U.S.C. 21(b)](mpep-9015-appx-l.html#d0e301443)**
 is applicable to the filing of an original application for patent and that
 applicant’s own activity will not bar a patent if the 1-year grace period expires on
 a Saturday, Sunday, or federal holiday and the application’s U.S. filing date is the
 next succeeding business day.). Despite changes to **[37 CFR
 1.6(a)(2)](mpep-9020-appx-r.html#d0e313465)** and **[1.10](mpep-9020-appx-r.html#d0e313951)** which permit the USPTO to
 accord a filing date to an application as of the date of deposit as Priority Mail
 Express® with the U.S. Postal Service in accordance
 with **[37
 CFR 1.10](mpep-9020-appx-r.html#ar_d1b14e_16b60_2be)** (e.g., a Saturday filing date), the rule changes do
 not affect applicant’s concurrent right to defer the filing of an application until
 the next business day when the last day for "taking any action" falls on a Saturday,
 Sunday, or federal holiday (e.g., the last day of the 1-year grace period falls on a
 Saturday).
 


If there is evidence of public use or sale activity
 more than one year prior to the effective filing date of the claimed invention, a
 rejection should be made under **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)**, which
 results in a statutory bar to obtaining a patent, rather than under **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)**. Note that mere knowledge of the invention by the public
 does not warrant rejection under **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)**,
 although public knowledge may provide grounds for rejection under **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)**. See **[MPEP §§ 2132](s2132.html#d0e203390)** and
 **[2133.03(a)](s2133.html#d0e203899)**. 
 

**II.** **PRE-AIA 35 U.S.C. 102(e)**If the publication or issue date of the reference is
 too recent for **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)** to apply, then the examiner should
 consider **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**.
 


**[Pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** allows
 the use of certain international application publications and U.S. patent application
 publications, and certain U.S. patents as prior art under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** as of their respective U.S. filing dates, including
 certain international filing dates. The prior art date of a reference under
 **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** may be the international filing date if the
 international filing date was on or after November 29, 2000, the international
 application designated the United States, and the international application was
 published by the World Intellectual Property Organization (WIPO) under the Patent
 Cooperation Treaty **[(PCT) Article 21(2)](mpep-9025-appx-t.html#d0e363634)** in the English language. See
 **[MPEP §
 2136](s2136.html#d0e205544)** for examination guidelines on the application of
 **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. References based on international applications
 that were filed prior to November 29, 2000 are subject to the "pre-AIPA" version of
 35 U.S.C. 102(e) in force on November 28, 2000. See **[subsection
 III](s2139.html#ch700_d222ef_29c79_2c1)**, below and **[MPEP § 2136.03](s2136.html#d0e205924)** for additional
 information.
 


In order to apply a reference under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**, the inventive entity of the application must be
 different from that of the reference. Note that, where there are joint inventors,
 only one joint inventor needs to be different for the inventive entities to be
 different and a rejection under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** is
 applicable even if there are some joint inventors in common between the application
 and the reference.
 



#### *35 U.S.C. 102 (pre-AIA)  
 Conditions for patentability; novelty and
 loss of right to patent.*


\*\*\*\*\*


* (e) the invention was described in — (1) an
 application for patent, published under **[section 122(b)](mpep-9015-appx-l.html#d0e303063)**, by
 another filed in the United States before the invention by the applicant for
 patent or (2) a patent granted on an application for patent by another filed
 in the United States before the invention by the applicant for patent,
 except that an international application filed under the treaty defined in
 **[section
 351(a)](mpep-9015-appx-l.html#d0e306875)** shall have the effects for the purposes of this
 subsection of an application filed in the United States only if the
 international application designated the United States and was published
 under **[Article 21(2)](mpep-9025-appx-t.html#d0e363634)** of such treaty in the English language;
 or


\*\*\*\*\*



**[Pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** has two separate clauses, namely, **[pre-AIA 35 U.S.C.
 102(e)(1)](mpep-9015-appx-l.html#d0e302407)** for publications of patent applications and
 **[pre-AIA 35
 U.S.C. 102(e)(2)](mpep-9015-appx-l.html#d0e302407)** for U.S. patents. **[Pre-AIA 35 U.S.C.
 102(e)(1)](mpep-9015-appx-l.html#d0e302407)**, in combination with **[pre-AIA 35 U.S.C.
 374](mpep-9015-appx-l.html#d0e307311)**, created a new category of prior art by providing prior art
 effect for certain publications of patent applications, including certain
 international applications, as of their effectively filed dates in the United States
 (which include certain international filing dates). Under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**, an international filing date which is on or after
 November 29, 2000 is the United States filing date if the international application
 designated the United States and was published by the World Intellectual Property
 Organization (WIPO) under the Patent Cooperation Treaty **[(PCT) Article
 21(2)](mpep-9025-appx-t.html#d0e363634)** in the English language. Therefore, the prior art date of
 a reference under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** may be the international filing date
 (if all three conditions noted above are met) or an earlier U.S. filing date for
 which priority or benefit is properly claimed.
 


Publication under **[PCT Article 21(2)](mpep-9025-appx-t.html#d0e363634)** may result from
 a request for early publication by an applicant of an international application or
 after the expiration of 18-months after the earliest claimed priority date in an
 international application. International applications, which: (1) were filed prior to
 November 29, 2000, or (2) did not designate the U.S., or (3) were not published in
 English under **[PCT
 Article 21(2)](mpep-9025-appx-t.html#d0e363634)** by WIPO, may not be used to reach back (bridge)
 to an earlier filing date through a priority or benefit claim for prior art purposes
 under **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. An international filing date which is on or
 after November 29, 2000 is a United States filing date for purposes of determining
 the earliest effective prior art date of a patent if the international application
 designated the United States and was published in the English language under
 **[PCT Article
 21(2)](mpep-9025-appx-t.html#d0e363634)** by WIPO. No international filing dates prior to November
 29, 2000 may be relied upon as a prior art date under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**. 
 

**III.** **"PRE-AIPA" 35 U.S.C. 102(e) AS IN FORCE ON NOVEMBER 28, 2000**
#### *"Pre-AIPA" 35 U.S.C. 102  
 Conditions for patentability; novelty and
 loss of right to patent (as in force on November 28, 2000).*


A person shall be entitled to a patent unless - 


\*\*\*\*\*


* (e) the invention was described in a patent
 granted on an application for patent by another filed in the United States
 before the invention thereof by the applicant for patent, or on an
 international application by another who has fulfilled the requirements of
 paragraphs (1), (2), and (4) of section 371(c) of this title before the
 invention thereof by the applicant for patent.


\*\*\*\*\*



Patents issued directly, or indirectly, from
 international applications filed before November 29, 2000 may only be used as prior
 art based on the provisions of pre-AIPA 35 U.S.C. 102(e) as in force on November 28,
 2000. Thus, the pre-AIPA 35 U.S.C. 102(e) date of such a prior art patent is the
 earliest of the date of compliance with 35 U.S.C. 371(c)(1), (2) and (4), or the
 filing date of the later-filed U.S. continuing application that claimed the benefit
 of the international application. Publications of international applications filed
 before November 29, 2000 (which would include WIPO publications and U.S. publications
 of the national stage (35 U.S.C. 371)) do not have a pre-AIPA 35 U.S.C. 102(e) date
 at all (however, such publications are available as prior art under **[pre-AIA 35 U.S.C. 102(a)
 or (b)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** as of their publication date).
 

**IV.** **PRE-AIA 35 U.S.C. 102(a)**Even if the reference is prior art under
 **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**, the examiner should still consider
 **[pre-AIA 35 U.S.C. 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** for two reasons. First, if the
 reference is a U.S. patent or patent application publication of, or claims benefit
 of, an international application, the publication of the international application
 under **[PCT Article
 21(2)](mpep-9025-appx-t.html#d0e363634)** may be the earliest prior art date under
 **[pre-AIA 35 U.S.C. 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** for the disclosure. Second,
 references that are only prior art under **[pre-AIA 35 U.S.C. 102(e), (f), or
 (g)](mpep-9015-appx-l.html#d0e302407)** and applied in a rejection under **[pre-AIA 35 U.S.C.
 103(a)](mpep-9015-appx-l.html#d0e302455)** are subject to being disqualified under
 **[pre-AIA 35
 U.S.C. 103(c)](mpep-9015-appx-l.html#d0e302521)** if the reference and the application were
 commonly owned, or subject to an obligation of common assignment, at the time the
 invention was made. For **[pre-AIA 35 U.S.C. 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** to
 apply, the reference must have a publication date earlier in time than the effective
 filing date of the application under examination, and must not be the inventor or at
 least one joint inventor's own work. 
 


If the claimed invention is the subject of activity by
 an entity other than the inventor(s), such as sale by another, manufacture by another
 or disclosure of the invention by at least one joint inventor to another entity then
 both **[pre-AIA 35
 U.S.C. 102(a) and (b)](mpep-9015-appx-l.html#d0e302391)** may be applicable. If the evidence only
 points to knowledge within the year prior to the effective filing date then
 **[pre-AIA 35
 U.S.C. 102(a)](mpep-9015-appx-l.html#d0e302391)** applies. However, no rejection under
 **[pre-AIA 35
 U.S.C. 102(a)](mpep-9015-appx-l.html#d0e302391)** should be made if there is evidence that
 applicant made the invention and only disclosed it to others within the year prior to
 the effective filing date.
 




# 2139.03 Form Paragraphs for Use in Rejections Under
 Pre-AIA 35 U.S.C. 102 [R-10.2019]


The following form paragraphs should be used in making
 the appropriate rejections. Note that the particular part of the reference relied upon
 to support the rejection should be identified. 
 


# ¶ 7.06 Notice re prior art available under both pre-AIA and
 AIA


In the event the determination of the status of the application as subject
 to AIA **[35 U.S.C.
 102](mpep-9015-appx-l.html#al_d1fbe1_234ed_52)** and **[103](mpep-9015-appx-l.html#al_d1fbe1_19797_b0)** (or as subject to **[pre-AIA 35 U.S.C. 102](mpep-9015-appx-l.html#d0e302383)**
 and **[103](mpep-9015-appx-l.html#d0e302450)**)
 is incorrect, any correction of the statutory basis for the rejection will not be considered a
 new ground of rejection if the prior art relied upon, and the rationale supporting the
 rejection, would be the same under either status.
 


### Examiner Note:

 * 1.  This form paragraph must be used in all Office
 Actions when a prior art rejection is made in an application with an actual filing
 date on or after March 16, 2013, that claims priority to, or the benefit of, an
 application filed before March 16, 2013.
* 2.  This form paragraph should only be used ONCE in an
 Office action.



# ¶ 7.07.fti Statement of Statutory Basis, pre-AIA 35 U.S.C.
 102


The following is a quotation of the appropriate paragraphs of
 **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)** that form the basis for the rejections under this section made in
 this Office action:
 


A person shall be entitled to a patent
 unless—
 


### Examiner Note:

 * 1. The statute is no longer being re-cited in all Office
 actions. It is only required in first actions on the merits and final rejections. Where
 the statute is not being cited in an action on the merits, use form paragraph
 **[7.103](#fp7.103)**.
* 2. Form paragraphs **[7.07.fti](#fp7.07.fti)** to
 **[7.14.fti](#fp7.14.fti)**
 are to be used ONLY ONCE in a given Office action.
* 3. For applications with an actual filing date on or
 after March 16, 2013, that claim priority to, or the benefit of, an application filed
 before March 16, 2013, this form paragraph must be preceded by form
 paragraph**[7.06](#fp7.06)**.



# ¶ 7.08.fti Pre-AIA 102(a), Activity by Another Before Invention by
 Applicant


(a) the invention was known or used by others in this
 country, or patented or described in a printed publication in this or a foreign country,
 before the invention thereof by the applicant for a patent.
 


### Examiner Note:


This form paragraph must be preceded by form paragraph
 **[7.07.fti.](#fp7.07.fti)**



# ¶ 7.09.fti Pre-AIA 102(b), Activity More Than One Year Prior to
 Filing


(b) the invention was patented or described in a printed
 publication in this or a foreign country or in public use or on sale in this country, more
 than one year prior to the date of application for patent in the United
 States.
 


### Examiner Note:


This form paragraph must be preceded by form paragraph
 **[7.07.fti](#fp7.07.fti)**,
 and may be preceded by form paragraph **[7.08.fti](#fp7.08.fti)**.
 



# ¶ 7.10.fti Pre-AIA 102(c), Invention Abandoned


(c) he has abandoned the invention.


### Examiner Note:


This form paragraph must be preceded by form paragraph
 **[7.07.fti](#fp7.07.fti)**,
 and may be preceded by one or more of form paragraphs **[7.08.fti](#fp7.08.fti)** and **[7.09.fti](#fp7.09.fti)**.
 



# ¶ 7.11.fti Pre-AIA 102(d), Foreign Patenting


(d) the invention was first patented or caused to be
 patented, or was the subject of an inventor’s certificate, by the applicant or his legal
 representatives or assigns in a foreign country prior to the date of the application for
 patent in this country on an application for patent or inventor’s certificate filed more than
 twelve months before the filing of the application in the United States.
 


### Examiner Note:


This form paragraph must be preceded by form paragraph
 **[7.07.fti](#fp7.07.fti)**,
 and may be preceded by one or more of form paragraphs **[7.08.fti](#fp7.08.fti)** to **[7.10.fti](#fp7.10.fti)**.
 



# ¶ 7.12.fti Pre-AIA 35 U.S.C 102(e), Patent Application Publication or
 Patent to Another with Earlier Filing Date, in view of the American Inventors Protection Act
 of 1999 (AIPA) and the Intellectual Property and High Technology Technical Amendments Act of
 2002


(e) the invention was described in (1) an application for
 patent, published under section **[122(b)](mpep-9015-appx-l.html#d0e303063)**, by another filed in the United
 States before the invention by the applicant for patent or (2) a patent granted on an
 application for patent by another filed in the United States before the invention by the
 applicant for patent, except that an international application filed under the treaty defined
 in section **[351(a)](mpep-9015-appx-l.html#d0e306875)** shall have the effects for purposes of this subsection of an
 application filed in the United States only if the international application designated the
 United States and was published under **[Article 21(2)](mpep-9025-appx-t.html#d0e363634)** of such treaty in the
 English language.
 


### Examiner Note:

 * 1. This form paragraph should only be used if the
 reference is one of the following:
	+ a U.S. patent or a publication of a U.S.
	 application for patent filed under **[35 U.S.C. 111(a)](mpep-9015-appx-l.html#d0e302678)**;
	+ a U.S. patent issued directly or indirectly from,
	 or a U.S. or WIPO publication of, an international application (i.e., a PCT
	 application) if the international application has an international filing date on or
	 after November 29, 2000;
	+ a U.S. patent issued from, or a WIPO
	 publication of, an international design application that designates the United
	 States.
* 2. In determining the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date,
 consider benefit claims to earlier-filed U.S. provisional applications under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, and to earlier-filed U.S. nonprovisional applications and
 international applications under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** if the subject matter used to
 make the rejection is appropriately supported in the relied upon earlier-filed
 application’s disclosure (and any intermediate application(s)). Do NOT consider foreign
 priority claims under **[35 U.S.C. 119(a) - (d)](mpep-9015-appx-l.html#d0e302926pre)**,
 **[365(a) or
 (b)](mpep-9015-appx-l.html#d0e307039)**, or **[386(a) or (b)](mpep-9015-appx-l.html#al_d225a2_29a27_324)**. 
 
>  


In addition, a reference (i.e., a U.S. patent, published U.S.
 patent application, or WIPO publication) is entitled to the benefit of the filing date
 of a provisional application only if at least one of the claims in the reference is
 supported by the written description of the provisional application in compliance with
 **[pre-AIA 35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824)**, first paragraph or **[35 U.S.C.
 112(a)](mpep-9015-appx-l.html#al_d1d85b_2ae60_3d5)**. See *Dynamic Drinkware, LLC, v. National Graphics,
 Inc.,* 800 F.3d 1375, 116 USPQ2d 1045 (Fed. Cir. 2015) and *Amgen v.
 Sanofi*, 872 F.3d 1367, 1380 (Fed. Cir. 2017).
* 3. In order to rely on an international filing date for
 prior art purposes under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**, the
 international application (PCT) must have been filed on or after November 29, 2000, it
 must have designated the U.S., and the international publication under **[PCT Article
 21(2)](mpep-9025-appx-t.html#d0e363634)** by WIPO must have been in English. If any one of the
 conditions is not met, the international filing date is not a U.S. filing date for prior
 art purposes under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**.
* 4. If an international application (PCT) was published
 by WIPO in a language other than English, or did not designate the U.S., the
 international application’s publication by WIPO, the U.S. publication of the national
 stage application (**[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**) of the international
 application and a U.S. patent issued from the national stage of the international
 application may not be applied as a reference under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**. The reference may be applied under **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[(b)](mpep-9015-appx-l.html#d0e302395)** as of its publication date. See
 form paragraphs **[7.08.fti](#fp7.08.fti)**  and **[7.09.fti](#fp7.09.fti)**.
* 5. If an international application (PCT) was published by WIPO in a
 language other than English, the U.S. publication of, or a U.S. patent issued from, a
 continuing application claiming benefit under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** to such an international application, has a
 **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** date as of the earliest U.S. filing date after the
 international filing date.
* 6. If the reference is a U.S. patent issued directly, or
 indirectly, from an international application (PCT) that has an international filing
 date prior to November 29, 2000, use form paragraph **[7.12.01.fti](#fp7.12.01.fti)**. In that situation,
 **[pre-AIPA 35 U.S.C. 102(e)](s2139.html#ch700_d222ef_29c79_2c1)** is applicable in
 the determination of the prior art date of the patent issued from such an international
 application.
* 7. If the reference is a publication of an
 international application (PCT), including the U.S. publication of a national stage
 (**[35 U.S.C.
 371](mpep-9015-appx-l.html#d0e307164)**), that has an international filing date prior to November 29,
 2000, do not use this form paragraph. Such a reference may not be applied as a prior art
 reference under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. The reference may be applied under
 **[pre-AIA 35
 U.S.C. 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[(b)](mpep-9015-appx-l.html#d0e302395)** as of its publication date. See
 form paragraphs **[7.08.fti](#fp7.08.fti)** and **[7.09.fti](#fp7.09.fti)**.
* 8. This form paragraph must be preceded by form
 paragraph **[7.07.fti](#fp7.07.fti)**, and may be preceded by one or more of form
 paragraphs **[7.08.fti](#fp7.08.fti)**  to **[7.11.fti](#fp7.11.fti)**.



# ¶ 7.12.01.fti Pre-AIPA 35 U.S.C. 102(e), Patent to Another with Earlier
 Filing Date, Reference is a U.S. Patent Issued Directly or Indirectly From a National Stage
 of, or a Continuing Application Claiming Benefit to, an International Application Having an
 International Filing Date Prior to November 29, 2000


(e) the invention was described in a patent granted on an
 application for patent by another filed in the United States before the invention thereof by
 the applicant for patent, or on an international application by another who has fulfilled the
 requirements of paragraphs (1), (2), and (4) of section **[371(c)](mpep-9015-appx-l.html#d0e307183)** of this title
 before the invention thereof by the applicant for patent. 
 


The changes made to 35 U.S.C. 102(e) by the American
 Inventors Protection Act of 1999 (AIPA) and the Intellectual Property and High Technology
 Technical Amendments Act of 2002 do not apply when the reference is a U.S. patent resulting
 directly or indirectly from an international application filed before November 29, 2000.
 Therefore, the prior art date of the reference is determined under 35 U.S.C. 102(e) prior to
 the amendment by the AIPA (**pre-AIPA** 35 U.S.C. 102(e)).
 


### Examiner Note:

 * 1. This form paragraph should only be used if the
 reference is a U.S. patent issued directly or indirectly from either a national stage of
 an international application (application under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**)
 which has an international filing date prior to November 29, 2000, or a continuing
 application claiming benefit to an international application having an international
 filing date prior to November 29, 2000.
* 2. If the reference is a U.S. patent issued directly from a
 national stage of such an international application, the reference’s**pre-AIPA** 35 U.S.C. 102(e) date is the date that the requirements of
 **[35 U.S.C.
 371(c)(1), (2) and (4)](mpep-9015-appx-l.html#d0e307187)** were fulfilled. The language of WIPO
 publication (PCT) is not relevant in this situation. Caution: the international
 publication of the international application (PCT) by WIPO may have an earlier prior art
 date under **[pre-AIA 35 U.S.C. 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** or **[pre-AIA 102(b)](mpep-9015-appx-l.html#d0e302395)**.
* 3. If the reference is a U.S. patent issued directly from a
 continuing application claiming benefit under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313)**, **[121](mpep-9015-appx-l.html#d0e303040912)** or
 **[365(c)](mpep-9015-appx-l.html#d0e307053)** to such an international application (which had not
 entered the national stage prior to the continuing application’s filing date, otherwise
 see note 4), the prior art reference’s **pre-AIPA** 35 U.S.C. 102(e) date is
 the actual U.S. filing date of the continuing application. Caution: the international
 publication of the international application (PCT) by WIPO may have an earlier prior art
 date under **[pre-AIA 35
 U.S.C. 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[pre-AIA 102(b)](mpep-9015-appx-l.html#d0e302395)**.
* 4. In determining the **pre-AIPA** 35 U.S.C. 102(e) date,
 consider benefit claims to earlier-filed U.S. provisional applications under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, and to earlier-filed U.S. nonprovisional applications and
 international applications under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313)**, **[121](mpep-9015-appx-l.html#d0e303040912)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** only if the subject matter
 used to make the rejection is appropriately supported in the relied upon earlier-filed
 application’s disclosure (and any intermediate application(s)). A benefit claim to a
 U.S. patent of an earlier-filed international application may only result in an
 effective U.S. filing date as of the date the requirements of **[35 U.S.C. 371(c)(1), (2) and
 (4)](mpep-9015-appx-l.html#d0e307187)** were fulfilled. Do NOT consider any benefit claims to U.S.
 applications which are filed before an international application. Do NOT consider
 foreign priority claims under **[35 U.S.C. 119(a)](mpep-9015-appx-l.html#d0e302926)**-**[(d)](mpep-9015-appx-l.html#d0e302947)**,
  **[365(a) or
 (b)](mpep-9015-appx-l.html#d0e307039)**, or **[386(a) or (b)](mpep-9015-appx-l.html#al_d225a2_27b56_2ab)**. 
 In addition, a reference (i.e., a U.S. patent, published U.S.
 patent application, or WIPO publication) is entitled to the benefit of the filing date
 of a provisional application only if at least one of the claims in the reference is
 supported by the written description of the provisional application in compliance with
 **[pre-AIA 35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824)**, first paragraph or **[35 U.S.C.
 112(a)](mpep-9015-appx-l.html#al_d1d85b_2ae60_3d5)**. See *Dynamic Drinkware, LLC, v. National Graphics,
 Inc.,* 800 F.3d 1375, 116 USPQ2d 1045 (Fed. Cir. 2015) and *Amgen v.
 Sanofi*, 872 F.3d 1367, 1380 (Fed. Cir. 2017).
* 5. This form paragraph must be preceded by form
 paragraph **[7.07.fti](#fp7.07.fti)**, and may be preceded by one or more of form
 paragraphs **[7.08.fti](#fp7.08fti)** to **[7.11.fti](#fp7.11fti)**.



# ¶ 7.13.fti Pre-AIA 102(f), Applicant Not the Inventor


(f) he did not himself invent the subject matter sought to
 be patented.
 


### Examiner Note:

 * This form paragraph must be preceded by form
 paragraph **[7.07.fti](#fp7.07.fti)**, and may be preceded by one or more of form
 paragraphs **[7.08.fti](#fp7.08.fti)** to **[7.12.fti](#fp7.12.fti)**.



# ¶ 7.14.fti Pre-AIA 102(g), Priority of Invention


(g)(1) during the course of an interference conducted under
 section **[135](mpep-9015-appx-l.html#al_d1fbe1_19834_19b)** or section **[291](mpep-9015-appx-l.html#al_d1fbe1_198be_137)**, another inventor involved therein
 establishes, to the extent permitted in section **[104](mpep-9015-appx-l.html#al_d1fbe1_197a5_8)**, that before
 such person’s invention thereof the invention was made by such other inventor and not
 abandoned, suppressed, or concealed, or (2) before such person’s invention thereof, the
 invention was made in this country by another inventor who had not abandoned, suppressed, or
 concealed it. In determining priority of invention under this subsection, there shall be
 considered not only the respective dates of conception and reduction to practice of the
 invention, but also the reasonable diligence of one who was first to conceive and last to
 reduce to practice, from a time prior to conception by the other.
 


### Examiner Note:

 * This form paragraph must be preceded by form
 paragraph **[7.07.fti](#fp7.07.fti)**, and may be preceded by one or more of form
 paragraphs **[7.08.fti](#fp7.08.fti)** to **[7.13.fti](#fp7.13.fti)**.



# ¶ 7.15.fti Rejection, Pre-AIA 35 U.S.C. 102(a), (b) Patent or Publication,
 and (g)


Claim(s) **[1]** is/are rejected under **[pre-AIA 35 U.S.C. 102](mpep-9015-appx-l.html#d0e302383)****[2]** as being **[3]** by **[4]**.
 


### Examiner Note:

 * 1. In bracket 2, insert the appropriate paragraph letter or letters
 of **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)** in parentheses. If paragraph (e) of **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)** is applicable, use form paragraph **[7.15.01.fti](#fp7.15.01.fti)**,
 **[7.15.02.fti](#fp7.15.02.fti)** or **[7.15.03.fti](#fp7.15.03.fti)**.
* 2. In bracket 3, insert either --clearly anticipated-- or
 --anticipated-- with an explanation at the end of the paragraph.
* 3. In bracket 4, insert the prior art relied upon.
* 4. This rejection must be preceded either by form paragraph
 **[7.07.fti](#fp7.07.fti )**
 and form paragraphs **[7.08.fti](#fp7.08.fti)**, **[7.09.fti](#fp7.09.fti)**, and
 **[7.14.fti](#fp7.14.fti)**
 as appropriate, or by form paragraph **[7.103](#fp7.103)**.
* 5. If **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** is also
 being applied, this form paragraph must be followed by either form paragraph
 **[7.15.01.fti](#fp7.15.01.fti)**, **[7.15.02.fti](#fp7.15.02.fti)** or
 **[7.15.03.fti](#fp7.15.03.fti)**.
* 6. For applications with an actual filing date on or after March 16,
 2013, that claim priority to, or the benefit of, an application filed before March 16,
 2013, this form paragraph must be preceded by form paragraph **[7.06](#fp7.06)**.



# ¶ 7.15.01.fti Provisional Rejection, Pre-AIA 35 U.S.C. 102(e) - Common
 Assignee, Common Applicant, or At Least One Common Joint Inventor


Claim(s) **[1]** is/are provisionally rejected under
 **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** as being anticipated by copending Application No. **[2]** which has a common **[3]** with the instant application.
 


Based upon the earlier effective U.S. filing date of the copending
 application, it would constitute prior art under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**, if published
 under **[35 U.S.C.
 122(b)](mpep-9015-appx-l.html#d0e303063)** or patented. This provisional rejection under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**
 is based upon a presumption of future publication or patenting of the copending application.
 **[4]**.
 


This provisional rejection under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** might be overcome
 either by a showing under **[37
 CFR 1.132](mpep-9020-appx-r.html#d0e323552)** that any invention disclosed but not claimed in the copending
 application was derived from the inventor of this application and is thus not the invention
 "by another," or by an appropriate showing under **[37 CFR 1.131(a)](mpep-9020-appx-r.html#aia_d0e323512)**. 
 


This rejection may not be overcome by the filing of a terminal
 disclaimer. See *In re Bartfeld*, 925 F.2d 1450, 17 USPQ2d 1885 (Fed. Cir.
 1991).
 


### Examiner Note:

 * 1. This form paragraph is used to provisionally reject over a
 copending application with an earlier filing date that discloses the claimed invention
 which has not been published under **[35 U.S.C. 122](mpep-9015-appx-l.html#d0e303054)**. The copending
 application must have either a common assignee, a common applicant (**[35 U.S.C. 118](mpep-9015-appx-l.html#d0e302910912)**),
 or at least one common joint inventor.
* 2. Use **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** as amended
 by the American Inventors Protection Act (AIPA) and the Intellectual Property and High
 Technology Technical Amendments Act of 2002 (form paragraph **[7.12.fti](#fp7.12.fti)**) to determine the copending
 application’s prior art date, unless the copending application is based directly, or
 indirectly, from an international application which has an international filing date
 prior to November 29, 2000. If the copending application is either a national stage of
 an international application (application under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**) which has an
 international filing date prior to November 29, 2000, or a continuing application
 claiming benefit under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** to an international
 application having an international filing date prior to November 29, 2000, use
 **[pre-AIPA
 35 U.S.C. 102(e)](s2139.html#ch700_d222ef_29c79_2c1)** (form paragraph **[7.12.01.fti](#fp7.12.01.fti)**). See the Examiner
 Notes for form paragraphs **[7.12.fti](#fp7.12.fti)** and **[7.12.01.fti](#fp7.21.01.fti)** to assist in the
 determination of the reference’s **[35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date.
* 3. If the claims would have been obvious over the invention
 disclosed in the other copending application, use form paragraph
 **[7.21.01.fti](#fp7.21.01.fti)**.
* 4. In bracket 3, insert --assignee--, --applicant--, or --joint
 inventor--.
* 5. In bracket 4, an appropriate explanation may be provided in
 support of the examiner’s position on anticipation, if necessary.
* 6. Under **[35 U.S.C. 101](mpep-9015-appx-l.html#d0e302376)**, two patents are not
 permitted to issue on identical subject matter. Any claims in the instant application
 directed to the same invention claimed in the reference should be provisionally rejected
 using form paragraphs **[8.30](#fp8.30)** and **[8.32](#fp8.32)**. Additionally, the applicant should be required to
 amend or cancel claims such that the applied reference and the instant application no
 longer contain claims directed to the same invention using form paragraph
 **[8.27.fti](#fp8.27.fti)**.
* 7. Any claims in the instant application that are directed to
 subject matter that is not patentably distinct from an invention claimed in the
 reference should be rejected (or provisionally rejected if the reference has not yet
 issued as a patent) on the grounds of nonstatutory double patenting using form paragraph
 **[8.33](#fp8.33)** and at
 least one of form paragraphs **[8.34](#fp8.34)** - **[8.39](#fp8.39)**.
* 8. If evidence is additionally of record to show that either
 invention is prior art to the other under **[pre-AIA 35 U.S.C. 102(f)](mpep-9015-appx-l.html#d0e302420)** or
 **[(g)](mpep-9015-appx-l.html#d0e302424)**, a rejection using form paragraphs
 **[7.13.fti](#fp7.13.fti)** and/or **[7.14.fti](#fp7.14.fti)** should also be made.
* 9. For applications with an actual filing date on or after March
 16, 2013 that claim priority to, or the benefit of, an application filed before March
 16, 2013, this form paragraph must be preceded by form paragraph
 **[7.06](#fp7.06)**.



# ¶ 7.15.02.fti Rejection, Pre-AIA 35 U.S.C. 102(e), Common Assignee,
 Applicant, or Joint Inventor


Claim(s) **[1]** is/are rejected under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**
 as being anticipated by **[2]**.
 


The applied reference has a common **[3]** with the instant
 application. Based upon the earlier effective U.S. filing date of the reference, it
 constitutes prior art under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. This rejection under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**
 might be overcome either by a showing under **[37 CFR 1.132](mpep-9020-appx-r.html#d0e323552)** that any invention disclosed
 but not claimed in the reference was derived from the inventor or joint inventors (i.e., the
 inventive entity) of this application and is thus not the invention "by another," or if the
 same invention is not being claimed, by an appropriate showing under **[37 CFR 1.131(a)](mpep-9020-appx-r.html#aia_d0e323512)**.
 


### Examiner Note:

 * 1. This form paragraph is used to reject over a patent or patent
 application publication with an earlier effective filing date. The patent or patent
 application publication must have either a common assignee, a common applicant
 (**[35 U.S.C.
 118](mpep-9015-appx-l.html#d0e302910912)**), or a common joint inventor.
* 2. **[Pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** as amended by the American Inventors Protection Act of 1999
 (AIPA) and the Intellectual Property and High Technology Technical Amendments Act of
 2002 (form paragraph **[7.12.fti](#fp7.12.fti)**) must be applied if the reference is by
 another and is one of the following:
	+ a U.S. patent or a publication of a U.S. application for
	 patent filed under **[35 U.S.C. 111(a)](mpep-9015-appx-l.html#d0e302678)**;
	+ a U.S. patent issued directly or indirectly from, or a U.S.
	 or WIPO publication of, **an international application (PCT) if the international
	 application has an international filing date on or after November 29,
	 2000**;
	+ a U.S. patent issued from, or a WIPO publication of, an
	 international design application that designates the United States.See the Examiner Notes for form paragraph
 **[7.12.fti](#fp7.12.fti)**
 to assist in the determination of the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date of the
 reference.
* 3. **[Pre-AIPA
 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** (form paragraph **[7.12.01.fti](#fp7.12.01.fti)**) must be applied if
 the reference is a U.S. patent issued directly, or indirectly, from an international
 application filed prior to November 29, 2000. See the Examiner Notes for form paragraph
 **[7.12.01.fti](#fp7.12.01.fti)** to assist in the determination of the
 **[pre-AIPA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date of the
 reference.
* 4. In determining the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date,
 consider benefit claims to earlier-filed U.S. provisional applications under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, and to earlier-filed U.S. nonprovisional applications and
 international applications under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040912)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** if the subject matter used to
 make the rejection is appropriately supported in the relied upon earlier-filed
 application’s disclosure (and any intermediate application(s)). A benefit claim to a
 U.S. patent of an earlier-filed international application, which has an international
 filing date prior to November 29, 2000, may only result in an effective U.S. filing date
 as of the date the requirements of **[35 U.S.C. 371(c)(1)](mpep-9015-appx-l.html#d0e307187)**,
 **[(2)](mpep-9015-appx-l.html#d0e307194)** and **[(4)](mpep-9015-appx-l.html#d0e307205)** were fulfilled. Do NOT consider
 any benefit claims to U.S. applications which are filed before an international
 application that has an international filing date prior to November 29, 2000. Do NOT
 consider foreign priority claims under **[35 U.S.C. 119(a)](mpep-9015-appx-l.html#d0e302926pre)** - **[(d)](mpep-9015-appx-l.html#d0e302926pre)**,
 **[365(a) or
 (b)](mpep-9015-appx-l.html#d0e307039)**, or **[386(a) or (b)](mpep-9015-appx-l.html#al_d225a2_29a27_324)**. 
 In addition, a reference (i.e., a U.S. patent, published U.S.
 patent application, or WIPO publication) is entitled to the benefit of the filing date
 of a provisional application only if at least one of the claims in the reference is
 supported by the written description of the provisional application in compliance with
 **[pre-AIA 35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824)**, first paragraph or **[35 U.S.C.
 112(a)](mpep-9015-appx-l.html#al_d1d85b_2ae60_3d5)**. See *Dynamic Drinkware, LLC, v. National Graphics,
 Inc.,* 800 F.3d 1375, 116 USPQ2d 1045 (Fed. Cir. 2015) and *Amgen v.
 Sanofi*, 872 F.3d 1367, 1380 (Fed. Cir. 2017).
* 5. If the reference is a publication of an international application
 (PCT), including voluntary U.S. publication under **[35 U.S.C. 122](mpep-9015-appx-l.html#d0e303054)** of the national stage
 or a WIPO PCT publication, that has an international filing date prior to November 29,
 2000, did not designate the United States or was not published in English by WIPO, do
 not use this form paragraph. Such a reference is not a prior art reference under
 **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**. The reference may be applied under **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[(b)](mpep-9015-appx-l.html#d0e302395)** as of its publication date. See
 form paragraphs **[7.08.fti](#fp7.08.fti)** and **[7.09.fti](#fp7.09.fti)**.
* 6. In bracket 3, insert --assignee--, --applicant--, or --joint
 inventor--.
* 7. This form paragraph must be preceded by either of form
 paragraphs **[7.12.fti](#fp7.12.fti)** or **[7.12.01.fti](#fp7.12.01.fti)**.
* 8. Patent application publications may only be used if this form
 paragraph was preceded by form paragraph **[7.12.fti](#fp7.12.fti)**.
* 9. For applications with an actual filing date on or after March
 16, 2013, that claim priority to, or the benefit of, an application filed before March
 16, 2013, this form paragraph must be preceded by form paragraph
 **[7.06](#fp7.06)**.
* 10. Under **[35 U.S.C. 101](mpep-9015-appx-l.html#d0e302376)**, two patents are not
 permitted to issue on identical subject matter. Any claims in the instant application
 directed to the same invention claimed in the reference should be rejected (or
 provisionally rejected if the reference has not yet issued as a patent) using form
 paragraphs **[8.30](#fp8.30)**
 - **[8.32](#fp8.32)**.
 Additionally, the applicant should be required to resolve any issue of priority under
 **[pre-AIA 35 U.S.C.
 102(g)](mpep-9015-appx-l.html#d0e302424)** and possibly **[pre-AIA 35 U.S.C. 102(f)](mpep-9015-appx-l.html#d0e302420)** using form
 paragraph **[8.27.fti](#fp8.27.fti)**. See **[MPEP § 804](s804.html#d0e98894)**, subsection II.A.
* 11. Any claims in the instant application that are directed to
 subject matter that is not patentably distinct from an invention claimed in the
 reference should be rejected (or provisionally rejected if the reference has not yet
 issued as a patent) on the grounds of nonstatutory double patenting using form paragraph
 **[8.33](#fp8.33)** and at
 least one of form paragraphs **[8.34](#fp8.34)** - **[8.39](#fp8.39)**.



# ¶ 7.15.03.fti Rejection, pre-AIA 35 U.S.C. 102(e), No Common Assignee or
 Inventor(s)


Claim(s) **[1]** is/are rejected under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**
 as being **[2]** by **[3]**.
 


### Examiner Note:

 * 1. This form paragraph is used to reject over a patent or patent
 application publication with an earlier filing date. The patent or patent application
 publication is not required to have a common assignee or a common inventor.
* 2. **[Pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** as amended by the American Inventors Protection Act of 1999
 (AIPA) and the Intellectual Property and High Technology Technical Amendments Act of
 2002 (form paragraph **[7.12.fti](#fp7.12.fti)**) must be applied if the reference is one of
 the following:
	+ a U.S. patent or a publication of a U.S. application for
	 patent filed under **[35 U.S.C. 111(a)](mpep-9015-appx-l.html#d0e302678aia)**;
	+ a U.S. patent issued directly or indirectly from, or a U.S. or
	 WIPO publication of, an international application (PCT) if the international
	 application has an international filing date on or after November 29, 2000;
	+ a U.S. patent issued from, or a WIPO publication of, an
	 international design application that designates the United States.See the Examiner Notes for form paragraph
 **[7.12.fti](#fp7.12.fti)**
 to assist in the determination of the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date of the
 reference.
* 3. **[Pre-AIPA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** (form paragraph **[7.12.01.fti](#fp7.12.01.fti)**) must be applied if
 the reference is a U.S. patent issued directly, or indirectly, from an international
 application filed prior to November 29, 2000. See the Examiner Notes for form paragraph
 **[7.12.01.fti](#fp7.12.01.fti)** to assist in the determination of the pre-AIPA 35 U.S.C.
 102(e) date of the reference.
* 4. In determining the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date,
 consider benefit claims to earlier-filed U.S. provisional applications under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, and to earlier-filed U.S. nonprovisional applications and
 international applications under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** if the subject matter used to
 make the rejection is appropriately supported in the relied upon earlier-filed
 application’s disclosure (and any intermediate application(s)). A benefit claim to a
 U.S. patent of an earlier-filed international application, which has an international
 filing date prior to November 29, 2000, may only result in an effective U.S. filing date
 as of the date the requirements of **[35 U.S.C. 371(c)(1)](mpep-9015-appx-l.html#d0e307187)**,
 **[(2)](mpep-9015-appx-l.html#d0e307194)** and **[(4)](mpep-9015-appx-l.html#d0e307205)** were fulfilled. Do NOT consider
 any benefit claims to U.S. applications which are filed before an international
 application that has an international filing date prior to November 29, 2000. Do NOT
 consider foreign priority claims under **[35 U.S.C. 119(a)](mpep-9015-appx-l.html#d0e302926pre)** - **[(d)](mpep-9015-appx-l.html#d0e302926pre)**,
 **[365(a) or
 (b)](mpep-9015-appx-l.html#d0e307039)**, or **[35 U.S.C. 386(a) or (b)](mpep-9015-appx-l.html#al_d225a2_29a27_324)**. 
 In addition, a reference (i.e., a U.S. patent, published U.S.
 patent application, or WIPO publication) is entitled to the benefit of the filing date
 of a provisional application only if at least one of the claims in the reference is
 supported by the written description of the provisional application in compliance with
 **[pre-AIA 35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824)**, first paragraph or **[35 U.S.C.
 112(a)](mpep-9015-appx-l.html#al_d1d85b_2ae60_3d5)**. See *Dynamic Drinkware, LLC, v. National Graphics,
 Inc.,* 800 F.3d 1375, 116 USPQ2d 1045 (Fed. Cir. 2015) and *Amgen v.
 Sanofi*, 872 F.3d 1367, 1380 (Fed. Cir. 2017).
* 5. If the reference is a publication of an international
 application (PCT), including voluntary U.S. publication under **[35 U.S.C. 122](mpep-9015-appx-l.html#d0e303054)** of
 the national stage or a WIPO (PCT) publication, that has an international filing date
 prior to November 29, 2000, did not designate the United States or was not published in
 English by WIPO, do not use this form paragraph. Such a reference is not a prior art
 reference under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. The reference may be applied under
 **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[(b)](mpep-9015-appx-l.html#d0e302395)** as of its publication date. See
 form paragraphs **[7.08.fti](#fp7.08.fti)** and **[7.09.fti](#fp7.09.fti)**.
* 6. In bracket 2, insert either --clearly anticipated-- or
 --anticipated-- with an explanation at the end of the paragraph.
* 7. In bracket 3, insert the prior art relied upon.
* 8. This form paragraph must be preceded by either of form paragraphs
 **[7.12.fti](#fp7.12.fti)** or **[7.12.01.fti](#fp7.12.01.fti)**.
* 9. Patent application publications may only be used if this form
 paragraph was preceded by form paragraph **[7.12.fti](#fp7.12.fti)**.



# ¶ 7.16.fti Rejection, pre-AIA 35 U.S.C. 102(b), Public Use or on
 Sale


Claim **[1]** rejected under **[pre-AIA 35 U.S.C.
 102(b)](mpep-9015-appx-l.html#d0e302395)** based upon a public use or sale of the invention.
 **[2]**


### Examiner Note:

 * 1. This form paragraph must be preceded either by form
 paragraphs **[7.07.fti](#fp7.07.fti)** and **[7.09.fti](#fp7.09.fti)** or by form paragraph
 **[7.103](#fp7.103)**.
* 2. A full explanation of the evidence establishing a
 public use or sale must be provided in bracket 2.



# ¶ 7.17.fti Rejection, pre-AIA 35 U.S.C. 102(c), Abandonment of
 Invention


Claim **[1]** rejected under **[pre-AIA 35 U.S.C. 102(c)](mpep-9015-appx-l.html#d0e302399)**
 because the invention has been abandoned. **[2]**


### Examiner Note:

 * 1. This form paragraph must be preceded either by form paragraph
 **[7.07.fti](#fp7.07.fti)**
 and **[7.10.fti](#fp7.10.fti)** or by form paragraph **[7.103](#fp7.103)**.
* 2. In bracket 2, insert a full explanation of the evidence
 establishing abandonment of the invention. See **[MPEP § 2134](s2134.html#d0e205168)**.



# ¶ 7.18.fti Rejection, pre-AIA 35 U.S.C. 102(d), Foreign
 Patenting


Claim **[1]** rejected under **[pre-AIA 35 U.S.C.
 102(d)](mpep-9015-appx-l.html#al_d1d85b_11ecb_1d1)** as being barred by applicants **[2]**. **[3]**


### Examiner Note:

 * 1. This form paragraph must be preceded either by form paragraphs
 **[7.07.fti](#fp7.07.fti)**
 and **[7.11.fti](#fp7.11.fti)**
 or by form paragraph **[7.103](#fp7.103)**.
* 2. In bracket 3, insert an explanation of this rejection which must
 include appropriate dates and how they make the foreign patent available under
 **[pre-AIA
 35 U.S.C. 102(d)](mpep-9015-appx-l.html#al_d1d85b_11ecb_1d1)**.
* 3. Refer to **[MPEP § 2135](s2135.html#d0e205278)** for applicable
 **[pre-AIA
 35 U.S.C. 102(d)](mpep-9015-appx-l.html#al_d1d85b_11ecb_1d1)** prior art.



# ¶ 7.19.fti Rejection, pre-AIA 35 U.S.C. 102(f), Applicant Not the
 Inventor


Claim **[1]** is/are rejected under **[pre-AIA 35 U.S.C. 102(f)](mpep-9015-appx-l.html#d0e302420)**
 because the applicant did not invent the claimed subject matter. **[2]**


### Examiner Note:

 * 1. This paragraph must be preceded either by paragraphs
 **[7.07.fti](#fp7.07.fti)**
 and **[7.13.fti](#fp7.13.fti)**
 or by paragraph **[7.103](#fp7.103)**.
* 2. In bracket 2, insert an explanation of the supporting evidence establishing that
 applicant was not the inventor. See **[MPEP § 2137](s2137.html#d0e206570)**.




[[top]](#top)


, 
# 2139.01 Effective Filing Date of a Claimed Invention
 Under Pre-AIA 35 U.S.C. 102 [R-10.2019]


In examining applications subject to **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)**, the effective filing date of the claimed invention is the
 actual filing date of the U.S. application, unless situation (A), (B), or (C) as set
 forth below applies. Note that the actual U.S. filing date of an application that
 entered the national stage under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)** is the international
 filing date. See **[35
 U.S.C. 363](mpep-9015-appx-l.html#d0e306994313)** and **[MPEP § 1893.03(b)](s1893.html#d0e191308)**.
 


* (A) If the application is a continuation or divisional of one or
 more earlier U.S. applications or international applications and if the
 requirements of **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313)** or
 **[365(c)](mpep-9015-appx-l.html#d0e307053)** have been satisfied, the effective filing date of
 the claimed invention is the same as the earliest filing date in the line of
 continuation or divisional applications.
* (B) If the application is a continuation-in-part of an earlier
 U.S. application or international application, any claims in the new application
 not supported by the specification and claims of the parent application have an
 effective filing date equal to the actual filing date of the new application. Any
 claims which are fully supported under **[35 U.S.C. 112](mpep-9015-appx-l.html#d0e302824)** by the earlier
 parent application have the effective filing date of that earlier parent
 application.
* (C) If the application properly claims benefit under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)** to a provisional application, the effective filing
 date of the claimed invention is the filing date of the provisional application
 for any claims which are fully supported under the first paragraph of
 **[35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824912)** by the provisional application.


The effective filing date for claims subject to
 **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)** is not the filing date of the foreign priority document,
 although the filing date of the foreign priority document may be used to overcome
 certain references. See **[MPEP § 2136.05](s2136.html#d0e206333)***et seq.*


See **[MPEP
 § 1893.03(c)](s1893.html#d0e191506)**, subsection III for benefit claims under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, **[120](mpep-9015-appx-l.html#d0e303023313)**, or **[365(c)](mpep-9015-appx-l.html#d0e307053)** in an
 application that entered the national stage under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**. See
 **[MPEP §§
 211.01(c)](s211.html#ch200_d1ff71_22ea8_22b)** and **[1895](s1895.html#d0e192715)** for additional information on
 determining the effective filing dates of claimed inventions in a continuation,
 divisional, or continuation-in-part of a PCT application designating the U.S. See also
 **[MPEP §§
 1895.01](s1895.html#d0e192774)** and **[1896](s1896.html#d0e193032)** which discuss differences between
 applications filed under **[35 U.S.C. 111(a)](mpep-9015-appx-l.html#d0e302673)** and international
 applications that enter national stage under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**.
 


, 
# 2139.02 Determining Whether To Apply Pre-AIA 35 U.S.C.
 102(a), (b), or (e) [R-10.2019]


*[Editor Note: This MPEP section is **not applicable** to applications
 subject to examination under the first inventor to file provisions of the AIA as
 explained in **[35 U.S.C. 100 (note)](mpep-9015-appx-l.html#al_d1d917_1bef1_2b)** and
 **[MPEP
 § 2159](s2159.html#ch2100_d20034_1dc34_1dd)**. See **[MPEP §
 2152.05](s2152.html#ch2100_d2c184_13c9f_236)** for the examination of applications subject to the
 first inventor to file provisions of the AIA.]*

**I.** **PRE-AIA 35 U.S.C. 102(b)**First, the examiner should consider whether the
 reference qualifies as prior art under **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)** because
 this section results in a statutory bar to obtaining a patent. If the publication or
 issue date of the reference is more than 1 year prior to the effective filing date of
 the claimed invention (**[MPEP § 2139.01](s2139.html#ch2100_d2c184_12530_2b6)**), the reference
 qualifies as prior art under **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)**.
 


Where the last day of the year dated from the date of
 publication falls on a Saturday, Sunday or federal holiday, the publication is not a
 statutory bar under **[pre-AIA 102(b)](mpep-9015-appx-l.html#d0e302395)** if the application was filed on the next
 succeeding business day. *Ex parte Olah,* 131 USPQ 41 (Bd. App.
 1960) (The Board in *Olah* held that **[35 U.S.C. 21(b)](mpep-9015-appx-l.html#d0e301443)**
 is applicable to the filing of an original application for patent and that
 applicant’s own activity will not bar a patent if the 1-year grace period expires on
 a Saturday, Sunday, or federal holiday and the application’s U.S. filing date is the
 next succeeding business day.). Despite changes to **[37 CFR
 1.6(a)(2)](mpep-9020-appx-r.html#d0e313465)** and **[1.10](mpep-9020-appx-r.html#d0e313951)** which permit the USPTO to
 accord a filing date to an application as of the date of deposit as Priority Mail
 Express® with the U.S. Postal Service in accordance
 with **[37
 CFR 1.10](mpep-9020-appx-r.html#ar_d1b14e_16b60_2be)** (e.g., a Saturday filing date), the rule changes do
 not affect applicant’s concurrent right to defer the filing of an application until
 the next business day when the last day for "taking any action" falls on a Saturday,
 Sunday, or federal holiday (e.g., the last day of the 1-year grace period falls on a
 Saturday).
 


If there is evidence of public use or sale activity
 more than one year prior to the effective filing date of the claimed invention, a
 rejection should be made under **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)**, which
 results in a statutory bar to obtaining a patent, rather than under **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)**. Note that mere knowledge of the invention by the public
 does not warrant rejection under **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)**,
 although public knowledge may provide grounds for rejection under **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)**. See **[MPEP §§ 2132](s2132.html#d0e203390)** and
 **[2133.03(a)](s2133.html#d0e203899)**. 
 

**II.** **PRE-AIA 35 U.S.C. 102(e)**If the publication or issue date of the reference is
 too recent for **[pre-AIA 35 U.S.C. 102(b)](mpep-9015-appx-l.html#d0e302395)** to apply, then the examiner should
 consider **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**.
 


**[Pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** allows
 the use of certain international application publications and U.S. patent application
 publications, and certain U.S. patents as prior art under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** as of their respective U.S. filing dates, including
 certain international filing dates. The prior art date of a reference under
 **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** may be the international filing date if the
 international filing date was on or after November 29, 2000, the international
 application designated the United States, and the international application was
 published by the World Intellectual Property Organization (WIPO) under the Patent
 Cooperation Treaty **[(PCT) Article 21(2)](mpep-9025-appx-t.html#d0e363634)** in the English language. See
 **[MPEP §
 2136](s2136.html#d0e205544)** for examination guidelines on the application of
 **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. References based on international applications
 that were filed prior to November 29, 2000 are subject to the "pre-AIPA" version of
 35 U.S.C. 102(e) in force on November 28, 2000. See **[subsection
 III](s2139.html#ch700_d222ef_29c79_2c1)**, below and **[MPEP § 2136.03](s2136.html#d0e205924)** for additional
 information.
 


In order to apply a reference under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**, the inventive entity of the application must be
 different from that of the reference. Note that, where there are joint inventors,
 only one joint inventor needs to be different for the inventive entities to be
 different and a rejection under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** is
 applicable even if there are some joint inventors in common between the application
 and the reference.
 



#### *35 U.S.C. 102 (pre-AIA)  
 Conditions for patentability; novelty and
 loss of right to patent.*


\*\*\*\*\*


* (e) the invention was described in — (1) an
 application for patent, published under **[section 122(b)](mpep-9015-appx-l.html#d0e303063)**, by
 another filed in the United States before the invention by the applicant for
 patent or (2) a patent granted on an application for patent by another filed
 in the United States before the invention by the applicant for patent,
 except that an international application filed under the treaty defined in
 **[section
 351(a)](mpep-9015-appx-l.html#d0e306875)** shall have the effects for the purposes of this
 subsection of an application filed in the United States only if the
 international application designated the United States and was published
 under **[Article 21(2)](mpep-9025-appx-t.html#d0e363634)** of such treaty in the English language;
 or


\*\*\*\*\*



**[Pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** has two separate clauses, namely, **[pre-AIA 35 U.S.C.
 102(e)(1)](mpep-9015-appx-l.html#d0e302407)** for publications of patent applications and
 **[pre-AIA 35
 U.S.C. 102(e)(2)](mpep-9015-appx-l.html#d0e302407)** for U.S. patents. **[Pre-AIA 35 U.S.C.
 102(e)(1)](mpep-9015-appx-l.html#d0e302407)**, in combination with **[pre-AIA 35 U.S.C.
 374](mpep-9015-appx-l.html#d0e307311)**, created a new category of prior art by providing prior art
 effect for certain publications of patent applications, including certain
 international applications, as of their effectively filed dates in the United States
 (which include certain international filing dates). Under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**, an international filing date which is on or after
 November 29, 2000 is the United States filing date if the international application
 designated the United States and was published by the World Intellectual Property
 Organization (WIPO) under the Patent Cooperation Treaty **[(PCT) Article
 21(2)](mpep-9025-appx-t.html#d0e363634)** in the English language. Therefore, the prior art date of
 a reference under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** may be the international filing date
 (if all three conditions noted above are met) or an earlier U.S. filing date for
 which priority or benefit is properly claimed.
 


Publication under **[PCT Article 21(2)](mpep-9025-appx-t.html#d0e363634)** may result from
 a request for early publication by an applicant of an international application or
 after the expiration of 18-months after the earliest claimed priority date in an
 international application. International applications, which: (1) were filed prior to
 November 29, 2000, or (2) did not designate the U.S., or (3) were not published in
 English under **[PCT
 Article 21(2)](mpep-9025-appx-t.html#d0e363634)** by WIPO, may not be used to reach back (bridge)
 to an earlier filing date through a priority or benefit claim for prior art purposes
 under **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. An international filing date which is on or
 after November 29, 2000 is a United States filing date for purposes of determining
 the earliest effective prior art date of a patent if the international application
 designated the United States and was published in the English language under
 **[PCT Article
 21(2)](mpep-9025-appx-t.html#d0e363634)** by WIPO. No international filing dates prior to November
 29, 2000 may be relied upon as a prior art date under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**. 
 

**III.** **"PRE-AIPA" 35 U.S.C. 102(e) AS IN FORCE ON NOVEMBER 28, 2000**
#### *"Pre-AIPA" 35 U.S.C. 102  
 Conditions for patentability; novelty and
 loss of right to patent (as in force on November 28, 2000).*


A person shall be entitled to a patent unless - 


\*\*\*\*\*


* (e) the invention was described in a patent
 granted on an application for patent by another filed in the United States
 before the invention thereof by the applicant for patent, or on an
 international application by another who has fulfilled the requirements of
 paragraphs (1), (2), and (4) of section 371(c) of this title before the
 invention thereof by the applicant for patent.


\*\*\*\*\*



Patents issued directly, or indirectly, from
 international applications filed before November 29, 2000 may only be used as prior
 art based on the provisions of pre-AIPA 35 U.S.C. 102(e) as in force on November 28,
 2000. Thus, the pre-AIPA 35 U.S.C. 102(e) date of such a prior art patent is the
 earliest of the date of compliance with 35 U.S.C. 371(c)(1), (2) and (4), or the
 filing date of the later-filed U.S. continuing application that claimed the benefit
 of the international application. Publications of international applications filed
 before November 29, 2000 (which would include WIPO publications and U.S. publications
 of the national stage (35 U.S.C. 371)) do not have a pre-AIPA 35 U.S.C. 102(e) date
 at all (however, such publications are available as prior art under **[pre-AIA 35 U.S.C. 102(a)
 or (b)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** as of their publication date).
 

**IV.** **PRE-AIA 35 U.S.C. 102(a)**Even if the reference is prior art under
 **[pre-AIA 35
 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**, the examiner should still consider
 **[pre-AIA 35 U.S.C. 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** for two reasons. First, if the
 reference is a U.S. patent or patent application publication of, or claims benefit
 of, an international application, the publication of the international application
 under **[PCT Article
 21(2)](mpep-9025-appx-t.html#d0e363634)** may be the earliest prior art date under
 **[pre-AIA 35 U.S.C. 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** for the disclosure. Second,
 references that are only prior art under **[pre-AIA 35 U.S.C. 102(e), (f), or
 (g)](mpep-9015-appx-l.html#d0e302407)** and applied in a rejection under **[pre-AIA 35 U.S.C.
 103(a)](mpep-9015-appx-l.html#d0e302455)** are subject to being disqualified under
 **[pre-AIA 35
 U.S.C. 103(c)](mpep-9015-appx-l.html#d0e302521)** if the reference and the application were
 commonly owned, or subject to an obligation of common assignment, at the time the
 invention was made. For **[pre-AIA 35 U.S.C. 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** to
 apply, the reference must have a publication date earlier in time than the effective
 filing date of the application under examination, and must not be the inventor or at
 least one joint inventor's own work. 
 


If the claimed invention is the subject of activity by
 an entity other than the inventor(s), such as sale by another, manufacture by another
 or disclosure of the invention by at least one joint inventor to another entity then
 both **[pre-AIA 35
 U.S.C. 102(a) and (b)](mpep-9015-appx-l.html#d0e302391)** may be applicable. If the evidence only
 points to knowledge within the year prior to the effective filing date then
 **[pre-AIA 35
 U.S.C. 102(a)](mpep-9015-appx-l.html#d0e302391)** applies. However, no rejection under
 **[pre-AIA 35
 U.S.C. 102(a)](mpep-9015-appx-l.html#d0e302391)** should be made if there is evidence that
 applicant made the invention and only disclosed it to others within the year prior to
 the effective filing date.
 


, 
# 2139.03 Form Paragraphs for Use in Rejections Under
 Pre-AIA 35 U.S.C. 102 [R-10.2019]


The following form paragraphs should be used in making
 the appropriate rejections. Note that the particular part of the reference relied upon
 to support the rejection should be identified. 
 


# ¶ 7.06 Notice re prior art available under both pre-AIA and
 AIA


In the event the determination of the status of the application as subject
 to AIA **[35 U.S.C.
 102](mpep-9015-appx-l.html#al_d1fbe1_234ed_52)** and **[103](mpep-9015-appx-l.html#al_d1fbe1_19797_b0)** (or as subject to **[pre-AIA 35 U.S.C. 102](mpep-9015-appx-l.html#d0e302383)**
 and **[103](mpep-9015-appx-l.html#d0e302450)**)
 is incorrect, any correction of the statutory basis for the rejection will not be considered a
 new ground of rejection if the prior art relied upon, and the rationale supporting the
 rejection, would be the same under either status.
 


### Examiner Note:

 * 1.  This form paragraph must be used in all Office
 Actions when a prior art rejection is made in an application with an actual filing
 date on or after March 16, 2013, that claims priority to, or the benefit of, an
 application filed before March 16, 2013.
* 2.  This form paragraph should only be used ONCE in an
 Office action.



# ¶ 7.07.fti Statement of Statutory Basis, pre-AIA 35 U.S.C.
 102


The following is a quotation of the appropriate paragraphs of
 **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)** that form the basis for the rejections under this section made in
 this Office action:
 


A person shall be entitled to a patent
 unless—
 


### Examiner Note:

 * 1. The statute is no longer being re-cited in all Office
 actions. It is only required in first actions on the merits and final rejections. Where
 the statute is not being cited in an action on the merits, use form paragraph
 **[7.103](#fp7.103)**.
* 2. Form paragraphs **[7.07.fti](#fp7.07.fti)** to
 **[7.14.fti](#fp7.14.fti)**
 are to be used ONLY ONCE in a given Office action.
* 3. For applications with an actual filing date on or
 after March 16, 2013, that claim priority to, or the benefit of, an application filed
 before March 16, 2013, this form paragraph must be preceded by form
 paragraph**[7.06](#fp7.06)**.



# ¶ 7.08.fti Pre-AIA 102(a), Activity by Another Before Invention by
 Applicant


(a) the invention was known or used by others in this
 country, or patented or described in a printed publication in this or a foreign country,
 before the invention thereof by the applicant for a patent.
 


### Examiner Note:


This form paragraph must be preceded by form paragraph
 **[7.07.fti.](#fp7.07.fti)**



# ¶ 7.09.fti Pre-AIA 102(b), Activity More Than One Year Prior to
 Filing


(b) the invention was patented or described in a printed
 publication in this or a foreign country or in public use or on sale in this country, more
 than one year prior to the date of application for patent in the United
 States.
 


### Examiner Note:


This form paragraph must be preceded by form paragraph
 **[7.07.fti](#fp7.07.fti)**,
 and may be preceded by form paragraph **[7.08.fti](#fp7.08.fti)**.
 



# ¶ 7.10.fti Pre-AIA 102(c), Invention Abandoned


(c) he has abandoned the invention.


### Examiner Note:


This form paragraph must be preceded by form paragraph
 **[7.07.fti](#fp7.07.fti)**,
 and may be preceded by one or more of form paragraphs **[7.08.fti](#fp7.08.fti)** and **[7.09.fti](#fp7.09.fti)**.
 



# ¶ 7.11.fti Pre-AIA 102(d), Foreign Patenting


(d) the invention was first patented or caused to be
 patented, or was the subject of an inventor’s certificate, by the applicant or his legal
 representatives or assigns in a foreign country prior to the date of the application for
 patent in this country on an application for patent or inventor’s certificate filed more than
 twelve months before the filing of the application in the United States.
 


### Examiner Note:


This form paragraph must be preceded by form paragraph
 **[7.07.fti](#fp7.07.fti)**,
 and may be preceded by one or more of form paragraphs **[7.08.fti](#fp7.08.fti)** to **[7.10.fti](#fp7.10.fti)**.
 



# ¶ 7.12.fti Pre-AIA 35 U.S.C 102(e), Patent Application Publication or
 Patent to Another with Earlier Filing Date, in view of the American Inventors Protection Act
 of 1999 (AIPA) and the Intellectual Property and High Technology Technical Amendments Act of
 2002


(e) the invention was described in (1) an application for
 patent, published under section **[122(b)](mpep-9015-appx-l.html#d0e303063)**, by another filed in the United
 States before the invention by the applicant for patent or (2) a patent granted on an
 application for patent by another filed in the United States before the invention by the
 applicant for patent, except that an international application filed under the treaty defined
 in section **[351(a)](mpep-9015-appx-l.html#d0e306875)** shall have the effects for purposes of this subsection of an
 application filed in the United States only if the international application designated the
 United States and was published under **[Article 21(2)](mpep-9025-appx-t.html#d0e363634)** of such treaty in the
 English language.
 


### Examiner Note:

 * 1. This form paragraph should only be used if the
 reference is one of the following:
	+ a U.S. patent or a publication of a U.S.
	 application for patent filed under **[35 U.S.C. 111(a)](mpep-9015-appx-l.html#d0e302678)**;
	+ a U.S. patent issued directly or indirectly from,
	 or a U.S. or WIPO publication of, an international application (i.e., a PCT
	 application) if the international application has an international filing date on or
	 after November 29, 2000;
	+ a U.S. patent issued from, or a WIPO
	 publication of, an international design application that designates the United
	 States.
* 2. In determining the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date,
 consider benefit claims to earlier-filed U.S. provisional applications under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, and to earlier-filed U.S. nonprovisional applications and
 international applications under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** if the subject matter used to
 make the rejection is appropriately supported in the relied upon earlier-filed
 application’s disclosure (and any intermediate application(s)). Do NOT consider foreign
 priority claims under **[35 U.S.C. 119(a) - (d)](mpep-9015-appx-l.html#d0e302926pre)**,
 **[365(a) or
 (b)](mpep-9015-appx-l.html#d0e307039)**, or **[386(a) or (b)](mpep-9015-appx-l.html#al_d225a2_29a27_324)**. 
 
>  


In addition, a reference (i.e., a U.S. patent, published U.S.
 patent application, or WIPO publication) is entitled to the benefit of the filing date
 of a provisional application only if at least one of the claims in the reference is
 supported by the written description of the provisional application in compliance with
 **[pre-AIA 35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824)**, first paragraph or **[35 U.S.C.
 112(a)](mpep-9015-appx-l.html#al_d1d85b_2ae60_3d5)**. See *Dynamic Drinkware, LLC, v. National Graphics,
 Inc.,* 800 F.3d 1375, 116 USPQ2d 1045 (Fed. Cir. 2015) and *Amgen v.
 Sanofi*, 872 F.3d 1367, 1380 (Fed. Cir. 2017).
* 3. In order to rely on an international filing date for
 prior art purposes under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**, the
 international application (PCT) must have been filed on or after November 29, 2000, it
 must have designated the U.S., and the international publication under **[PCT Article
 21(2)](mpep-9025-appx-t.html#d0e363634)** by WIPO must have been in English. If any one of the
 conditions is not met, the international filing date is not a U.S. filing date for prior
 art purposes under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**.
* 4. If an international application (PCT) was published
 by WIPO in a language other than English, or did not designate the U.S., the
 international application’s publication by WIPO, the U.S. publication of the national
 stage application (**[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**) of the international
 application and a U.S. patent issued from the national stage of the international
 application may not be applied as a reference under **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**. The reference may be applied under **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[(b)](mpep-9015-appx-l.html#d0e302395)** as of its publication date. See
 form paragraphs **[7.08.fti](#fp7.08.fti)**  and **[7.09.fti](#fp7.09.fti)**.
* 5. If an international application (PCT) was published by WIPO in a
 language other than English, the U.S. publication of, or a U.S. patent issued from, a
 continuing application claiming benefit under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** to such an international application, has a
 **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** date as of the earliest U.S. filing date after the
 international filing date.
* 6. If the reference is a U.S. patent issued directly, or
 indirectly, from an international application (PCT) that has an international filing
 date prior to November 29, 2000, use form paragraph **[7.12.01.fti](#fp7.12.01.fti)**. In that situation,
 **[pre-AIPA 35 U.S.C. 102(e)](s2139.html#ch700_d222ef_29c79_2c1)** is applicable in
 the determination of the prior art date of the patent issued from such an international
 application.
* 7. If the reference is a publication of an
 international application (PCT), including the U.S. publication of a national stage
 (**[35 U.S.C.
 371](mpep-9015-appx-l.html#d0e307164)**), that has an international filing date prior to November 29,
 2000, do not use this form paragraph. Such a reference may not be applied as a prior art
 reference under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. The reference may be applied under
 **[pre-AIA 35
 U.S.C. 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[(b)](mpep-9015-appx-l.html#d0e302395)** as of its publication date. See
 form paragraphs **[7.08.fti](#fp7.08.fti)** and **[7.09.fti](#fp7.09.fti)**.
* 8. This form paragraph must be preceded by form
 paragraph **[7.07.fti](#fp7.07.fti)**, and may be preceded by one or more of form
 paragraphs **[7.08.fti](#fp7.08.fti)**  to **[7.11.fti](#fp7.11.fti)**.



# ¶ 7.12.01.fti Pre-AIPA 35 U.S.C. 102(e), Patent to Another with Earlier
 Filing Date, Reference is a U.S. Patent Issued Directly or Indirectly From a National Stage
 of, or a Continuing Application Claiming Benefit to, an International Application Having an
 International Filing Date Prior to November 29, 2000


(e) the invention was described in a patent granted on an
 application for patent by another filed in the United States before the invention thereof by
 the applicant for patent, or on an international application by another who has fulfilled the
 requirements of paragraphs (1), (2), and (4) of section **[371(c)](mpep-9015-appx-l.html#d0e307183)** of this title
 before the invention thereof by the applicant for patent. 
 


The changes made to 35 U.S.C. 102(e) by the American
 Inventors Protection Act of 1999 (AIPA) and the Intellectual Property and High Technology
 Technical Amendments Act of 2002 do not apply when the reference is a U.S. patent resulting
 directly or indirectly from an international application filed before November 29, 2000.
 Therefore, the prior art date of the reference is determined under 35 U.S.C. 102(e) prior to
 the amendment by the AIPA (**pre-AIPA** 35 U.S.C. 102(e)).
 


### Examiner Note:

 * 1. This form paragraph should only be used if the
 reference is a U.S. patent issued directly or indirectly from either a national stage of
 an international application (application under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**)
 which has an international filing date prior to November 29, 2000, or a continuing
 application claiming benefit to an international application having an international
 filing date prior to November 29, 2000.
* 2. If the reference is a U.S. patent issued directly from a
 national stage of such an international application, the reference’s**pre-AIPA** 35 U.S.C. 102(e) date is the date that the requirements of
 **[35 U.S.C.
 371(c)(1), (2) and (4)](mpep-9015-appx-l.html#d0e307187)** were fulfilled. The language of WIPO
 publication (PCT) is not relevant in this situation. Caution: the international
 publication of the international application (PCT) by WIPO may have an earlier prior art
 date under **[pre-AIA 35 U.S.C. 102(a)](mpep-9015-appx-l.html#al_d1d85b_11e72_2ee)** or **[pre-AIA 102(b)](mpep-9015-appx-l.html#d0e302395)**.
* 3. If the reference is a U.S. patent issued directly from a
 continuing application claiming benefit under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313)**, **[121](mpep-9015-appx-l.html#d0e303040912)** or
 **[365(c)](mpep-9015-appx-l.html#d0e307053)** to such an international application (which had not
 entered the national stage prior to the continuing application’s filing date, otherwise
 see note 4), the prior art reference’s **pre-AIPA** 35 U.S.C. 102(e) date is
 the actual U.S. filing date of the continuing application. Caution: the international
 publication of the international application (PCT) by WIPO may have an earlier prior art
 date under **[pre-AIA 35
 U.S.C. 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[pre-AIA 102(b)](mpep-9015-appx-l.html#d0e302395)**.
* 4. In determining the **pre-AIPA** 35 U.S.C. 102(e) date,
 consider benefit claims to earlier-filed U.S. provisional applications under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, and to earlier-filed U.S. nonprovisional applications and
 international applications under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313)**, **[121](mpep-9015-appx-l.html#d0e303040912)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** only if the subject matter
 used to make the rejection is appropriately supported in the relied upon earlier-filed
 application’s disclosure (and any intermediate application(s)). A benefit claim to a
 U.S. patent of an earlier-filed international application may only result in an
 effective U.S. filing date as of the date the requirements of **[35 U.S.C. 371(c)(1), (2) and
 (4)](mpep-9015-appx-l.html#d0e307187)** were fulfilled. Do NOT consider any benefit claims to U.S.
 applications which are filed before an international application. Do NOT consider
 foreign priority claims under **[35 U.S.C. 119(a)](mpep-9015-appx-l.html#d0e302926)**-**[(d)](mpep-9015-appx-l.html#d0e302947)**,
  **[365(a) or
 (b)](mpep-9015-appx-l.html#d0e307039)**, or **[386(a) or (b)](mpep-9015-appx-l.html#al_d225a2_27b56_2ab)**. 
 In addition, a reference (i.e., a U.S. patent, published U.S.
 patent application, or WIPO publication) is entitled to the benefit of the filing date
 of a provisional application only if at least one of the claims in the reference is
 supported by the written description of the provisional application in compliance with
 **[pre-AIA 35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824)**, first paragraph or **[35 U.S.C.
 112(a)](mpep-9015-appx-l.html#al_d1d85b_2ae60_3d5)**. See *Dynamic Drinkware, LLC, v. National Graphics,
 Inc.,* 800 F.3d 1375, 116 USPQ2d 1045 (Fed. Cir. 2015) and *Amgen v.
 Sanofi*, 872 F.3d 1367, 1380 (Fed. Cir. 2017).
* 5. This form paragraph must be preceded by form
 paragraph **[7.07.fti](#fp7.07.fti)**, and may be preceded by one or more of form
 paragraphs **[7.08.fti](#fp7.08fti)** to **[7.11.fti](#fp7.11fti)**.



# ¶ 7.13.fti Pre-AIA 102(f), Applicant Not the Inventor


(f) he did not himself invent the subject matter sought to
 be patented.
 


### Examiner Note:

 * This form paragraph must be preceded by form
 paragraph **[7.07.fti](#fp7.07.fti)**, and may be preceded by one or more of form
 paragraphs **[7.08.fti](#fp7.08.fti)** to **[7.12.fti](#fp7.12.fti)**.



# ¶ 7.14.fti Pre-AIA 102(g), Priority of Invention


(g)(1) during the course of an interference conducted under
 section **[135](mpep-9015-appx-l.html#al_d1fbe1_19834_19b)** or section **[291](mpep-9015-appx-l.html#al_d1fbe1_198be_137)**, another inventor involved therein
 establishes, to the extent permitted in section **[104](mpep-9015-appx-l.html#al_d1fbe1_197a5_8)**, that before
 such person’s invention thereof the invention was made by such other inventor and not
 abandoned, suppressed, or concealed, or (2) before such person’s invention thereof, the
 invention was made in this country by another inventor who had not abandoned, suppressed, or
 concealed it. In determining priority of invention under this subsection, there shall be
 considered not only the respective dates of conception and reduction to practice of the
 invention, but also the reasonable diligence of one who was first to conceive and last to
 reduce to practice, from a time prior to conception by the other.
 


### Examiner Note:

 * This form paragraph must be preceded by form
 paragraph **[7.07.fti](#fp7.07.fti)**, and may be preceded by one or more of form
 paragraphs **[7.08.fti](#fp7.08.fti)** to **[7.13.fti](#fp7.13.fti)**.



# ¶ 7.15.fti Rejection, Pre-AIA 35 U.S.C. 102(a), (b) Patent or Publication,
 and (g)


Claim(s) **[1]** is/are rejected under **[pre-AIA 35 U.S.C. 102](mpep-9015-appx-l.html#d0e302383)****[2]** as being **[3]** by **[4]**.
 


### Examiner Note:

 * 1. In bracket 2, insert the appropriate paragraph letter or letters
 of **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)** in parentheses. If paragraph (e) of **[pre-AIA 35 U.S.C.
 102](mpep-9015-appx-l.html#d0e302383)** is applicable, use form paragraph **[7.15.01.fti](#fp7.15.01.fti)**,
 **[7.15.02.fti](#fp7.15.02.fti)** or **[7.15.03.fti](#fp7.15.03.fti)**.
* 2. In bracket 3, insert either --clearly anticipated-- or
 --anticipated-- with an explanation at the end of the paragraph.
* 3. In bracket 4, insert the prior art relied upon.
* 4. This rejection must be preceded either by form paragraph
 **[7.07.fti](#fp7.07.fti )**
 and form paragraphs **[7.08.fti](#fp7.08.fti)**, **[7.09.fti](#fp7.09.fti)**, and
 **[7.14.fti](#fp7.14.fti)**
 as appropriate, or by form paragraph **[7.103](#fp7.103)**.
* 5. If **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** is also
 being applied, this form paragraph must be followed by either form paragraph
 **[7.15.01.fti](#fp7.15.01.fti)**, **[7.15.02.fti](#fp7.15.02.fti)** or
 **[7.15.03.fti](#fp7.15.03.fti)**.
* 6. For applications with an actual filing date on or after March 16,
 2013, that claim priority to, or the benefit of, an application filed before March 16,
 2013, this form paragraph must be preceded by form paragraph **[7.06](#fp7.06)**.



# ¶ 7.15.01.fti Provisional Rejection, Pre-AIA 35 U.S.C. 102(e) - Common
 Assignee, Common Applicant, or At Least One Common Joint Inventor


Claim(s) **[1]** is/are provisionally rejected under
 **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** as being anticipated by copending Application No. **[2]** which has a common **[3]** with the instant application.
 


Based upon the earlier effective U.S. filing date of the copending
 application, it would constitute prior art under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**, if published
 under **[35 U.S.C.
 122(b)](mpep-9015-appx-l.html#d0e303063)** or patented. This provisional rejection under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**
 is based upon a presumption of future publication or patenting of the copending application.
 **[4]**.
 


This provisional rejection under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** might be overcome
 either by a showing under **[37
 CFR 1.132](mpep-9020-appx-r.html#d0e323552)** that any invention disclosed but not claimed in the copending
 application was derived from the inventor of this application and is thus not the invention
 "by another," or by an appropriate showing under **[37 CFR 1.131(a)](mpep-9020-appx-r.html#aia_d0e323512)**. 
 


This rejection may not be overcome by the filing of a terminal
 disclaimer. See *In re Bartfeld*, 925 F.2d 1450, 17 USPQ2d 1885 (Fed. Cir.
 1991).
 


### Examiner Note:

 * 1. This form paragraph is used to provisionally reject over a
 copending application with an earlier filing date that discloses the claimed invention
 which has not been published under **[35 U.S.C. 122](mpep-9015-appx-l.html#d0e303054)**. The copending
 application must have either a common assignee, a common applicant (**[35 U.S.C. 118](mpep-9015-appx-l.html#d0e302910912)**),
 or at least one common joint inventor.
* 2. Use **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** as amended
 by the American Inventors Protection Act (AIPA) and the Intellectual Property and High
 Technology Technical Amendments Act of 2002 (form paragraph **[7.12.fti](#fp7.12.fti)**) to determine the copending
 application’s prior art date, unless the copending application is based directly, or
 indirectly, from an international application which has an international filing date
 prior to November 29, 2000. If the copending application is either a national stage of
 an international application (application under **[35 U.S.C. 371](mpep-9015-appx-l.html#d0e307164)**) which has an
 international filing date prior to November 29, 2000, or a continuing application
 claiming benefit under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** to an international
 application having an international filing date prior to November 29, 2000, use
 **[pre-AIPA
 35 U.S.C. 102(e)](s2139.html#ch700_d222ef_29c79_2c1)** (form paragraph **[7.12.01.fti](#fp7.12.01.fti)**). See the Examiner
 Notes for form paragraphs **[7.12.fti](#fp7.12.fti)** and **[7.12.01.fti](#fp7.21.01.fti)** to assist in the
 determination of the reference’s **[35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date.
* 3. If the claims would have been obvious over the invention
 disclosed in the other copending application, use form paragraph
 **[7.21.01.fti](#fp7.21.01.fti)**.
* 4. In bracket 3, insert --assignee--, --applicant--, or --joint
 inventor--.
* 5. In bracket 4, an appropriate explanation may be provided in
 support of the examiner’s position on anticipation, if necessary.
* 6. Under **[35 U.S.C. 101](mpep-9015-appx-l.html#d0e302376)**, two patents are not
 permitted to issue on identical subject matter. Any claims in the instant application
 directed to the same invention claimed in the reference should be provisionally rejected
 using form paragraphs **[8.30](#fp8.30)** and **[8.32](#fp8.32)**. Additionally, the applicant should be required to
 amend or cancel claims such that the applied reference and the instant application no
 longer contain claims directed to the same invention using form paragraph
 **[8.27.fti](#fp8.27.fti)**.
* 7. Any claims in the instant application that are directed to
 subject matter that is not patentably distinct from an invention claimed in the
 reference should be rejected (or provisionally rejected if the reference has not yet
 issued as a patent) on the grounds of nonstatutory double patenting using form paragraph
 **[8.33](#fp8.33)** and at
 least one of form paragraphs **[8.34](#fp8.34)** - **[8.39](#fp8.39)**.
* 8. If evidence is additionally of record to show that either
 invention is prior art to the other under **[pre-AIA 35 U.S.C. 102(f)](mpep-9015-appx-l.html#d0e302420)** or
 **[(g)](mpep-9015-appx-l.html#d0e302424)**, a rejection using form paragraphs
 **[7.13.fti](#fp7.13.fti)** and/or **[7.14.fti](#fp7.14.fti)** should also be made.
* 9. For applications with an actual filing date on or after March
 16, 2013 that claim priority to, or the benefit of, an application filed before March
 16, 2013, this form paragraph must be preceded by form paragraph
 **[7.06](#fp7.06)**.



# ¶ 7.15.02.fti Rejection, Pre-AIA 35 U.S.C. 102(e), Common Assignee,
 Applicant, or Joint Inventor


Claim(s) **[1]** is/are rejected under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**
 as being anticipated by **[2]**.
 


The applied reference has a common **[3]** with the instant
 application. Based upon the earlier effective U.S. filing date of the reference, it
 constitutes prior art under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. This rejection under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**
 might be overcome either by a showing under **[37 CFR 1.132](mpep-9020-appx-r.html#d0e323552)** that any invention disclosed
 but not claimed in the reference was derived from the inventor or joint inventors (i.e., the
 inventive entity) of this application and is thus not the invention "by another," or if the
 same invention is not being claimed, by an appropriate showing under **[37 CFR 1.131(a)](mpep-9020-appx-r.html#aia_d0e323512)**.
 


### Examiner Note:

 * 1. This form paragraph is used to reject over a patent or patent
 application publication with an earlier effective filing date. The patent or patent
 application publication must have either a common assignee, a common applicant
 (**[35 U.S.C.
 118](mpep-9015-appx-l.html#d0e302910912)**), or a common joint inventor.
* 2. **[Pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** as amended by the American Inventors Protection Act of 1999
 (AIPA) and the Intellectual Property and High Technology Technical Amendments Act of
 2002 (form paragraph **[7.12.fti](#fp7.12.fti)**) must be applied if the reference is by
 another and is one of the following:
	+ a U.S. patent or a publication of a U.S. application for
	 patent filed under **[35 U.S.C. 111(a)](mpep-9015-appx-l.html#d0e302678)**;
	+ a U.S. patent issued directly or indirectly from, or a U.S.
	 or WIPO publication of, **an international application (PCT) if the international
	 application has an international filing date on or after November 29,
	 2000**;
	+ a U.S. patent issued from, or a WIPO publication of, an
	 international design application that designates the United States.See the Examiner Notes for form paragraph
 **[7.12.fti](#fp7.12.fti)**
 to assist in the determination of the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date of the
 reference.
* 3. **[Pre-AIPA
 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** (form paragraph **[7.12.01.fti](#fp7.12.01.fti)**) must be applied if
 the reference is a U.S. patent issued directly, or indirectly, from an international
 application filed prior to November 29, 2000. See the Examiner Notes for form paragraph
 **[7.12.01.fti](#fp7.12.01.fti)** to assist in the determination of the
 **[pre-AIPA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date of the
 reference.
* 4. In determining the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date,
 consider benefit claims to earlier-filed U.S. provisional applications under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, and to earlier-filed U.S. nonprovisional applications and
 international applications under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040912)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** if the subject matter used to
 make the rejection is appropriately supported in the relied upon earlier-filed
 application’s disclosure (and any intermediate application(s)). A benefit claim to a
 U.S. patent of an earlier-filed international application, which has an international
 filing date prior to November 29, 2000, may only result in an effective U.S. filing date
 as of the date the requirements of **[35 U.S.C. 371(c)(1)](mpep-9015-appx-l.html#d0e307187)**,
 **[(2)](mpep-9015-appx-l.html#d0e307194)** and **[(4)](mpep-9015-appx-l.html#d0e307205)** were fulfilled. Do NOT consider
 any benefit claims to U.S. applications which are filed before an international
 application that has an international filing date prior to November 29, 2000. Do NOT
 consider foreign priority claims under **[35 U.S.C. 119(a)](mpep-9015-appx-l.html#d0e302926pre)** - **[(d)](mpep-9015-appx-l.html#d0e302926pre)**,
 **[365(a) or
 (b)](mpep-9015-appx-l.html#d0e307039)**, or **[386(a) or (b)](mpep-9015-appx-l.html#al_d225a2_29a27_324)**. 
 In addition, a reference (i.e., a U.S. patent, published U.S.
 patent application, or WIPO publication) is entitled to the benefit of the filing date
 of a provisional application only if at least one of the claims in the reference is
 supported by the written description of the provisional application in compliance with
 **[pre-AIA 35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824)**, first paragraph or **[35 U.S.C.
 112(a)](mpep-9015-appx-l.html#al_d1d85b_2ae60_3d5)**. See *Dynamic Drinkware, LLC, v. National Graphics,
 Inc.,* 800 F.3d 1375, 116 USPQ2d 1045 (Fed. Cir. 2015) and *Amgen v.
 Sanofi*, 872 F.3d 1367, 1380 (Fed. Cir. 2017).
* 5. If the reference is a publication of an international application
 (PCT), including voluntary U.S. publication under **[35 U.S.C. 122](mpep-9015-appx-l.html#d0e303054)** of the national stage
 or a WIPO PCT publication, that has an international filing date prior to November 29,
 2000, did not designate the United States or was not published in English by WIPO, do
 not use this form paragraph. Such a reference is not a prior art reference under
 **[pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)**. The reference may be applied under **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[(b)](mpep-9015-appx-l.html#d0e302395)** as of its publication date. See
 form paragraphs **[7.08.fti](#fp7.08.fti)** and **[7.09.fti](#fp7.09.fti)**.
* 6. In bracket 3, insert --assignee--, --applicant--, or --joint
 inventor--.
* 7. This form paragraph must be preceded by either of form
 paragraphs **[7.12.fti](#fp7.12.fti)** or **[7.12.01.fti](#fp7.12.01.fti)**.
* 8. Patent application publications may only be used if this form
 paragraph was preceded by form paragraph **[7.12.fti](#fp7.12.fti)**.
* 9. For applications with an actual filing date on or after March
 16, 2013, that claim priority to, or the benefit of, an application filed before March
 16, 2013, this form paragraph must be preceded by form paragraph
 **[7.06](#fp7.06)**.
* 10. Under **[35 U.S.C. 101](mpep-9015-appx-l.html#d0e302376)**, two patents are not
 permitted to issue on identical subject matter. Any claims in the instant application
 directed to the same invention claimed in the reference should be rejected (or
 provisionally rejected if the reference has not yet issued as a patent) using form
 paragraphs **[8.30](#fp8.30)**
 - **[8.32](#fp8.32)**.
 Additionally, the applicant should be required to resolve any issue of priority under
 **[pre-AIA 35 U.S.C.
 102(g)](mpep-9015-appx-l.html#d0e302424)** and possibly **[pre-AIA 35 U.S.C. 102(f)](mpep-9015-appx-l.html#d0e302420)** using form
 paragraph **[8.27.fti](#fp8.27.fti)**. See **[MPEP § 804](s804.html#d0e98894)**, subsection II.A.
* 11. Any claims in the instant application that are directed to
 subject matter that is not patentably distinct from an invention claimed in the
 reference should be rejected (or provisionally rejected if the reference has not yet
 issued as a patent) on the grounds of nonstatutory double patenting using form paragraph
 **[8.33](#fp8.33)** and at
 least one of form paragraphs **[8.34](#fp8.34)** - **[8.39](#fp8.39)**.



# ¶ 7.15.03.fti Rejection, pre-AIA 35 U.S.C. 102(e), No Common Assignee or
 Inventor(s)


Claim(s) **[1]** is/are rejected under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**
 as being **[2]** by **[3]**.
 


### Examiner Note:

 * 1. This form paragraph is used to reject over a patent or patent
 application publication with an earlier filing date. The patent or patent application
 publication is not required to have a common assignee or a common inventor.
* 2. **[Pre-AIA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** as amended by the American Inventors Protection Act of 1999
 (AIPA) and the Intellectual Property and High Technology Technical Amendments Act of
 2002 (form paragraph **[7.12.fti](#fp7.12.fti)**) must be applied if the reference is one of
 the following:
	+ a U.S. patent or a publication of a U.S. application for
	 patent filed under **[35 U.S.C. 111(a)](mpep-9015-appx-l.html#d0e302678aia)**;
	+ a U.S. patent issued directly or indirectly from, or a U.S. or
	 WIPO publication of, an international application (PCT) if the international
	 application has an international filing date on or after November 29, 2000;
	+ a U.S. patent issued from, or a WIPO publication of, an
	 international design application that designates the United States.See the Examiner Notes for form paragraph
 **[7.12.fti](#fp7.12.fti)**
 to assist in the determination of the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date of the
 reference.
* 3. **[Pre-AIPA 35 U.S.C.
 102(e)](mpep-9015-appx-l.html#d0e302407)** (form paragraph **[7.12.01.fti](#fp7.12.01.fti)**) must be applied if
 the reference is a U.S. patent issued directly, or indirectly, from an international
 application filed prior to November 29, 2000. See the Examiner Notes for form paragraph
 **[7.12.01.fti](#fp7.12.01.fti)** to assist in the determination of the pre-AIPA 35 U.S.C.
 102(e) date of the reference.
* 4. In determining the **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)** date,
 consider benefit claims to earlier-filed U.S. provisional applications under
 **[35 U.S.C.
 119(e)](mpep-9015-appx-l.html#d0e302951)**, and to earlier-filed U.S. nonprovisional applications and
 international applications under **[35 U.S.C. 120](mpep-9015-appx-l.html#d0e303023313p)**, **[121](mpep-9015-appx-l.html#d0e303040)**,
 **[365(c)](mpep-9015-appx-l.html#d0e307053)**, or **[386(c)](mpep-9015-appx-l.html#al_d225a2_29a9c_1b3)** if the subject matter used to
 make the rejection is appropriately supported in the relied upon earlier-filed
 application’s disclosure (and any intermediate application(s)). A benefit claim to a
 U.S. patent of an earlier-filed international application, which has an international
 filing date prior to November 29, 2000, may only result in an effective U.S. filing date
 as of the date the requirements of **[35 U.S.C. 371(c)(1)](mpep-9015-appx-l.html#d0e307187)**,
 **[(2)](mpep-9015-appx-l.html#d0e307194)** and **[(4)](mpep-9015-appx-l.html#d0e307205)** were fulfilled. Do NOT consider
 any benefit claims to U.S. applications which are filed before an international
 application that has an international filing date prior to November 29, 2000. Do NOT
 consider foreign priority claims under **[35 U.S.C. 119(a)](mpep-9015-appx-l.html#d0e302926pre)** - **[(d)](mpep-9015-appx-l.html#d0e302926pre)**,
 **[365(a) or
 (b)](mpep-9015-appx-l.html#d0e307039)**, or **[35 U.S.C. 386(a) or (b)](mpep-9015-appx-l.html#al_d225a2_29a27_324)**. 
 In addition, a reference (i.e., a U.S. patent, published U.S.
 patent application, or WIPO publication) is entitled to the benefit of the filing date
 of a provisional application only if at least one of the claims in the reference is
 supported by the written description of the provisional application in compliance with
 **[pre-AIA 35 U.S.C.
 112](mpep-9015-appx-l.html#d0e302824)**, first paragraph or **[35 U.S.C.
 112(a)](mpep-9015-appx-l.html#al_d1d85b_2ae60_3d5)**. See *Dynamic Drinkware, LLC, v. National Graphics,
 Inc.,* 800 F.3d 1375, 116 USPQ2d 1045 (Fed. Cir. 2015) and *Amgen v.
 Sanofi*, 872 F.3d 1367, 1380 (Fed. Cir. 2017).
* 5. If the reference is a publication of an international
 application (PCT), including voluntary U.S. publication under **[35 U.S.C. 122](mpep-9015-appx-l.html#d0e303054)** of
 the national stage or a WIPO (PCT) publication, that has an international filing date
 prior to November 29, 2000, did not designate the United States or was not published in
 English by WIPO, do not use this form paragraph. Such a reference is not a prior art
 reference under **[pre-AIA 35 U.S.C. 102(e)](mpep-9015-appx-l.html#d0e302407)**. The reference may be applied under
 **[pre-AIA 35 U.S.C.
 102(a)](mpep-9015-appx-l.html#d0e302391)** or **[(b)](mpep-9015-appx-l.html#d0e302395)** as of its publication date. See
 form paragraphs **[7.08.fti](#fp7.08.fti)** and **[7.09.fti](#fp7.09.fti)**.
* 6. In bracket 2, insert either --clearly anticipated-- or
 --anticipated-- with an explanation at the end of the paragraph.
* 7. In bracket 3, insert the prior art relied upon.
* 8. This form paragraph must be preceded by either of form paragraphs
 **[7.12.fti](#fp7.12.fti)** or **[7.12.01.fti](#fp7.12.01.fti)**.
* 9. Patent application publications may only be used if this form
 paragraph was preceded by form paragraph **[7.12.fti](#fp7.12.fti)**.



# ¶ 7.16.fti Rejection, pre-AIA 35 U.S.C. 102(b), Public Use or on
 Sale


Claim **[1]** rejected under **[pre-AIA 35 U.S.C.
 102(b)](mpep-9015-appx-l.html#d0e302395)** based upon a public use or sale of the invention.
 **[2]**


### Examiner Note:

 * 1. This form paragraph must be preceded either by form
 paragraphs **[7.07.fti](#fp7.07.fti)** and **[7.09.fti](#fp7.09.fti)** or by form paragraph
 **[7.103](#fp7.103)**.
* 2. A full explanation of the evidence establishing a
 public use or sale must be provided in bracket 2.



# ¶ 7.17.fti Rejection, pre-AIA 35 U.S.C. 102(c), Abandonment of
 Invention


Claim **[1]** rejected under **[pre-AIA 35 U.S.C. 102(c)](mpep-9015-appx-l.html#d0e302399)**
 because the invention has been abandoned. **[2]**


### Examiner Note:

 * 1. This form paragraph must be preceded either by form paragraph
 **[7.07.fti](#fp7.07.fti)**
 and **[7.10.fti](#fp7.10.fti)** or by form paragraph **[7.103](#fp7.103)**.
* 2. In bracket 2, insert a full explanation of the evidence
 establishing abandonment of the invention. See **[MPEP § 2134](s2134.html#d0e205168)**.



# ¶ 7.18.fti Rejection, pre-AIA 35 U.S.C. 102(d), Foreign
 Patenting


Claim **[1]** rejected under **[pre-AIA 35 U.S.C.
 102(d)](mpep-9015-appx-l.html#al_d1d85b_11ecb_1d1)** as being barred by applicants **[2]**. **[3]**


### Examiner Note:

 * 1. This form paragraph must be preceded either by form paragraphs
 **[7.07.fti](#fp7.07.fti)**
 and **[7.11.fti](#fp7.11.fti)**
 or by form paragraph **[7.103](#fp7.103)**.
* 2. In bracket 3, insert an explanation of this rejection which must
 include appropriate dates and how they make the foreign patent available under
 **[pre-AIA
 35 U.S.C. 102(d)](mpep-9015-appx-l.html#al_d1d85b_11ecb_1d1)**.
* 3. Refer to **[MPEP § 2135](s2135.html#d0e205278)** for applicable
 **[pre-AIA
 35 U.S.C. 102(d)](mpep-9015-appx-l.html#al_d1d85b_11ecb_1d1)** prior art.



# ¶ 7.19.fti Rejection, pre-AIA 35 U.S.C. 102(f), Applicant Not the
 Inventor


Claim **[1]** is/are rejected under **[pre-AIA 35 U.S.C. 102(f)](mpep-9015-appx-l.html#d0e302420)**
 because the applicant did not invent the claimed subject matter. **[2]**


### Examiner Note:

 * 1. This paragraph must be preceded either by paragraphs
 **[7.07.fti](#fp7.07.fti)**
 and **[7.13.fti](#fp7.13.fti)**
 or by paragraph **[7.103](#fp7.103)**.
* 2. In bracket 2, insert an explanation of the supporting evidence establishing that
 applicant was not the inventor. See **[MPEP § 2137](s2137.html#d0e206570)**.



]