Examination Guidelines for Patent Applications Block I - Tittle, Specification, Claim Chart, Drawings and Abstract This text is an integral part of the Patent Application Examination Guidelines. The Guidelines set out the current understanding of the Brazilian IP Statute on the content of patent applications. Other inherent exam topics are listed and discussed in the general guidelines. Patent Division - December 4, 2013 FEDERAL CIVIL SERVICE MINISTRY FOR DEVELOPMENT, INDUSTRY AND FOREIGN TRADE BRAZILIAN PATENTS AND TRADEMARKS OFFICE EXAMINATION GUIDELINES FOR PATENT APPLICATIONS BLOCK I TITTLE, SPECIFICATION, LIST OF CLAIMS, DRAWINGS AND SUMMARY Project for Resolving Patent Backlog Presidential Rule #262 promulgated on January 13, 2011 PATENT DIVISION – JULY 2012 2/35 SUMMARY CHAPTER I. TITLE 5 CHAPTER II. SPECIFICATION 5 PRESENTATION MODE .................................................................................................................................................5 STATE OF THE ART .....................................................................................................................................................6 TECHNICAL PROBLEM TO BE SOLVED BY THE INVENTION AND PROOF OF THE TECHNICAL EFFECT ATTAINED .............6 INDUSTRIAL APPLICATION ...........................................................................................................................................7 TITLE I. SUFFICIENCY OF DISCLOSURE ...........................................................................................................................7 §I. BIOLOGICAL MATERIAL FILING .........................................................................................................................7 §II. SEQUENCE OF LISTINGS ................................................................................................................................7 MATTER INITIALLY DISCLOSED IN THE SPECIFICATION .....................................................................................8 USE OF PROPER NAMES, REGISTERED TRADEMARKS OR TRADE NAMES .......................................................8 REFERENCE SIGNS ..........................................................................................................................................9 TERMINOLOGY ................................................................................................................................................9 PHYSICAL VALUES AND UNITS .......................................................................................................................9 GENERIC STATEMENTS .....................................................................................................................................9 REFERENCE DOCUMENTS ................................................................................................................................10 CHAPTER III. CLAIM CHART - CLAIMS 11 GENERAL .....................................................................................................................................................................11 NUMBERING ................................................................................................................................................................11 TITLE I. FORM, CONTENT AND TYPES OF CLAIM .......................................................................................................11 PREAMBLE, CHARACTERIZING EXPRESSION AND CHARACTERIZING PART...............................................................11 TECHNICAL CHARACTERISTICS ..............................................................................................................................12 FORMULAS AND TABLES .......................................................................................................................................13 TYPES OF CLAIMS .................................................................................................................................................13 TITLE II. FORMULATION OF CLAIMS ...........................................................................................................................13 §I. INDEPENDENT CLAIMS ...................................................................................................................................13 §II. DEPENDENT CLAIMS .....................................................................................................................................14 TITLE III. CLARITY AND INTERPRETATION OF CLAIMS...................................................................................................15 GENERAL ...............................................................................................................................................................15 INCONSISTENCIES - UNDER THE SPECIFICATION AND DRAWINGS .........................................................................15 3/35 GENERIC STATEMENTS ...........................................................................................................................................16 ESSENTIAL CHARACTERISTICS ................................................................................................................................16 USE OF RELATIVE AND/OR IMPRECISE TERMS .......................................................................................................16 “CONSISTING OF” VERSUS “COMPRISING” ............................................................................................................17 OPTIONAL CHARACTERISTICS ................................................................................................................................17 REGISTERED TRADEMARKS .....................................................................................................................................17 DEFINITION OF THE MATTER PRESENTED FOR PROTECTION IN TERMS OF THE OUTCOMES TO BE ATTAINED .........17 DEFINITION OF THE MATTER PRESENTED FOR PROTECTION IN TERMS OF PARAMETERS .......................................18 METHODS AND MEANS OF MEASUREMENT FOR PARAMETERS MENTIONED IN THE CLAIMS ...............................18 PRODUCT CLAIMS BY PROCESS .............................................................................................................................19 DEFINITION THROUGH REFERENCE TO USE OR ANOTHER OBJECT ........................................................................19 THE WORD “IN” OR “ON” (“EM” IN PORTUGUESE) ..............................................................................................20 USE CLAIMS .........................................................................................................................................................20 REFERENCES TO THE SPECIFICATION OR DRAWINGS .............................................................................................21 REFERENCE SIGNS .................................................................................................................................................21 NEGATIVE LIMITATIONS .........................................................................................................................................22 §I. GROUNDS IN THE SPECIFICATION - ARTICLE 25 OF THE BRAZILIAN IP STATUTE ............................................22 GENERAL REMARKS ........................................................................................................................................22 LEVEL OF GENERALIZATION IN A CLAIM .........................................................................................................22 OBJECTION TO THE LACK OF GROUNDS .........................................................................................................22 LACK OF GROUNDS VERSUS INSUFFICIENCY OF DISCLOSURE ..........................................................................23 DEFINITION IN TERMS OF FUNCITION ............................................................................................................23 SUBJECT MATTER PRESENTED IN THE CLAIM CHART AND NOT MENTIONED IN THE SPECIFICATION ...............24 §II. UNITY OF INVENTION - ARTICLE 22 OF THE BRAZILIAN IP STATUTE ............................................................24 GENERAL REMARKS ........................................................................................................................................24 SPECIAL TECHNICAL CHARACTERISTICS ...........................................................................................................25 LACK OF UNITY OF INVENTION, A PRIORI OR POSTERIORI ............................................................................26 INTERMEDIATE AND END PRODUCTS ..............................................................................................................27 ALTERNATIVES (“MARKUSH GROUPINGS”) ....................................................................................................28 INDIVIDUAL CHARACTERISTICS IN A CLAIM .....................................................................................................29 DEPENDENT CLAIMS ......................................................................................................................................29 DIVISIONAL APPLICATION ANALYSIS ...............................................................................................................29 UNITY OF INVENTION AND DUAL PROTECTION .....................................................................................................30