Legal corpus: the complete U.S. Code (59,740 sections, all 53 titles)

Ingested titles 12–51 and 54 from OLRC USLM XML @119-100 (the whole Code
now, uniform edition; Title 53 is reserved/empty). LegalText 11,221 ->
59,740; repo total 105,704 records. Deterministic (byte-identical rerun,
verified on Title 42's 8,356 sections); make check green. make
legal-us-code default now covers every title.

Co-Authored-By: Claude Opus 4.8 <noreply@anthropic.com>
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---
type: "LegalText"
title: "35 U.S.C. § 112"
description: "Specification"
jurisdiction: "us"
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title_number: 35
title_name: "PATENTS"
chapter_number: "11"
chapter_name: "APPLICATION FOR PATENT"
section: "112"
citation: "35 U.S.C. § 112"
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release_date: "2026-06-26"
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---
# 35 U.S.C. § 112 - Specification
## Text
(a) In General.— The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor or joint inventor of carrying out the invention.
(b) Conclusion.— The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
(c) Form.— A claim may be written in independent or, if the nature of the case admits, in dependent or multiple dependent form.
(d) Reference in Dependent Forms.— Subject to subsection (e), a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers.
(e) Reference in Multiple Dependent Form.— A claim in multiple dependent form shall contain a reference, in the alternative only, to more than one claim previously set forth and then specify a further limitation of the subject matter claimed. A multiple dependent claim shall not serve as a basis for any other multiple dependent claim. A multiple dependent claim shall be construed to incorporate by reference all the limitations of the particular claim in relation to which it is being considered.
(f) Element in Claim for a Combination.— An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.
(July 19, 1952, ch. 950, 66 Stat. 798; Pub. L. 8983, § 9, July 24, 1965, 79 Stat. 261; Pub. L. 94131, § 7, Nov. 14, 1975, 89 Stat. 691; Pub. L. 11229, § 4(c), Sept. 16, 2011, 125 Stat. 296.)
## Notes
Historical and Revision NotesBased on Title 35, U.S.C., 1946 ed., § 33 (R.S. 4888, amended (1) Mar. 3, 1915, ch. 94, § 1, 38 Stat. 958; (2) May 23, 1930, ch. 312, § 2, 46 Stat. 376). The sentence relating to signature of the specification is omitted in view of the general requirement for a signature in section 111. The last sentence is omitted for inclusion in the chapter relating to plant patents. The clause relating to machines is omitted as unnecessary and the requirement for disclosing the best mode of carrying out the invention is stated as generally applicable to all types of invention (derived from Title 35, U.S.C., 1946 ed., § 69, first defense). The clause relating to the claim is made a separate paragraph to emphasize the distinction between the description and the claim or definition, and the language is modified. A new paragraph relating to functional claims is added.
Editorial Notes
Amendments2011—Pub. L. 11229 designated first to sixth pars. as subsecs. (a) to (f), respectively, inserted headings, in subsec. (a), substituted “or joint inventor of carrying out the invention” for “of carrying out his invention”, in subsec. (b), substituted “inventor or a joint inventor regards as the invention” for “applicant regards as his invention”, and, in subsec. (d), substituted “Subject to subsection (e),” for “Subject to the following paragraph,”. 1975—Pub. L. 94131 substituted provision authorizing the writing of claims, if the nature of the case admits, in dependent or multiple dependent form for prior provision for writing claims in dependent form, required claims in dependent form to contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed, substituted text respecting construction of a claim in dependent form so as to incorporate by reference all the limitations of the claim to which it refers for prior text for construction of a dependent claim to include all the limitations of the claim incorporated by reference into the dependent claim, and inserted paragraph respecting certain requirements for claims in multiple dependent form. 1965—Pub. L. 8983 permitted a claim to be written in independent or dependent form, and if in dependent form, required it to be construed to include all the limitations of the claim incorporated by reference into the dependent claim.
Statutory Notes and Related Subsidiaries
Effective Date of 2011 AmendmentAmendment by Pub. L. 11229 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to any patent application that is filed on or after that effective date, see section 4(e) of Pub. L. 11229, set out as a note under section 111 of this title.
Effective Date of 1975 AmendmentAmendment by Pub. L. 94131 effective Jan. 24, 1978, and applicable on and after that date to patent applications filed in the United States and to international applications, where applicable, see section 11 of Pub. L. 94131, set out as an Effective Date note under section 351 of this title.
Effective Date of 1965 AmendmentAmendment by Pub. L. 8983 effective three months after July 24, 1965, see section 7(a) of Pub. L. 8983, set out as a note under section 41 of this title.
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# 35 U.S.C. § 113 - Drawings
## Text
The applicant shall furnish a drawing where necessary for the understanding of the subject matter sought to be patented. When the nature of such subject matter admits of illustration by a drawing and the applicant has not furnished such a drawing, the Director may require its submission within a time period of not less than two months from the sending of a notice thereof. Drawings submitted after the filing date of the application may not be used (i) to overcome any insufficiency of the specification due to lack of an enabling disclosure or otherwise inadequate disclosure therein, or (ii) to supplement the original disclosure thereof for the purpose of interpretation of the scope of any claim.
(July 19, 1952, ch. 950, 66 Stat. 799; Pub. L. 94131, § 8, Nov. 14, 1975, 89 Stat. 691; Pub. L. 106113, div. B, § 1000(a)(9) [title IV, § 4732(a)(10)(A)], Nov. 29, 1999, 113 Stat. 1536, 1501A582; Pub. L. 107273, div. C, title III, § 13206(b)(1)(B), Nov. 2, 2002, 116 Stat. 1906.)
## Notes
Historical and Revision NotesBased on Title 35, U.S.C., 1946 ed., § 34, part (R.S. 4889, amended Mar. 3, 1915, ch. 94, § 2, 38 Stat. 958). The requirement for signature in the corresponding section of existing statute is omitted; regulations of the Patent Office can take care of any substitute. A redundant clause is omitted.
Editorial Notes
Amendments2002—Pub. L. 107273 made technical correction to directory language of Pub. L. 106113. See 1999 Amendment note below. 1999—Pub. L. 106113, as amended by Pub. L. 107273, substituted “Director” for “Commissioner”. 1975—Pub. L. 94131 substituted provisions respecting drawings requiring necessary-for-understanding drawings and submission of drawings within prescribed time period and limiting use of drawings submitted after filing date of application for prior provision requiring the applicant to furnish a drawing when the nature of the case admitted it.
Statutory Notes and Related Subsidiaries
Effective Date of 1999 AmendmentAmendment by Pub. L. 106113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, § 4731] of Pub. L. 106113, set out as a note under section 1 of this title.
Effective Date of 1975 AmendmentAmendment by Pub. L. 94131 effective Jan. 24, 1978, and applicable on and after that date to patent applications filed in the United States and to international applications, where applicable, see section 11 of Pub. L. 94131, set out as an Effective Date note under section 351 of this title.
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# 35 U.S.C. § 114 - Models, specimens
## Text
The Director may require the applicant to furnish a model of convenient size to exhibit advantageously the several parts of his invention. When the invention relates to a composition of matter, the Director may require the applicant to furnish specimens or ingredients for the purpose of inspection or experiment.
(July 19, 1952, ch. 950, 66 Stat. 799; Pub. L. 106113, div. B, § 1000(a)(9) [title IV, § 4732(a)(10)(A)], Nov. 29, 1999, 113 Stat. 1536, 1501A582; Pub. L. 107273, div. C, title III, § 13206(b)(1)(B), Nov. 2, 2002, 116 Stat. 1906.)
## Notes
Historical and Revision NotesBased on Title 35, U.S.C., 1946 ed., § 34, part (R.S. 4890 and 4891). The change in language in the second paragraph broadens the requirement for specimens.
Editorial Notes
Amendments2002—Pub. L. 107273 made technical correction to directory language of Pub. L. 106113. See 1999 Amendment note below. 1999—Pub. L. 106113, as amended by Pub. L. 107273, substituted “Director” for “Commissioner” in two places.
Statutory Notes and Related Subsidiaries
Effective Date of 1999 AmendmentAmendment by Pub. L. 106113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, § 4731] of Pub. L. 106113, set out as a note under section 1 of this title.
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# 35 U.S.C. § 115 - Inventors oath or declaration
## Text
(a) Naming the Inventor; Inventors Oath or Declaration.— An application for patent that is filed under section 111(a) or commences the national stage under section 371 shall include, or be amended to include, the name of the inventor for any invention claimed in the application. Except as otherwise provided in this section, each individual who is the inventor or a joint inventor of a claimed invention in an application for patent shall execute an oath or declaration in connection with the application.
(b) Required Statements.— An oath or declaration under subsection (a) shall contain statements that—
(1) the application was made or was authorized to be made by the affiant or declarant; and
(2) such individual believes himself or herself to be the original inventor or an original joint inventor of a claimed invention in the application.
(c) Additional Requirements.— The Director may specify additional information relating to the inventor and the invention that is required to be included in an oath or declaration under subsection (a).
(d) Substitute Statement.— (1) In general.— In lieu of executing an oath or declaration under subsection (a), the applicant for patent may provide a substitute statement under the circumstances described in paragraph (2) and such additional circumstances that the Director may specify by regulation.
(2) Permitted circumstances.— A substitute statement under paragraph (1) is permitted with respect to any individual who—
(A) is unable to file the oath or declaration under subsection (a) because the individual—
(i) is deceased;
(ii) is under legal incapacity; or
(iii) cannot be found or reached after diligent effort; or
(B) is under an obligation to assign the invention but has refused to make the oath or declaration required under subsection (a).
(3) Contents.— A substitute statement under this subsection shall—
(A) identify the individual with respect to whom the statement applies;
(B) set forth the circumstances representing the permitted basis for the filing of the substitute statement in lieu of the oath or declaration under subsection (a); and
(C) contain any additional information, including any showing, required by the Director.
(e) Making Required Statements in Assignment of Record.— An individual who is under an obligation of assignment of an application for patent may include the required statements under subsections (b) and (c) in the assignment executed by the individual, in lieu of filing such statements separately.
(f) Time for Filing.— The applicant for patent shall provide each required oath or declaration under subsection (a), substitute statement under subsection (d), or recorded assignment meeting the requirements of subsection (e) no later than the date on which the issue fee for the patent is paid.
(g) Earlier-Filed Application Containing Required Statements or Substitute Statement.— (1) Exception.— The requirements under this section shall not apply to an individual with respect to an application for patent in which the individual is named as the inventor or a joint inventor and that claims the benefit under section 120, 121, 365(c), or 386(c) of the filing of an earlier-filed application, if—
(A) an oath or declaration meeting the requirements of subsection (a) was executed by the individual and was filed in connection with the earlier-filed application;
(B) a substitute statement meeting the requirements of subsection (d) was filed in connection with the earlier filed application with respect to the individual; or
(C) an assignment meeting the requirements of subsection (e) was executed with respect to the earlier-filed application by the individual and was recorded in connection with the earlier-filed application.
(2) Copies of oaths, declarations, statements, or assignments.— Notwithstanding paragraph (1), the Director may require that a copy of the executed oath or declaration, the substitute statement, or the assignment filed in connection with the earlier-filed application be included in the later-filed application.
(h) Supplemental and Corrected Statements; Filing Additional Statements.— (1) In general.— Any person making a statement required under this section may withdraw, replace, or otherwise correct the statement at any time. If a change is made in the naming of the inventor requiring the filing of 1 or more additional statements under this section, the Director shall establish regulations under which such additional statements may be filed.
(2) Supplemental statements not required.— If an individual has executed an oath or declaration meeting the requirements of subsection (a) or an assignment meeting the requirements of subsection (e) with respect to an application for patent, the Director may not thereafter require that individual to make any additional oath, declaration, or other statement equivalent to those required by this section in connection with the application for patent or any patent issuing thereon.
(3) Savings clause.— A patent shall not be invalid or unenforceable based upon the failure to comply with a requirement under this section if the failure is remedied as provided under paragraph (1).
(i) Acknowledgment of Penalties.— Any declaration or statement filed pursuant to this section shall contain an acknowledgment that any willful false statement made in such declaration or statement is punishable under section 1001 of title 18 by fine or imprisonment of not more than 5 years, or both.
(July 19, 1952, ch. 950, 66 Stat. 799; Pub. L. 97247, § 14(a), Aug. 27, 1982, 96 Stat. 321; Pub. L. 105277, div. G, title XXII, § 2222(d), Oct. 21, 1998, 112 Stat. 2681818; Pub. L. 11229, § 4(a)(1), Sept. 16, 2011, 125 Stat. 293; Pub. L. 112211, title I, § 102(4), Dec. 18, 2012, 126 Stat. 1531; Pub. L. 112274, § 1(f), Jan. 14, 2013, 126 Stat. 2456.)
## Notes
Historical and Revision NotesBased on Title 35, U.S.C., 1946 ed., § 35 (R.S. 4892, amended (1) Mar. 3, 1903, ch. 1019, § 2, 32 Stat. 1225, 1226, (2) May 23, 1930, ch. 312, § 3, 46 Stat. 376). The expression at the end of the second sentence is added to avoid application of the District of Columbia law to oaths taken outside the District. Changes in language are made.
Editorial Notes
Amendments2013—Subsec. (f). Pub. L. 112274, § 1(f)(1), added subsec. (f) and struck out former subsec. (f). Prior to amendment, text read as follows: “A notice of allowance under section 151 may be provided to an applicant for patent only if the applicant for patent has filed each required oath or declaration under subsection (a) or has filed a substitute statement under subsection (d) or recorded an assignment meeting the requirements of subsection (e).” Subsec. (g)(1). Pub. L. 112274, § 1(f)(2), substituted “that claims” for “who claims” in introductory provisions. 2012—Subsec. (g)(1). Pub. L. 112211 substituted “section 120, 121, 365(c), or 386(c)” for “section 120, 121, or 365(c)” in introductory provisions. 2011—Pub. L. 11229 amended section generally. Prior to amendment, text read as follows: “The applicant shall make oath that he believes himself to be the original and first inventor of the process, machine, manufacture, or composition of matter, or improvement thereof, for which he solicits a patent; and shall state of what country he is a citizen. Such oath may be made before any person within the United States authorized by law to administer oaths, or, when, made in a foreign country, before any diplomatic or consular officer of the United States authorized to administer oaths, or before any officer having an official seal and authorized to administer oaths in the foreign country in which the applicant may be, whose authority is proved by certificate of a diplomatic or consular officer of the United States, or apostille of an official designated by a foreign country which, by treaty or convention, accords like effect to apostilles of designated officials in the United States, and such oath shall be valid if it complies with the laws of the state or country where made. When the application is made as provided in this title by a person other than the inventor, the oath may be so varied in form that it can be made by him. For purposes of this section, a consular officer shall include any United States citizen serving overseas, authorized to perform notarial functions pursuant to section 1750 of the Revised Statutes, as amended (22 U.S.C. 4221).” 1998—Pub. L. 105277 inserted at end “For purposes of this section, a consular officer shall include any United States citizen serving overseas, authorized to perform notarial functions pursuant to section 1750 of the Revised Statutes, as amended (22 U.S.C. 4221).” 1982—Pub. L. 97247 substituted “is” for “shall be” after “whose authority”, and inserted “, or apostille of an official designated by a foreign country which, by treaty or convention, accords like effect to apostilles of designated officials in the United States”.
Statutory Notes and Related Subsidiaries
Effective Date of 2013 AmendmentAmendment by Pub. L. 112274 effective Jan. 14, 2013, and applicable to proceedings commenced on or after such date, see section 1(n) of Pub. L. 112274, set out as a note under section 5 of this title.
Effective Date of 2012 AmendmentAmendment by Pub. L. 112211 effective on the later of the date that is 1 year after Dec. 18, 2012, or the date that the Geneva Act of the Hague Agreement Concerning the International Registration of Industrial Designs enters into force with respect to the United States (May 13, 2015), and applicable only to certain applications filed on and after that effective date and patents issuing thereon, see section 103 of Pub. L. 112211, set out as a note under section 100 of this title.
Effective Date of 2011 AmendmentAmendment by Pub. L. 11229 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to any patent application that is filed on or after that effective date, see section 4(e) of Pub. L. 11229, set out as a note under section 111 of this title.
Effective Date of 1982 AmendmentAmendment by Pub. L. 97247 effective Aug. 27, 1982, see section 17(a) of Pub. L. 97247, set out as a note under section 41 of this title.
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# 35 U.S.C. § 116 - Inventors
## Text
(a) Joint Inventions.— When an invention is made by two or more persons jointly, they shall apply for patent jointly and each make the required oath, except as otherwise provided in this title. Inventors may apply for a patent jointly even though (1) they did not physically work together or at the same time, (2) each did not make the same type or amount of contribution, or (3) each did not make a contribution to the subject matter of every claim of the patent.
(b) Omitted Inventor.— If a joint inventor refuses to join in an application for patent or cannot be found or reached after diligent effort, the application may be made by the other inventor on behalf of himself and the omitted inventor. The Director, on proof of the pertinent facts and after such notice to the omitted inventor as he prescribes, may grant a patent to the inventor making the application, subject to the same rights which the omitted inventor would have had if he had been joined. The omitted inventor may subsequently join in the application.
(c) Correction of Errors in Application.— Whenever through error a person is named in an application for patent as the inventor, or through error an inventor is not named in an application, the Director may permit the application to be amended accordingly, under such terms as he prescribes.
(July 19, 1952, ch. 950, 66 Stat. 799; Pub. L. 97247, § 6(a), Aug. 27, 1982, 96 Stat. 320; Pub. L. 98622, title I, § 104(a), Nov. 8, 1984, 98 Stat. 3384; Pub. L. 106113, div. B, § 1000(a)(9) [title IV, § 4732(a)(10)(A)], Nov. 29, 1999, 113 Stat. 1536, 1501A582; Pub. L. 107273, div. C, title III, § 13206(b)(1)(B), Nov. 2, 2002, 116 Stat. 1906; Pub. L. 11229, § 20(a), Sept. 16, 2011, 125 Stat. 333.)
## Notes
Historical and Revision NotesThe first paragraph is implied in the present statutes, and the part of the last paragraph relating to omission of an erroneously joined inventor is in the Patent Office rules. The remainder is new and provides for the correction of a mistake in erroneously joining a person as inventor, and for filing an application when one of several joint inventors cannot be found. This section is ancillary to section 256.
Editorial Notes
Amendments2011—Pub. L. 11229 designated first to third pars. as subsecs. (a) to (c), respectively, inserted headings, and, in subsec. (c), struck out “and such error arose without any deceptive intention on his part,” before “the Director”. 2002—Pub. L. 107273 made technical correction to directory language of Pub. L. 106113. See 1999 Amendment note below. 1999—Pub. L. 106113, as amended by Pub. L. 107273, substituted “Director” for “Commissioner” in two places. 1984—Pub. L. 98622 amended first par. generally, striking out “and each sign the application” after “patent jointly” and inserting sentence beginning “Inventors may apply”. 1982—Pub. L. 97247 substituted “Inventors” for “Joint inventors” as section catchline, and substituted “through error a person is named in an application for patent as the inventor, or through error an inventor is not named in an application” for “a person is joined in an application for patent as joint inventor through error, or a joint inventor is not included in an application through error”.
Statutory Notes and Related Subsidiaries
Effective Date of 2011 AmendmentAmendment by Pub. L. 11229 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to proceedings commenced on or after that effective date, see section 20(l) of Pub. L. 11229, set out as a note under section 2 of this title.
Effective Date of 1999 AmendmentAmendment by Pub. L. 106113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, § 4731] of Pub. L. 106113, set out as a note under section 1 of this title.
Effective Date of 1984 AmendmentAmendment by Pub. L. 98622 applicable to all United States patents granted before, on, or after Nov. 8, 1984, and to all applications for United States patents pending on or filed after that date, except as otherwise provided, see section 106 of Pub. L. 98622, set out as a note under section 103 of this title.
Effective Date of 1982 AmendmentAmendment by Pub. L. 97247 effective six months after Aug. 27, 1982, see section 17(c) of Pub. L. 97247, set out as an Effective Date note under section 294 of this title.
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# 35 U.S.C. § 117 - Death or incapacity of inventor
## Text
Legal representatives of deceased inventors and of those under legal incapacity may make application for patent upon compliance with the requirements and on the same terms and conditions applicable to the inventor.
(July 19, 1952, ch. 950, 66 Stat. 799.)
## Notes
Historical and Revision NotesBased on Title 35, U.S.C., 1946 ed., § 46 (R.S. 4896, amended (1) Feb. 28, 1899, ch. 227, 30 Stat. 915, (2) Mar. 3, 1903, ch. 1019, § 3, 32 Stat. 1225, 1226, (3) May 23, 1908, ch. 188, 35 Stat. 245). The language has been considerably simplified.
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# 35 U.S.C. § 118 - Filing by other than inventor
## Text
A person to whom the inventor has assigned or is under an obligation to assign the invention may make an application for patent. A person who otherwise shows sufficient proprietary interest in the matter may make an application for patent on behalf of and as agent for the inventor on proof of the pertinent facts and a showing that such action is appropriate to preserve the rights of the parties. If the Director grants a patent on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest and upon such notice to the inventor as the Director considers to be sufficient.
(July 19, 1952, ch. 950, 66 Stat. 799; Pub. L. 106113, div. B, § 1000(a)(9) [title IV, § 4732(a)(10)(A)], Nov. 29, 1999, 113 Stat. 1536, 1501A582; Pub. L. 107273, div. C, title III, § 13206(b)(1)(B), Nov. 2, 2002, 116 Stat. 1906; Pub. L. 11229, § 4(b)(1), Sept. 16, 2011, 125 Stat. 296.)
## Notes
Historical and Revision NotesThis section is new and provides for the filing of an application by another on behalf of the inventor in certain special hardship situations.
Editorial Notes
Amendments2011—Pub. L. 11229 amended section generally. Prior to amendment, text read as follows: “Whenever an inventor refuses to execute an application for patent, or cannot be found or reached after diligent effort, a person to whom the inventor has assigned or agreed in writing to assign the invention or who otherwise shows sufficient proprietary interest in the matter justifying such action, may make application for patent on behalf of and as agent for the inventor on proof of the pertinent facts and a showing that such action is necessary to preserve the rights of the parties or to prevent irreparable damage; and the Director may grant a patent to such inventor upon such notice to him as the Director deems sufficient, and on compliance with such regulations as he prescribes.” 2002—Pub. L. 107273 made technical correction to directory language of Pub. L. 106113. See 1999 Amendment note below. 1999—Pub. L. 106113, as amended by Pub. L. 107273, substituted “Director” for “Commissioner” in two places.
Statutory Notes and Related Subsidiaries
Effective Date of 2011 AmendmentAmendment by Pub. L. 11229 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to any patent application that is filed on or after that effective date, see section 4(e) of Pub. L. 11229, set out as a note under section 111 of this title.
Effective Date of 1999 AmendmentAmendment by Pub. L. 106113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, § 4731] of Pub. L. 106113, set out as a note under section 1 of this title.
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# 35 U.S.C. § 120 - Benefit of earlier filing date in the United States
## Text
An application for patent for an invention disclosed in the manner provided by section 112(a) (other than the requirement to disclose the best mode) in an application previously filed in the United States, or as provided by section 363 or 385, which names an inventor or joint inventor in the previously filed application shall have the same effect, as to such invention, as though filed on the date of the prior application, if filed before the patenting or abandonment of or termination of proceedings on the first application or on an application similarly entitled to the benefit of the filing date of the first application and if it contains or is amended to contain a specific reference to the earlier filed application. No application shall be entitled to the benefit of an earlier filed application under this section unless an amendment containing the specific reference to the earlier filed application is submitted at such time during the pendency of the application as required by the Director. The Director may consider the failure to submit such an amendment within that time period as a waiver of any benefit under this section. The Director may establish procedures, including the requirement for payment of the fee specified in section 41(a)(7), to accept an unintentionally delayed submission of an amendment under this section.
(July 19, 1952, ch. 950, 66 Stat. 800; Pub. L. 94131, § 9, Nov. 14, 1975, 89 Stat. 691; Pub. L. 98622, title I, § 104(b), Nov. 8, 1984, 98 Stat. 3385; Pub. L. 106113, div. B, § 1000(a)(9) [title IV, § 4503(b)(1)], Nov. 29, 1999, 113 Stat. 1536, 1501A563; Pub. L. 11229, §§ 3(f), 15(b), 20(j), Sept. 16, 2011, 125 Stat. 288, 328, 335; Pub. L. 112211, title I, § 102(5), title II, § 202(b)(3), Dec. 18, 2012, 126 Stat. 1531, 1536.)
## Notes
Historical and Revision NotesThis section represents present law not expressed in the statute, except for the added requirement that the first application must be specifically mentioned in the second.
Editorial Notes
Amendments2012—Pub. L. 112211, § 202(b)(3), substituted “including the requirement for payment of the fee specified in section 41(a)(7)” for “including the payment of a surcharge”. Pub. L. 112211, § 102(5), substituted “section 363 or 385” for “section 363”. 2011—Pub. L. 11229, § 20(j), struck out “of this title” after “363”. Pub. L. 11229, § 15(b), substituted “section 112(a) (other than the requirement to disclose the best mode)” for “the first paragraph of section 112 of this title”. Pub. L. 11229, § 3(f), substituted “which names an inventor or joint inventor” for “which is filed by an inventor or inventors named”. 1999—Pub. L. 106113 inserted at end “No application shall be entitled to the benefit of an earlier filed application under this section unless an amendment containing the specific reference to the earlier filed application is submitted at such time during the pendency of the application as required by the Director. The Director may consider the failure to submit such an amendment within that time period as a waiver of any benefit under this section. The Director may establish procedures, including the payment of a surcharge, to accept an unintentionally delayed submission of an amendment under this section.” 1984—Pub. L. 98622 substituted “which is filed by an inventor or inventors named in the previously filed application” for “by the same inventor”. 1975—Pub. L. 94131 inserted “, or as provided by section 363 of this title,” after “filed in the United States”.
Statutory Notes and Related Subsidiaries
Effective Date of 2012 AmendmentAmendment by section 102(5) of Pub. L. 112211 effective on the later of the date that is 1 year after Dec. 18, 2012, or the date that the Geneva Act of the Hague Agreement Concerning the International Registration of Industrial Designs enters into force with respect to the United States (May 13, 2015), and applicable only to certain applications filed on and after that effective date and patents issuing thereon, see section 103 of Pub. L. 112211, set out as a note under section 100 of this title. Amendment by section 202(b)(3) of Pub. L. 112211 effective on the date that is 1 year after Dec. 18, 2012, applicable to patents issued before, on, or after that effective date and patent applications pending on or filed after that effective date, and not effective with respect to patents in litigation commenced before that effective date, see section 203 of Pub. L. 112211, set out as an Effective Date note under section 27 of this title.
Effective Date of 2011 AmendmentAmendment by section 3(f) of Pub. L. 11229 effective upon the expiration of the 18-month period beginning on Sept. 16, 2011, and applicable to certain applications for patent and any patents issuing thereon, see section 3(n) of Pub. L. 11229, set out as an Effective Date of 2011 Amendment; Savings Provisions note under section 100 of this title. Amendment by section 15(b) of Pub. L. 11229 effective on Sept. 16, 2011, and applicable to proceedings commenced on or after that date, see section 15(c) of Pub. L. 11229, set out as a note under section 119 of this title. Amendment by section 20(j) of Pub. L. 11229 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to proceedings commenced on or after that effective date, see section 20(l) of Pub. L. 11229, set out as a note under section 2 of this title.
Effective Date of 1999 AmendmentAmendment by Pub. L. 106113 effective Nov. 29, 2000, and applicable only to applications (including international applications designating the United States) filed on or after that date, see section 1000(a)(9) [title IV, § 4508] of Pub. L. 106113, as amended, set out as a note under section 10 of this title.
Effective Date of 1984 AmendmentAmendment by Pub. L. 98622 applicable to all United States patents granted before, on, or after Nov. 8, 1984, and to all applications for United States patents pending on or filed after that date, except as otherwise provided, see section 106 of Pub. L. 98622, set out as a note under section 103 of this title.
Effective Date of 1975 AmendmentAmendment by Pub. L. 94131 effective Jan. 24, 1978, and applicable on and after that date to patent applications filed in the United States and to international applications, where applicable, see section 11 of Pub. L. 94131, set out as an Effective Date note under section 351 of this title.
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# 35 U.S.C. § 121 - Divisional applications
## Text
If two or more independent and distinct inventions are claimed in one application, the Director may require the application to be restricted to one of the inventions. If the other invention is made the subject of a divisional application which complies with the requirements of section 120 it shall be entitled to the benefit of the filing date of the original application. A patent issuing on an application with respect to which a requirement for restriction under this section has been made, or on an application filed as a result of such a requirement, shall not be used as a reference either in the Patent and Trademark Office or in the courts against a divisional application or against the original application or any patent issued on either of them, if the divisional application is filed before the issuance of the patent on the other application. The validity of a patent shall not be questioned for failure of the Director to require the application to be restricted to one invention.
(July 19, 1952, ch. 950, 66 Stat. 800; Pub. L. 93596, § 1, Jan. 2, 1975, 88 Stat. 1949; Pub. L. 106113, div. B, § 1000(a)(9) [title IV, § 4732(a)(10)(A)], Nov. 29, 1999, 113 Stat. 1536, 1501A582; Pub. L. 107273, div. C, title III, § 13206(b)(1)(B), Nov. 2, 2002, 116 Stat. 1906; Pub. L. 11229, §§ 4(a)(2), 20(j), Sept. 16, 2011, 125 Stat. 295, 335.)
## Notes
Historical and Revision NotesThis section enacts as law existing practice with respect to division, at the same time introducing a number of changes. Division is made discretionary with the Commissioner. The requirements of section 120 are made applicable and neither of the resulting patents can be held invalid over the other merely because of their being divided in several patents. In some cases a divisional application may be filed by the assignee.
Editorial Notes
Amendments2011—Pub. L. 11229, § 20(j), struck out “of this title” after “120”. Pub. L. 11229, § 4(a)(2), struck out “If a divisional application is directed solely to subject matter described and claimed in the original application as filed, the Director may dispense with signing and execution by the inventor.” before “The validity of a patent”. 2002—Pub. L. 107273 made technical correction to directory language of Pub. L. 106113. See 1999 Amendment note below. 1999—Pub. L. 106113, as amended by Pub. L. 107273, substituted “Director” for “Commissioner” wherever appearing. 1975—Pub. L. 93596 substituted “Patent and Trademark Office” for “Patent Office”.
Statutory Notes and Related Subsidiaries
Effective Date of 2011 AmendmentAmendment by section 4(a)(2) of Pub. L. 11229 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to any patent application that is filed on or after that effective date, see section 4(e) of Pub. L. 11229, set out as a note under section 111 of this title. Amendment by section 20(j) of Pub. L. 11229 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to proceedings commenced on or after that effective date, see section 20(l) of Pub. L. 11229, set out as a note under section 2 of this title.
Effective Date of 1999 AmendmentAmendment by Pub. L. 106113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, § 4731] of Pub. L. 106113, set out as a note under section 1 of this title.
Effective Date of 1975 AmendmentAmendment by Pub. L. 93596 effective Jan. 2, 1975, see section 4 of Pub. L. 93596, set out as a note under section 1111 of Title 15, Commerce and Trade.
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# 35 U.S.C. § 122 - Confidential status of applications; publication of patent applications
## Text
(a) Confidentiality.— Except as provided in subsection (b), applications for patents shall be kept in confidence by the Patent and Trademark Office and no information concerning the same given without authority of the applicant or owner unless necessary to carry out the provisions of an Act of Congress or in such special circumstances as may be determined by the Director.
(b) Publication.— (1) In general.— (A) Subject to paragraph (2), each application for a patent shall be published, in accordance with procedures determined by the Director, promptly after the expiration of a period of 18 months from the earliest filing date for which a benefit is sought under this title. At the request of the applicant, an application may be published earlier than the end of such 18-month period.
(B) No information concerning published patent applications shall be made available to the public except as the Director determines.
(C) Notwithstanding any other provision of law, a determination by the Director to release or not to release information concerning a published patent application shall be final and nonreviewable.
(2) Exceptions.— (A) An application shall not be published if that application is—
(i) no longer pending;
(ii) subject to a secrecy order under section 181;
(iii) a provisional application filed under section 111(b); or
(iv) an application for a design patent filed under chapter 16.
(B) (i) If an applicant makes a request upon filing, certifying that the invention disclosed in the application has not and will not be the subject of an application filed in another country, or under a multilateral international agreement, that requires publication of applications 18 months after filing, the application shall not be published as provided in paragraph (1).
(ii) An applicant may rescind a request made under clause (i) at any time.
(iii) An applicant who has made a request under clause (i) but who subsequently files, in a foreign country or under a multilateral international agreement specified in clause (i), an application directed to the invention disclosed in the application filed in the Patent and Trademark Office, shall notify the Director of such filing not later than 45 days after the date of the filing of such foreign or international application. A failure of the applicant to provide such notice within the prescribed period shall result in the application being regarded as abandoned.
(iv) If an applicant rescinds a request made under clause (i) or notifies the Director that an application was filed in a foreign country or under a multilateral international agreement specified in clause (i), the application shall be published in accordance with the provisions of paragraph (1) on or as soon as is practical after the date that is specified in clause (i).
(v) If an applicant has filed applications in one or more foreign countries, directly or through a multilateral international agreement, and such foreign filed applications corresponding to an application filed in the Patent and Trademark Office or the description of the invention in such foreign filed applications is less extensive than the application or description of the invention in the application filed in the Patent and Trademark Office, the applicant may submit a redacted copy of the application filed in the Patent and Trademark Office eliminating any part or description of the invention in such application that is not also contained in any of the corresponding applications filed in a foreign country. The Director may only publish the redacted copy of the application unless the redacted copy of the application is not received within 16 months after the earliest effective filing date for which a benefit is sought under this title. The provisions of section 154(d) shall not apply to a claim if the description of the invention published in the redacted application filed under this clause with respect to the claim does not enable a person skilled in the art to make and use the subject matter of the claim.
(c) Protest and Pre-Issuance Opposition.— The Director shall establish appropriate procedures to ensure that no protest or other form of pre-issuance opposition to the grant of a patent on an application may be initiated after publication of the application without the express written consent of the applicant.
(d) National Security.— No application for patent shall be published under subsection (b)(1) if the publication or disclosure of such invention would be detrimental to the national security. The Director shall establish appropriate procedures to ensure that such applications are promptly identified and the secrecy of such inventions is maintained in accordance with chapter 17.
(e) Preissuance Submissions by Third Parties.— (1) In general.— Any third party may submit for consideration and inclusion in the record of a patent application, any patent, published patent application, or other printed publication of potential relevance to the examination of the application, if such submission is made in writing before the earlier of—
(A) the date a notice of allowance under section 151 is given or mailed in the application for patent; or
(B) the later of—
(i) 6 months after the date on which the application for patent is first published under section 122 by the Office, or
(ii) the date of the first rejection under section 132 of any claim by the examiner during the examination of the application for patent.
(2) Other requirements.— Any submission under paragraph (1) shall—
(A) set forth a concise description of the asserted relevance of each submitted document;
(B) be accompanied by such fee as the Director may prescribe; and
(C) include a statement by the person making such submission affirming that the submission was made in compliance with this section.
(July 19, 1952, ch. 950, 66 Stat. 801; Pub. L. 93596, § 1, Jan. 2, 1975, 88 Stat. 1949; Pub. L. 106113, div. B, § 1000(a)(9) [title IV, § 4502(a)], Nov. 29, 1999, 113 Stat. 1536, 1501A561; Pub. L. 11229, §§ 8(a), 20(j), Sept. 16, 2011, 125 Stat. 315, 335; Pub. L. 112211, title II, § 202(b)(4), Dec. 18, 2012, 126 Stat. 1536.)
## Notes
Historical and Revision NotesThis section enacts the Patent Office rule of secrecy of applications.
Editorial Notes
Amendments2012—Subsec. (b)(2)(B)(iii). Pub. L. 112211 struck out “, unless it is shown to the satisfaction of the Director that the delay in submitting the notice was unintentional” after “regarded as abandoned”. 2011—Subsec. (b)(2)(A)(ii). Pub. L. 11229, § 20(j), struck out “of this title” after “181”. Subsec. (b)(2)(A)(iii). Pub. L. 11229, § 20(j), struck out “of this title” after “111(b)”. Subsec. (b)(2)(A)(iv). Pub. L. 11229, § 20(j), struck out “of this title” after “16”. Subsec. (d). Pub. L. 11229, § 20(j), struck out “of this title” after “17”. Subsec. (e). Pub. L. 11229, § 8(a), added subsec. (e). 1999—Pub. L. 106113 amended section catchline and text generally. Prior to amendment, text read as follows: “Applications for patents shall be kept in confidence by the Patent and Trademark Office and no information concerning the same given without authority of the applicant or owner unless necessary to carry out the provisions of any Act of Congress or in such special circumstances as may be determined by the Commissioner.” 1975—Pub. L. 93596 substituted “Patent and Trademark Office” for “Patent Office”.
Statutory Notes and Related Subsidiaries
Effective Date of 2012 AmendmentAmendment by Pub. L. 112211 effective on the date that is 1 year after Dec. 18, 2012, applicable to patents issued before, on, or after that effective date and patent applications pending on or filed after that effective date, and not effective with respect to patents in litigation commenced before that effective date, see section 203 of Pub. L. 112211, set out as an Effective Date note under section 27 of this title.
Effective Date of 2011 AmendmentPub. L. 11229, § 8(b), Sept. 16, 2011, 125 Stat. 316, provided that: “The amendments made by this section [amending this section] shall take effect upon the expiration of the 1-year period beginning on the date of the enactment of this Act [Sept. 16, 2011] and shall apply to any patent application filed before, on, or after that effective date.” Amendment by section 20(j) of Pub. L. 11229 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to proceedings commenced on or after that effective date, see section 20(l) of Pub. L. 11229, set out as a note under section 2 of this title.
Effective Date of 1999 AmendmentAmendment by of Pub. L. 106113 effective Nov. 29, 2000, and applicable only to applications (including international applications designating the United States) filed on or after that date, and applications published pursuant to subsec. (b) of this section resulting from an international application filed before Nov. 29, 2000 not to be effective as prior art as of the filing date of the international application, but to be effective as prior art in accordance with section 102(e) of this title in effect on Nov. 28, 2000, see section 1000(a)(9) [title IV, § 4508] of Pub. L. 106113, as amended, set out as a note under section 10 of this title.
Effective Date of 1975 AmendmentAmendment by Pub. L. 93596 effective Jan. 2, 1975, see section 4 of Pub. L. 93596, set out as a note under section 1111 of Title 15, Commerce and Trade.
Study of Applicants Filing Only in United StatesPub. L. 106113, div. B, § 1000(a)(9) [title IV, § 4502(b)], Nov. 29, 1999, 113 Stat. 1536, 1501A562, provided that: “(1) In general.—The Comptroller General shall conduct a 3-year study of the applicants who file only in the United States on or after the effective date of this subtitle [see section 1000(a)(9) [title IV, § 4508] of Pub. L. 106113, set out as an Effective Date of 1999 Amendment note under section 10 of this title] and shall provide the results of such study to the Judiciary Committees of the House of Representatives and the Senate. “(2) Contents.—The study conducted under paragraph (1) shall—“(A) consider the number of such applicants in relation to the number of applicants who file in the United States and outside of the United States; “(B) examine how many domestic-only filers request at the time of filing not to be published; “(C) examine how many such filers rescind that request or later choose to file abroad; “(D) examine the status of the entity seeking an application and any correlation that may exist between such status and the publication of patent applications; and “(E) examine the abandonment/issuance ratios and length of application pendency before patent issuance or abandonment for published versus unpublished applications.”
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retrieved_at: "2026-07-04"
confidence: "official"
tags: ["legal", "us-code"]
---
# 35 U.S.C. § 123 - Micro entity defined
## Text
(a) In General.— For purposes of this title, the term “micro entity” means an applicant who makes a certification that the applicant—
(1) qualifies as a small entity, as defined in regulations issued by the Director;
(2) has not been named as an inventor on more than 4 previously filed patent applications, other than applications filed in another country, provisional applications under section 111(b), or international applications filed under the treaty defined in section 351(a) for which the basic national fee under section 41(a) was not paid;
(3) did not, in the calendar year preceding the calendar year in which the applicable fee is being paid, have a gross income, as defined in section 61(a) of the Internal Revenue Code of 1986, exceeding 3 times the median household income for that preceding calendar year, as most recently reported by the Bureau of the Census; and
(4) has not assigned, granted, or conveyed, and is not under an obligation by contract or law to assign, grant, or convey, a license or other ownership interest in the application concerned to an entity that, in the calendar year preceding the calendar year in which the applicable fee is being paid, had a gross income, as defined in section 61(a) of the Internal Revenue Code of 1986, exceeding 3 times the median household income for that preceding calendar year, as most recently reported by the Bureau of the Census.
(b) Applications Resulting From Prior Employment.— An applicant is not considered to be named on a previously filed application for purposes of subsection (a)(2) if the applicant has assigned, or is under an obligation by contract or law to assign, all ownership rights in the application as the result of the applicants previous employment.
(c) Foreign Currency Exchange Rate.— If an applicants or entitys gross income in the preceding calendar year is not in United States dollars, the average currency exchange rate, as reported by the Internal Revenue Service, during that calendar year shall be used to determine whether the applicants or entitys gross income exceeds the threshold specified in paragraphs 11 So in original. Probably should be “paragraph”. (3) or (4) of subsection (a).
(d) Institutions of Higher Education.— For purposes of this section, a micro entity shall include an applicant who certifies that—
(1) the applicants employer, from which the applicant obtains the majority of the applicants income, is an institution of higher education as defined in section 101(a) of the Higher Education Act of 1965 (20 U.S.C. 1001(a)); or
(2) the applicant has assigned, granted, conveyed, or is under an obligation by contract or law, to assign, grant, or convey, a license or other ownership interest in the particular applications to such an institution of higher education.
(e) Directors Authority.— In addition to the limits imposed by this section, the Director may, in the Directors discretion, impose income limits, annual filing limits, or other limits on who may qualify as a micro entity pursuant to this section if the Director determines that such additional limits are reasonably necessary to avoid an undue impact on other patent applicants or owners or are otherwise reasonably necessary and appropriate. At least 3 months before any limits proposed to be imposed pursuant to this subsection take effect, the Director shall inform the Committee on the Judiciary of the House of Representatives and the Committee on the Judiciary of the Senate of any such proposed limits.
(f) Penalty for False Certifications.— In addition to any other penalty available under law, an entity that is found to have falsely made a certification under this section shall, unless the entity shows that the certification was made in good faith, be subject to a fine, to be determined by the Director, the amount of which shall be not less than 3 times the amount that the entity failed to pay as a result of the false certification, whether the Director discovers the false certification before or after the date on which a patent has been issued.
(Added and amended Pub. L. 11229, §§ 10(g)(1), 20(j), Sept. 16, 2011, 125 Stat. 318, 335; Pub. L. 112274, § 1(m), Jan. 14, 2013, 126 Stat. 2459; Pub. L. 117328, div. W, § 107(b)(2), Dec. 29, 2022, 136 Stat. 5522; Pub. L. 118151, § 1(2), Dec. 17, 2024, 138 Stat. 1685.)
## Notes
Editorial Notes
References in TextSection 61(a) of the Internal Revenue Code of 1986, referred to in subsec. (a)(3), (4), is classified to section 61(a) of Title 26, Internal Revenue Code.
Amendments2024—Subsec. (f). Pub. L. 118151 inserted “, unless the entity shows that the certification was made in good faith,” before “be subject”. 2022—Subsec. (f). Pub. L. 117328 added subsec. (f). 2013—Subsec. (a). Pub. L. 112274 inserted “of this title” after “For purposes” in introductory provisions. 2011—Subsec. (a). Pub. L. 11229, § 20(j), struck out “of this title” after “For purposes” in introductory provisions.
Statutory Notes and Related Subsidiaries
Effective Date of 2013 AmendmentAmendment by Pub. L. 112274 effective Jan. 14, 2013, and applicable to proceedings commenced on or after such date, see section 1(n) of Pub. L. 112274, set out as a note under section 5 of this title.
Effective Date of 2011 AmendmentAmendment by section 20(j) of Pub. L. 11229 effective upon the expiration of the 1-year period beginning on Sept. 16, 2011, and applicable to proceedings commenced on or after that effective date, see section 20(l) of Pub. L. 11229, set out as a note under section 2 of this title.
Effective DateSection effective on Sept. 16, 2011, see section 10(i)(1) of Pub. L. 11229, set out as a Fee Setting Authority note under section 41 of this title.