Legal Definitions - lack-of-antecedent-basis rejection

A lack-of-antecedent-basis rejection occurs when a legal claim, statement, or amendment is formally refused because it is not adequately supported or described in the original document or filing from which it supposedly derives. Essentially, there is no prior foundation or "antecedent basis" in the initial submission for the new information being presented. This type of rejection often arises in administrative processes, such as patent prosecution, where an examiner rejects an amended claim because its subject matter was not disclosed in the original application.

• Example 1: Patent Application

  An inventor files a patent application for a new type of water filter. The original application thoroughly describes a filter made with activated carbon and a specific mesh size. Later, the inventor decides to amend one of their patent claims to include a new feature: a "self-cleaning mechanism" that uses ultrasonic vibrations. If the original patent application *never mentioned, described, or even hinted at* any self-cleaning mechanism or ultrasonic technology, the patent examiner would issue a lack-of-antecedent-basis rejection. The new claim for a self-cleaning mechanism lacks any foundational disclosure in the initial patent filing.

• Example 2: Regulatory Drug Approval

  A pharmaceutical company submits an application to a regulatory body (like the FDA) for approval of a new medication, detailing its chemical composition, manufacturing process, and results from clinical trials for treating high blood pressure. After the initial review, the company attempts to amend its application to claim that the drug is also effective in preventing migraines. If the original application did not contain *any data, studies, or even a preliminary hypothesis* supporting the drug's efficacy against migraines, the regulatory body could issue a lack-of-antecedent-basis rejection. The new claim about migraine prevention is not supported by the information provided in the initial submission.

• Example 3: Amending a Court Pleading

  In a civil lawsuit, a plaintiff files an initial complaint against a contractor, alleging breach of contract for failing to complete a construction project on time. During the discovery phase, the plaintiff attempts to amend their complaint to add a new claim for intentional infliction of emotional distress, arguing that the contractor's delays caused severe emotional harm. If the original complaint contained *no factual allegations, descriptions of emotional harm, or even a hint* of such a claim, the defendant could object. The court might then issue a rejection of the amendment based on a lack-of-antecedent-basis, meaning the new claim has no factual or legal foundation in the initial pleading.