Cross-reference to related applications

The Role of Cross-References

Cross-references in a patent application are used to establish a clear chain of priority claims. This is particularly important when the application is related to, or builds upon, earlier applications, such as provisional applications, continuation applications, or international applications.

The inclusion of cross-references provides a clear historical context and lineage for an invention, which can be crucial for the examination process and for establishing the precedence and scope of patent rights.

This section might not always appear in a specification, particularly when priority claims are properly filed in the Application Data Sheet (ADS) according to standard procedures. However, it’s still best practice to include a “Cross Reference to Related Applications” section in the patent specification if the application claims early filing priority.

Standardizing Cross-Reference Formats

The format for cross-references typically adheres to a general style, which involves listing related applications in chronological order. This section is most commonly seen in continuation applications, where an applicant may pursue additional claims or aspects of an invention disclosed but not claimed in a prior application.

Below is an example of a complex cross-reference chain, which can be simplified for various scenarios. For a second continuation application claiming foreign priority and including a sequence of benefit claims, a well-structured cross-reference entry could be presented as follows:

This application is a continuation of U.S. application Ser. No. [Previous U.S. Application Number 1] filed on [Filing Date 1], which is a continuation of U.S. application Ser. No. [Previous U.S. Application Number 2] filed on [Filing Date 2], which in turn is now issued as U.S. Patent No. [Issued U.S. Patent Number] on [Issuance Date], which claims the benefit of [Foreign Country] Patent Application No. [Foreign Application Number] filed on [Foreign Filing Date], the entirety of which is hereby incorporated by reference.

The frist sentence of the above cross-reference example indicates that the current patent application is a continuation of an earlier U.S. patent application, identified by a specific serial number ([Previous U.S. Application Number 1]) and filing date ([Filing Date 1]).

...which is a continuation of U.S. application Ser. No. [Previous U.S. Application Number 2] filed on [Filing Date 2]...

Here, it’s stated that the earlier U.S. application ([Previous U.S. Application Number 1]) is itself a continuation of another previous application ([Previous U.S. Application Number 2]), filed on an earlier date ([Filing Date 2]). This creates a chain of applications, each stemming from the previous one.

...which in turn is now issued as U.S. Patent No. [Issued U.S. Patent Number] on [Issuance Date]...

This part indicates that the earlier application ([Previous U.S. Application Number 2]) has been granted and issued as a U.S. patent, identified by a patent number ([Issued U.S. Patent Number]) and the date it was issued ([Issuance Date]).

...which claims the benefit of [Foreign Country] Patent Application No. [Foreign Application Number] filed on [Foreign Filing Date], the entirety of which is hereby incorporated by reference.

Finally, this section states that the issued U.S. patent ([Issued U.S. Patent Number]) claims the benefit of a foreign patent application filed in another country ([Foreign Country]), identified by its application number ([Foreign Application Number]) and filing date ([Foreign Filing Date]). “Claiming the benefit” means that the U.S. patent application is using the filing date of the foreign application for priority purposes.

The statement “the entirety of which is hereby incorporated by reference” ensures that all information and details from the foreign patent application are legally integrated into the U.S. patent application as if fully described therein. This incorporation acknowledges and includes essential information from other documents or prior applications, a crucial aspect of patent drafting and interpretation.

Examples of Cross-References

1. Priority Claim to a Nonprovisional Application

This application is a continuation of U.S. application Ser. No. [Previous U.S. Application Number] filed on [Filing Date], which is incorporated by reference herein in its entirety.

2. Priority Claim to a Provisional Application

This application claims the benefit of U.S. Provisional Patent Application No. [Application Number], filed [Filing Date], which is incorporated by reference herein in its entirety.

3. Priority Claim to a Foreign Applicatioin

This application claims the benefit of [Foreign Country] Patent Application No. [Foreign Application Number] filed on [Foreign Filing Date], which is incorporated by reference herein in its entirely.

4. Priority Claim to a PCT Application and Foreign Application

This application is a National Stage of International Patent Application No. [PCT Application Number] filed on [Filing Date], which claims the benefit of [Foreign Country] Patent Application No. [Foreign Application Number] filed on [Foreign Filing Date], the entirety of which is hereby incorporated by reference.

Ensuring Accuracy and Legal Integrity

In constructing this section, ensure all application numbers, filing dates, and, if applicable, patent numbers, and issue dates are accurately reported and that the sequence of related applications is clear and logically structured. This diligence not only preserves the accuracy of the record but also safeguards the patentee’s rights by accurately reflecting the lineage of the invention disclosures. Additionally, this benefit chain should also be accurately filled in the Application Data Sheet (ADS).

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