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pmarlow

Junior Member
What is the name of your state? California

The description and drawings of my patent application are missing a few details that were disclosed in the description and drawings of my provisional application. Would I be allowed to amend these details to my application, or would they be excluded as new matter under 35 U.S.C. 132 or 251? Thank you.
 


divgradcurl

Senior Member
What is the name of your state? California

The description and drawings of my patent application are missing a few details that were disclosed in the description and drawings of my provisional application. Would I be allowed to amend these details to my application, or would they be excluded as new matter under 35 U.S.C. 132 or 251? Thank you.

If they were really were fully disclosed in the provisional, they would not be new matter, and the examiner should not reject your amendment.
 

pmarlow

Junior Member
Thank you, Divgradcurl.

Here's the whole story:

My attorney gave me less than a day before the one-year provisional patent deadline to review and revise the specification he prepared. In that 24 hours I had corrected the most glaring errors and omissions in the description. But the application was submitted with errors in the claims and a description that still had redundancy, inconsistency in the terms, and other somewhat confusing or misguided text. I'd like to clean it all up. From you advice, it appears that my description in the provisional patent will be helpful in correcting a few small omissions. I am currently re-writing a good portion of the application description to correct the errors and improve clarity.

Can you recommend a good strategy for getting these corrections incorporated into the specification without objections from the examiner? Is my situation common and ordinary, or am I asking for trouble?

Also, early in the preparation process my attorney told me that I didn't need drawings for every detail, as long as the written description was clear and complete. In my recent reading of USPTO guidelines, I have found rules to suggest that everything in the claims must be supported by the drawings. In other words, if a particular detail is not present in the drawings, it cannot be the subject of a claim, even if is clearly laid out in the description. Is that right?

Thanks again.
 

divgradcurl

Senior Member
Can you recommend a good strategy for getting these corrections incorporated into the specification without objections from the examiner? Is my situation common and ordinary, or am I asking for trouble?

You will need to do the correction to the specification and the claims as a "preliminary amendment," and you will need to show all of your changes. You can also explain your changes if you want -- but don't. There isn't any secret way to do this. The problem here is that if you try and pre-empt the examiner's rejections by explaining your amendments, you are creating a record that could be used to narrow the scope of your patent in a litigation. By making your arguments up-front, you may unwittingly limit your patent more than if you had just responded to the examiner's rejections. Based solely on what you've written, you are probably better off submitting your preliminary amendment, then wait and see what the examiner does, and THEN respond as necessary. If the preliminary amendment is fully enabled by the original provisional patent, maybe the examiner will find nothing to object to (at least vis-a-vis the preliminary amendment -- they always find something to reject with the original claims!).

All that said -- if you are working with a patent attorney, take their advice. If you don't trust them, find another patent attorney. If you are going this alone, make sure that your preliminary amendment followed the rules laid out in the MPEP -- there are specific ways that you have to indicate corrections in the specification.

If there are a LOT of corrections, it might be worthwhile to simply draft a new application as a continuation-in-part that derives priority from the original application, and then let the original application go abandoned (after filing the CIP, not before!). You might have more of an issue proving up your priority date later if you get involved in litigation (or you might not), but that might be a cleaner and easier solution (and create less of a prosecution record) than filing a huge preliminary amendment.

It all depends on what you want from your patent. Just for the sake of full disclosure, I am licensed to practice before the USPTO, and I have experience prosecuting patents, but I now solely practice patent litigation, so I am looking at your patent from that perspective -- that of a potential litigant. You may not be concerned with litigation or ultimate enforceability, in which case creating a prosecution record may not be such a big deal, and then the preliminary amendment would make more sense than a CIP.

Also, early in the preparation process my attorney told me that I didn't need drawings for every detail, as long as the written description was clear and complete. In my recent reading of USPTO guidelines, I have found rules to suggest that everything in the claims must be supported by the drawings. In other words, if a particular detail is not present in the drawings, it cannot be the subject of a claim, even if is clearly laid out in the description. Is that right?

That's not entirely correct. Claims must be fully disclosed and enabled by the specification, of which the drawings are a part. It is not correct that you can't claim something that isn't in the drawings -- but you can't claim something that is not fully disclosed and enabled by the specification. Drawings are required "where necessary." See, for example, http://www.uspto.gov/web/offices/pac/mpep/documents/0600_608_02.htm#sect608.02

"37 CFR 1.81 Drawings required in patent application.

(a) The applicant for a patent is required to furnish a drawing of his or her invention where necessary for the understanding of the subject matter sought to be patented; this drawing, or a high quality copy thereof, must be filed with the application. Since corrections are the responsibility of the applicant, the original drawing(s) should be retained by the applicant for any necessary future correction.

(b) Drawings may include illustrations which facilitate an understanding of the invention (for example, flow sheets in cases of processes, and diagrammatic views).

(c) Whenever the nature of the subject matter sought to be patented admits of illustration by a drawing without its being necessary for the understanding of the subject matter and the applicant has not furnished such a drawing, the examiner will require its submission within a time period of not less than two months from the date of the sending of a notice thereof.

(d) Drawings submitted after the filing date of the application may not be used to overcome any insufficiency of the specification due to lack of an enabling disclosure or otherwise inadequate disclosure therein, or to supplement the original disclosure thereof for the purpose of interpretation of the scope of any claim."

If you see section (d), it clearly shows that drawings cannot overcome deficiencies in the "written description" -- the written part of the specification is the key to determining enablement. A drawing cannot expand the scope of a claim beyond what is in the written description. Yes, drawings are required, and good drawings can really make your application stronger, but it is not true that each and every claim element must be present in the drawings -- each and every claim element must be fully disclosed and enabled in the written description.
 

pmarlow

Junior Member
Thanks again, Divgradcurl. Your comments are great – very helpful.

About the amendments, my attorney is strongly recommending we wait until after the first office action, especially regarding changes in the claims. A CIP is a possibility.

On the subject of claims being supported by the drawings, I grew concerned when I read this:
“The drawings must show every feature of the invention specified in the claims. Therefore, the [1] must be shown or the feature(s) canceled from the claim(s).” (http://www.uspto.gov/web/offices/pac/mpep/documents/0600_608_02_d.htm)
How do you understand this?

My provisional application had drawings that showed a component from two views to help give a clear understanding of its form. In my non-provisional application, on the advice of my lawyer, we only included one drawing view and used the written description to fill in the details. Was that a mistake? If necessary, under these circumstances, can a drawing be added to the non-provisional application?

Thank you.
 

divgradcurl

Senior Member
On the subject of claims being supported by the drawings, I grew concerned when I read this:
“The drawings must show every feature of the invention specified in the claims. Therefore, the [1] must be shown or the feature(s) canceled from the claim(s).” (http://www.uspto.gov/web/offices/pac/mpep/documents/0600_608_02_d.htm)
How do you understand this?

This piece you are quoting is part of a "form paragraph" in the MPEP. A "form paragraph" is a paragraph that an examiner uses in his or her office action to explain a particular rejection. In this case, if the examiner determines under 37 CFR 1.81 (in my previous post) that a drawing is required, then one of the possible rejections is that "every feature" must be shown in the drawing.

In other words, this "form paragraph" just explains why an examiner has rejected a particular claim or piece of your application -- it does not recite the general rule, only the rule as it is applicable to a particular reason for a rejection. If a particular claim element could be fully described in a picture, and such a picture is necessary to understand the claim element, then the entire claim element must be in the picture, and if something is missing, you will get a rejection and this "form paragraph."

But the general rule -- 37 CFR 1.81 -- doesn't require pictures in every case, and it is the written specification that is usually the important piece in determining whether or not a claim element is enabled, not the drawings. But there may be cases where an otherwise enabled claim element needs to be in a drawing, and if it isn't, you'll see this rejection.

If you are not familiar with the MPEP, sometimes it's hard to figure out whether you are read the law or regulations (35 U.S.C. XXX or 37 C.F.R. XXX), intepretations of the law, or "form paragraphs" used by examiners in rejecting claims. The published version of the MPEP is a little easier, because it makes liberal use of indentations and italics...
 

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