MPEP 609 規範了Information Disclosure Statement（IDS）的申請與內容
其中引用37 CFR 1.97的規定－Filing of information disclosure statement.
- (a) In order for an applicant for a patent or for a reissue of a patent to have an information disclosure statement in compliance with § 1.98 considered by the Office during the pendency of the application, the information disclosure statement must satisfy one of paragraphs (b), (c), or (d) of this section.
(a) 在專利申請案審查中，申請人有義務提出information disclosure statement（IDS），IDS應符合本段(b), (c), (d)的規定 - (b) An information disclosure statement shall be considered by the Office if filed by the applicant within any one of the following time periods:
(b) 申請人在以下幾種時間內提出IDS，專利局應須於審查中考慮IDS
(1) 自美國國內申請案申請日後3個月內 (2) 國際申請案進入美國國家階段的時間後3個月內 (3) 在專利局提出第一次審查意見（first Office Action）前 (4) 在RCE的程序中，發出RCE後第一次審查意見前 - (c) An information disclosure statement shall be considered by the Office if filed after the period specified in paragraph (b) of this section, provided that the information disclosure statement is filed before the mailing date of any of a final action under § 1.113, a notice of allowance under § 1.311, or an action that otherwise closes prosecution in the application, and it is accompanied by one of:
(c) 如果在上述(b)中所規定時間後，申請人才提出IDS，仍應考慮IDS，只要在最終審定書（Final Office Action）發出之前，或是核准通知之前（notice of allowance），或是其他關閉爭議程序（close prosecution）的動作之前，但要伴隨如本段(e)的聲明，並產生費用 - (d) An information disclosure statement shall be considered by the Office if filed by the applicant after the period specified in paragraph (c) of this section, provided that the information disclosure statement is filed on or before payment of the issue fee and is accompanied by:
(d) 如果申請人在如上述(c)所規定的時間之後提出IDS，要在繳領證費當時，或是之前提出，但也要伴隨有如本段(e)的聲明，還有費用 - (e) A statement under this section must state either:
(e) 上述聲明應要提出以下內容之一：
(1) 內容包括，在提出IDS前三個月內，提出第一次在國外專利局所提出該相對申請案的引證案
(2) 包括告知在國外專利局並無提出相對此美國申請案的引證案 - (f) No extensions of time for filing an information disclosure statement are permitted under § 1.136. If a bona fide attempt is made to comply with § 1.98, but part of the required content is inadvertently omitted, additional time may be given to enable full compliance.
(f) IDS提出的時機並不能延期，但是針對非故意的事件（誠實的要求下），仍是可以要求額外的時間 - (g) An information disclosure statement filed in accordance with section shall not be construed as a representation that a search has been made.
(g) 符合上述條件所提出IDS的動作並不能解釋為已作了檢索 - (h) The filing of an information disclosure statement shall not be construed to be an admission that the information cited in the statement is, or is considered to be, material to patentability as defined in § 1.56(b).
(h) 提出IDS並不能解釋所採用的引證內容，或是於審查時已考慮，而作為可專利性的依據 - (i) If an information disclosure statement does not comply with either this section or § 1.98, it will be placed in the file but will not be considered by the Office.
(i) 若IDS並無符合上述各規定，則不會被專利局列入審查時的考慮
再引用37 CFR 1.98的規定－Content of information disclosure statement.，有關IDS的內容
- (a) Any information disclosure statement filed under § 1.97 shall include the items listed in paragraphs (a)(1), (a)(2) and (a)(3) of this section.
(a) 提出的IDS需包括本段(a)(1),(a)(2)與(a)(3)所規定的內容
(1) A list of all patents, publications, applications, or other information submitted for consideration by the Office. U.S. patents and U.S. patent application publications must be listed in a section separately from citations of other documents. Each page of the list must include:
(a)(1) 提出列出所有專利、公開資料、申請案或是其他訊息給美國專利局，若是提出美國專利申請公開案，則以另一文件列舉，每一頁需包括有：
(i) 申請號
(ii) 文件中，各行有間隔
(iii) 標示各IDS的標題
(a)(2) A legible copy of:
(a)(2) 應提出各國外專利、公開案（或其一部份）、未公開的美國申請案（或其一部份，包括claims、圖示），或是其他資訊（或其一部份）等清楚易讀的副本
(a)(3)
(i) 以英文簡要解釋IDS（包括專利案、公開案或是其他資料）資料中與申請案的相關性
(ii) 針對非英文的文件提出英文翻譯，或是部份翻譯
[原文]
(i) A concise explanation of the relevance, as it is presently understood by the individual designated in § 1.56(c) most knowledgeable about the content of the information, of each patent, publication, or other information listed that is not in the English language. The concise explanation may be either separate from applicant's specification or incorporated therein.
(ii) A copy of the translation if a written English-language translation of a non-English-language document, or portion thereof, is within the possession, custody, or control of, or is readily available to any individual designated in § 1.56(c). - (b)
(b)(1) 每一個列於IDS的美國專利應詳列發明人、專利號與公告日
(1) Each U.S. patent listed in an information disclosure statement must be identified by inventor, patent number, and issue date.
(b)(2) 每個列於IDS的美國專利公開案應詳列申請人、專利公開號與公開日
(2) Each U.S. patent application publication listed in an information disclosure statement shall be identified by applicant, patent application publication number, and publication date.
(b)(3) 每個列於IDS的美國申請案應詳列發明人、申請號與申請日
(3) Each U.S. application listed in an information disclosure statement must be identified by the inventor, application number, and filing date.
(b)(4) 每一個列於IDS的國外專利或是公開的國外專利申請案應詳列國家或是專利局、文件號碼、公開日等
(4) Each foreign patent or published foreign patent application listed in an information disclosure statement must be identified by the country or patent office which issued the patent or published the application, an appropriate document number, and the publication date indicated on the patent or published application.
(b)(5) 每一個列於IDS的公開資料應列出公開者、作者、名稱、公開資料中的有關頁面、日期、與公開地點
(5) Each publication listed in an information disclosure statement must be identified by publisher, author (if any), title, relevant pages of the publication, date, and place of publication.
- 在不需經過實際審查的臨時申請案（Provisional application）中，不需提出IDS
- 在非臨時申請案的申請案中，申請人有義務提出有關專利性的相關資訊，以作為該案審查的準備與日後的爭議上（prosecution）
- 除了申請人以外的第三人並不能提出IDS，但可向專利局提出公開的專利與申請案
- 有關未公開申請案的第三人亦可提交未公開專利申請案給專利局
- 任何在核准通知前提出的資料會被審查委員列入考慮
- 可提出多次IDS
Information Disclosure Statements (IDSs) are not permitted in provisional applications filed under 35 U.S.C. 111(b). See 37 CFR 1.51(d). Since no substantive examination is given in provisional applications, a disclosure of information is unnecessary. Any such statement filed in a provisional application will be returned or destroyed at the option of the Office.
In nonprovisional applications filed under 35 U.S.C. 111(a), applicants and other individuals substantively involved with the preparation and/or prosecution of the application have a duty to submit to the Office information which is material to patentability as defined in 37 CFR 1.56. The provisions of 37 CFR 1.97 and 37 CFR 1.98 provide a mechanism by which patent applicants may comply with the duty of disclosure provided in 37 CFR 1.56. Applicants and other individuals substantively involved with the preparation and/or prosecution of the patent application also may want the Office to consider information for a variety of other reasons; e.g., to make sure that the examiner has an opportunity to consider the same information that was considered by these individuals, or by another patent office in a counterpart or related patent application filed in another country.
Third parties (individuals not covered by 37 CFR 1.56(c)) cannot file information disclosure statements under 37 CFR 1.97 and 37 CFR 1.98. Third parties may only submit patents and publications in compliance with 37 CFR 1.99 in applications published under 35 U.S.C. 122(b). See MPEP § 1134.01. For unpublished, pending applications, any member of the public, including private persons, corporate entities, and government agencies, may file a protest under 37 CFR 1.291 prior to the mailing of a notice of allowance under 37 CFR 1.311. See MPEP Chapter 1900. Alternatively, third parties may provide information to the applicant who may submit the information to the Office in an IDS. See 37 CFR 1.56(d). The Office will review any improper IDS filed by a third party to determine whether the submission is in compliance with 37 CFR 1.99. The Office will discard any submission that is not in compliance with 37 CFR 1.99, before the application is forwarded to the examiner for examination.
An information disclosure statement filed in accordance with the provisions of 37 CFR 1.97 and 37 CFR 1.98 will be considered by the examiner assigned to the application. Individuals associated in a substantive way with the filing and prosecution of a patent application are encouraged to submit information to the Office so the examiner can evaluate its relevance to the claimed invention. The procedures for submitting an information disclosure statement under the rules are designed to encourage individuals to submit information to the Office promptly and in a uniform manner. These rules provide certainty for the public by defining the requirements for submitting information disclosure statements to the Office so that the Office will consider information contained therein before a patent is granted.
當提出IDS後，審查委員將會依循以上規定判斷適法與否？或可利用以下顯示的check list判斷
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