{"id":24162,"date":"2022-07-11T12:37:00","date_gmt":"2022-07-11T12:37:00","guid":{"rendered":"https:\/\/sagaciousresearch.com\/blog\/?p=24162"},"modified":"2023-03-29T05:26:29","modified_gmt":"2023-03-29T05:26:29","slug":"overcoming-35-usc-101-rejections-in-view-of-recent-uspto-guidelines-and-examples","status":"publish","type":"post","link":"https:\/\/sagaciousresearch.com\/blog\/overcoming-35-usc-101-rejections-in-view-of-recent-uspto-guidelines-and-examples","title":{"rendered":"Overcoming 35 USC 101 Rejections in View of Recent USPTO Guidelines and Examples"},"content":{"rendered":"\n<p>A claimed invention must fulfill the requirements of 35 USC \u00a7 101 for becoming patent-eligible at the US Patent and Trademark Office (USPTO). 35 USC 101 is typically a subject matter eligibility test for the claimed invention. Therefore, the claim set might invoke 101 rejections if not drafted properly. Moreover, once the claim set is rejected under 35 USC 101 in an office action (OA), it might get rejected again under \u00a7 101 in the subsequent OA if the applicant does not persuasively present amendment and argument.<\/p>\n\n\n\n<p>In this article, we will discuss the requirements under 35 USC \u00a7 101, guidelines and examples issued by the USPTO, effective way to present claim amendments and arguments, and more.<\/p>\n\n\n\n<div id=\"ez-toc-container\" class=\"ez-toc-v2_0_81 counter-hierarchy ez-toc-counter ez-toc-grey ez-toc-container-direction\">\n<p class=\"ez-toc-title\" style=\"cursor:inherit\">Table of Contents<\/p>\n<label for=\"ez-toc-cssicon-toggle-item-69d82f38a9f6e\" class=\"ez-toc-cssicon-toggle-label\"><span class=\"\"><span class=\"eztoc-hide\" style=\"display:none;\">Toggle<\/span><span class=\"ez-toc-icon-toggle-span\"><svg style=\"fill: #999;color:#999\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\" class=\"list-377408\" width=\"20px\" height=\"20px\" viewBox=\"0 0 24 24\" fill=\"none\"><path d=\"M6 6H4v2h2V6zm14 0H8v2h12V6zM4 11h2v2H4v-2zm16 0H8v2h12v-2zM4 16h2v2H4v-2zm16 0H8v2h12v-2z\" fill=\"currentColor\"><\/path><\/svg><svg style=\"fill: #999;color:#999\" class=\"arrow-unsorted-368013\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\" width=\"10px\" height=\"10px\" viewBox=\"0 0 24 24\" version=\"1.2\" baseProfile=\"tiny\"><path d=\"M18.2 9.3l-6.2-6.3-6.2 6.3c-.2.2-.3.4-.3.7s.1.5.3.7c.2.2.4.3.7.3h11c.3 0 .5-.1.7-.3.2-.2.3-.5.3-.7s-.1-.5-.3-.7zM5.8 14.7l6.2 6.3 6.2-6.3c.2-.2.3-.5.3-.7s-.1-.5-.3-.7c-.2-.2-.4-.3-.7-.3h-11c-.3 0-.5.1-.7.3-.2.2-.3.5-.3.7s.1.5.3.7z\"\/><\/svg><\/span><\/span><\/label><input type=\"checkbox\"  id=\"ez-toc-cssicon-toggle-item-69d82f38a9f6e\"  aria-label=\"Toggle\" \/><nav><ul class='ez-toc-list ez-toc-list-level-1 ' ><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-1\" href=\"https:\/\/sagaciousresearch.com\/blog\/overcoming-35-usc-101-rejections-in-view-of-recent-uspto-guidelines-and-examples\/#Requirements_Under_%C2%A7_101\" >Requirements Under \u00a7 101<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-2\" href=\"https:\/\/sagaciousresearch.com\/blog\/overcoming-35-usc-101-rejections-in-view-of-recent-uspto-guidelines-and-examples\/#USPTO_Guidelines_for_%C2%A7_101_and_Examples_Issued\" >USPTO Guidelines for \u00a7 101 and Examples Issued<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-3\" href=\"https:\/\/sagaciousresearch.com\/blog\/overcoming-35-usc-101-rejections-in-view-of-recent-uspto-guidelines-and-examples\/#Conventional_Approach_for_%C2%A7_101_Arguments\" >Conventional Approach for \u00a7 101 Arguments<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-4\" href=\"https:\/\/sagaciousresearch.com\/blog\/overcoming-35-usc-101-rejections-in-view-of-recent-uspto-guidelines-and-examples\/#Presenting_Claim_Amendments_Arguments_As_Per_Recent_USPTO_Guidelines_and_Examples\" >Presenting Claim Amendments &amp; Arguments As Per Recent USPTO Guidelines and Examples<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-5\" href=\"https:\/\/sagaciousresearch.com\/blog\/overcoming-35-usc-101-rejections-in-view-of-recent-uspto-guidelines-and-examples\/#Conclusion\" >Conclusion<\/a><ul class='ez-toc-list-level-3' ><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-6\" href=\"https:\/\/sagaciousresearch.com\/blog\/overcoming-35-usc-101-rejections-in-view-of-recent-uspto-guidelines-and-examples\/#Having_Queries_Contact_Us_Now\" >Having Queries? Contact Us Now!<\/a><\/li><\/ul><\/li><\/ul><\/nav><\/div>\n<h2 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Requirements_Under_%C2%A7_101\"><\/span>Requirements Under \u00a7 101<span class=\"ez-toc-section-end\"><\/span><\/h2>\n\n\n\n<p>There are two steps to determine subject matter eligibility for the claimed invention under \u00a7 101.<\/p>\n\n\n\n<p>Under Step 1, the claimed invention must fall into one of four statutory categories of innovation. The four statutory categories of the invention are process, machine, manufacture, and composition of matter.<\/p>\n\n\n\n<p>Under Step 2, the claimed invention must not be directed to a judicial exception. By definition, a judicial exception refers to a grouping of abstract ideas, laws of nature, and natural phenomena. A claim set that is mainly directed to mathematical relationships, mental processes, or specific methods of organizing human activity comes under the groupings of abstract ideas.<\/p>\n\n\n\n<p>Step 2 is further bifurcated in Step 2A and Step 2B. According to Step 2A, the claim set should not recite any judicial exceptions. If the claimed invention fails to satisfy Step 2A, the claim set would be examined for Step 2B. Under Step 2B, the claim set is examined to have any additional element that amounts to significantly more than the judicial exception.<\/p>\n\n\n\n<p>Now that we have understood the requirements of 35 USC 101, let us cover its guidelines and related examples that have been issued under the recent guidelines.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"USPTO_Guidelines_for_%C2%A7_101_and_Examples_Issued\"><\/span>USPTO Guidelines for \u00a7 101 and Examples Issued<span class=\"ez-toc-section-end\"><\/span><\/h2>\n\n\n\n<p>In 2014, the USPTO issued \u00a7 101 eligibility guidelines for examining a patent application for compliance with \u00a7 101 requirements. The revised guidelines of patent subject matter eligibility were published in 2019. A two-prong test was introduced to examine whether the claim set is patent-eligible under Step 2A (shown in Figure 1 below). In addition, the newly added criteria requires the claim set to have additional elements that integrate the judicial exception into practical application (if the claim set recites the abstract idea).<\/p>\n\n\n<div class=\"wp-block-image\">\n<figure class=\"aligncenter size-full\"><img fetchpriority=\"high\" decoding=\"async\" width=\"727\" height=\"769\" src=\"https:\/\/sagaciousresearch.com\/blog\/wp-content\/uploads\/2022\/07\/Flowchart-showing-Subject-Matter-Eligibility-Test-for-Products-and-Processes-1.png\" alt=\"\" class=\"wp-image-24165\" srcset=\"https:\/\/sagaciousresearch.com\/blog\/wp-content\/uploads\/2022\/07\/Flowchart-showing-Subject-Matter-Eligibility-Test-for-Products-and-Processes-1.png 727w, https:\/\/sagaciousresearch.com\/blog\/wp-content\/uploads\/2022\/07\/Flowchart-showing-Subject-Matter-Eligibility-Test-for-Products-and-Processes-1-284x300.png 284w\" sizes=\"(max-width: 727px) 100vw, 727px\" \/><figcaption class=\"wp-element-caption\"><strong>Figure 1: Flowchart showing Subject Matter Eligibility Test for Products and Processes<\/strong><\/figcaption><\/figure>\n<\/div>\n\n\n<p>In conjunction with the 2014 guidelines, the USPTO released a document setting forth examples 1-36. Further, in conjunction with the 2019 guidelines, the USPTO released examples 37-42 on January 7, 2019, and examples 43-46 on October 17, 2019. These examples are hypothetical claims and overviews of the invention in different fields that focus on the ideas of eligible patent matter and patent-ineligible matter under \u00a7 101.<\/p>\n\n\n\n<p>Even with laid out guidelines, there are differences between the claim\u2019s interpretation by the examiner and the applicant. Usually, the applicant resorts to the traditional mode of argument to oppose the rejection. Let us understand the conventional approach that is used for \u00a7 101 arguments.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Conventional_Approach_for_%C2%A7_101_Arguments\"><\/span>Conventional Approach for \u00a7 101 Arguments<span class=\"ez-toc-section-end\"><\/span><\/h2>\n\n\n\n<p>Generally, the applicant follows the conventional approach to counter the 101 rejection. Some of the traditional approaches for 101 arguments are as follows:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Argue 101 rejections based on some traditional case laws like \u201cElec. Power Group, LLC v. Alstom SA,\u201d \u201cDDR Holdings v. Hotels,\u201d \u201cEnfish, L.L.C. v. Microsoft Corp.,\u201d \u201cExample 3 issued in conjunction with the 2014 Interim Guidance on Subject Matter Eligibility (2014 IEG),\u201d etc., irrespective of the field of invention and features of the claim set.<\/li>\n<\/ul>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Present a brief argument without mentioning steps or prongs.<\/li>\n<\/ul>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Amend claims to counter prior art rejection and avoid the claim amendments for 101 rejections.<\/li>\n<\/ul>\n\n\n\n<p>However, such a conventional approach is not fail-safe. The examiner might reject the claim set again due to lack of persuasive arguments against the 101 rejection. This will burden the patent applicant to file the response again. In addition, if the OA is final, then the owner has to bear the cost of the subsequent OA. Therefore, the applicant has to ensure the citation of appropriate case laws or examples to overcome the 101 rejection.<\/p>\n\n\n\n<p>The applicant must present a robust claim amendment by adhering to the recent USPTO guidelines and examples to avoid such a scenario. The next section discusses an effective way to present claim amendments and arguments as per the latest guidelines.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Presenting_Claim_Amendments_Arguments_As_Per_Recent_USPTO_Guidelines_and_Examples\"><\/span>Presenting Claim Amendments &amp; Arguments As Per Recent USPTO Guidelines and Examples<span class=\"ez-toc-section-end\"><\/span><\/h2>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Properly check the field of invention and features of claims.<\/li>\n\n\n\n<li>Find the relevance between the claimed invention and the examples released by the USPTO.<\/li>\n\n\n\n<li>Amend the claimed invention by adding features from the specification, if required, in view of the relevant examples.<\/li>\n\n\n\n<li>Argue the features of the claim set which are similar to the USPTO examples by citing the relevant examples.<\/li>\n\n\n\n<li>Present an argument for each of Step 1, Step 2A (Prong 1 and Prong 2), and Step 2B with different features of the claim according to the requirement of each step.<\/li>\n<\/ul>\n\n\n\n<p>By following the steps mentioned above, the applicant can ensure overcoming 101 rejections and save cost and time.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Conclusion\"><\/span>Conclusion<span class=\"ez-toc-section-end\"><\/span><\/h2>\n\n\n\n<p>It is common for patent applications to face 101 rejections during prosecution, despite drafting the claims carefully. An applicant must read the invention from a technical viewpoint to search for features that can help overcome 101 contradictions. Besides having technical knowledge, the applicant should also possess proper knowledge of the USPTO examples and case laws to use them effectively. It is crucial to hire the capabilities of a reliable third-party service provider to save valuable time and resources.<\/p>\n\n\n\n<p>Sagacious IP is a name synonymous with high-quality IP solutions. Over the last decade, the company has been consistent in its approach to fulfilling clients\u2019 expectations. Sagacious IP\u2019s <a href=\"https:\/\/sagaciousresearch.com\/office-action-response\">Office Action Response<\/a> service is designed to help clients overcome 101 rejections raised by an examiner. Our team has extensive experience in responding to 101 rejections in different fields and can help you navigate through the application process with ease.<\/p>\n\n\n\n<p>&#8211; Bhawana (ICT Drafting &amp; Prosecution) and the Editorial Team<\/p>\n\n\n\n<p><\/p>\n\n\n\n<h3 class=\"wp-block-heading\"><span class=\"ez-toc-section\" id=\"Having_Queries_Contact_Us_Now\"><\/span>Having Queries? 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id='input_203_17' class='large gfield_select'    aria-required=\"true\" aria-invalid=\"false\" ><option value='' >Please Select Country<\/option><option value='United States' >United States<\/option><option value='Canada' >Canada<\/option><option value='United Kingdom' >United Kingdom<\/option><option value='China' >China<\/option><option value='India' >India<\/option><option value='North Korea' >North Korea<\/option><option value='South korea' >South korea<\/option><option value='United Arab Emirates' >United Arab Emirates<\/option><option value='Afghanistan' >Afghanistan<\/option><option value='Albania' >Albania<\/option><option value='Algeria' >Algeria<\/option><option value='Andorra' >Andorra<\/option><option value='Angola' >Angola<\/option><option value='Antigua and Barbuda' >Antigua and Barbuda<\/option><option value='Argentina' >Argentina<\/option><option value='Armenia' >Armenia<\/option><option value='Australia' >Australia<\/option><option value='Austria' >Austria<\/option><option value='Azerbaijan' >Azerbaijan<\/option><option value='The Bahamas' >The Bahamas<\/option><option value='Bahrain' >Bahrain<\/option><option value='Bangladesh' >Bangladesh<\/option><option value='Barbados' >Barbados<\/option><option value='Belarus' >Belarus<\/option><option value='Belgium' >Belgium<\/option><option value='Belize' >Belize<\/option><option value='Benin' >Benin<\/option><option value='Bhutan' >Bhutan<\/option><option value='Bolivia' >Bolivia<\/option><option value='Bosnia and Herzegovina' >Bosnia and Herzegovina<\/option><option value='Botswana' >Botswana<\/option><option value='Brazil' >Brazil<\/option><option value='Brunei' >Brunei<\/option><option value='Bulgaria' >Bulgaria<\/option><option value='Burkina Faso' >Burkina Faso<\/option><option value='Burundi' >Burundi<\/option><option value='Cabo Verde' >Cabo Verde<\/option><option value='Cambodia' >Cambodia<\/option><option value='Cameroon' >Cameroon<\/option><option value='Central African 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Guinea<\/option><option value='Eritrea' >Eritrea<\/option><option value='Estonia' >Estonia<\/option><option value='Eswatini' >Eswatini<\/option><option value='Ethiopia' >Ethiopia<\/option><option value='Fiji' >Fiji<\/option><option value='Finland' >Finland<\/option><option value='France' >France<\/option><option value='Gabon' >Gabon<\/option><option value='The Gambia' >The Gambia<\/option><option value='Georgia' >Georgia<\/option><option value='Germany' >Germany<\/option><option value='Ghana' >Ghana<\/option><option value='Greece' >Greece<\/option><option value='Grenada' >Grenada<\/option><option value='Guatemala' >Guatemala<\/option><option value='Guinea' >Guinea<\/option><option value='Guinea-Bissau' >Guinea-Bissau<\/option><option value='Guyana' >Guyana<\/option><option value='Haiti' >Haiti<\/option><option value='Honduras' >Honduras<\/option><option value='Hungary' >Hungary<\/option><option value='Iceland' >Iceland<\/option><option value='Indonesia' >Indonesia<\/option><option value='Iran' >Iran<\/option><option value='Iraq' >Iraq<\/option><option value='Ireland' >Ireland<\/option><option value='Israel' >Israel<\/option><option value='Italy' >Italy<\/option><option value='Jamaica' >Jamaica<\/option><option value='Japan' >Japan<\/option><option value='Jordan' >Jordan<\/option><option value='Kazakhstan' >Kazakhstan<\/option><option value='Kenya' >Kenya<\/option><option value='Kiribati' >Kiribati<\/option><option value='Kosovo' >Kosovo<\/option><option value='Kuwait' >Kuwait<\/option><option value='Kyrgyzstan' >Kyrgyzstan<\/option><option value='Laos' >Laos<\/option><option value='Latvia' >Latvia<\/option><option value='Lebanon' >Lebanon<\/option><option value='Lesotho' >Lesotho<\/option><option value='Liberia' >Liberia<\/option><option value='Libya' >Libya<\/option><option value='Liechtenstein' >Liechtenstein<\/option><option value='Lithuania' >Lithuania<\/option><option value='Luxembourg' >Luxembourg<\/option><option value='Madagascar' 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value='Switzerland' >Switzerland<\/option><option value='Syria' >Syria<\/option><option value='Taiwan' >Taiwan<\/option><option value='Tajikistan' >Tajikistan<\/option><option value='Tanzania' >Tanzania<\/option><option value='Thailand' >Thailand<\/option><option value='Togo' >Togo<\/option><option value='Tonga' >Tonga<\/option><option value='Trinidad and Tobago' >Trinidad and Tobago<\/option><option value='Tunisia' >Tunisia<\/option><option value='Turkey' >Turkey<\/option><option value='Turkmenistan' >Turkmenistan<\/option><option value='Tuvalu' >Tuvalu<\/option><option value='Uganda' >Uganda<\/option><option value='Ukraine' >Ukraine<\/option><option value='Uruguay' >Uruguay<\/option><option value='Uzbekistan' >Uzbekistan<\/option><option value='Vanuatu' >Vanuatu<\/option><option value='Vatican City' >Vatican City<\/option><option value='Venezuela' >Venezuela<\/option><option value='Vietnam' >Vietnam<\/option><option value='Yemen' >Yemen<\/option><option value='Zambia' 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