MPEP § 1205.03 — Non-Compliant Appeal Brief and Amended Brief (Annotated Rules)

§1205.03 Non-Compliant Appeal Brief and Amended Brief

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 1205.03, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Non-Compliant Appeal Brief and Amended Brief

This section addresses Non-Compliant Appeal Brief and Amended Brief. Primary authority: 37 CFR 41.37, 37 CFR 41.3, and 37 CFR 41.35(a). Contains: 3 requirements, 2 guidance statements, 2 permissions, and 7 other statements.

Key Rules

Topic

Appeal Brief Requirements

6 rules
StatutoryInformativeAlways
[mpep-1205-03-33c4f83cb9f939aa84dfd92a]
Compliance Check for Appeal Briefs
Note:
The Patent Appeal Center checks if appeal briefs comply with 37 CFR 41.37 before forwarding them to the examiner, ensuring any non-compliance is addressed.

The Patent Appeal Center has the responsibility for determining whether appeal briefs filed in patent applications comply with 37 CFR 41.37, and will complete the determination before the appeal brief is forwarded to the examiner for consideration. The determination should be completed within approximately one month from the filing of the appeal brief. If the appeal brief is determined to be compliant with the rules or it contains only minor informalities that do not affect the Office’s ability to render a decision, the Patent Appeal Center will accept the appeal brief and forward it to the examiner for consideration. If the Patent Appeal Center determines that the appeal brief is non-compliant with 37 CFR 41.37 and sends appellant a notice of non-compliant brief requiring a corrected brief, appellant will be required to file a corrected brief within the time period set forth in the notice to avoid the dismissal of the appeal. The Patent Appeal Center will also have the responsibility for determining whether corrected briefs comply with 37 CFR 41.37.

Jump to MPEP Source · 37 CFR 41.37Appeal Brief RequirementsEx Parte Appeals to PTABNon-Compliant Appeal Brief
StatutoryRecommendedAlways
[mpep-1205-03-7c636ca3781c9934f8269ba4]
Determination of Appeal Compliance Within One Month
Note:
The Patent Appeal Center must determine whether an appeal brief complies with the rules within one month from its filing, forwarding it to the examiner if compliant or requiring corrections otherwise.

The Patent Appeal Center has the responsibility for determining whether appeal briefs filed in patent applications comply with 37 CFR 41.37, and will complete the determination before the appeal brief is forwarded to the examiner for consideration. The determination should be completed within approximately one month from the filing of the appeal brief. If the appeal brief is determined to be compliant with the rules or it contains only minor informalities that do not affect the Office’s ability to render a decision, the Patent Appeal Center will accept the appeal brief and forward it to the examiner for consideration. If the Patent Appeal Center determines that the appeal brief is non-compliant with 37 CFR 41.37 and sends appellant a notice of non-compliant brief requiring a corrected brief, appellant will be required to file a corrected brief within the time period set forth in the notice to avoid the dismissal of the appeal. The Patent Appeal Center will also have the responsibility for determining whether corrected briefs comply with 37 CFR 41.37.

Jump to MPEP Source · 37 CFR 41.37Appeal Brief RequirementsEx Parte Appeals to PTABNon-Compliant Appeal Brief
StatutoryInformativeAlways
[mpep-1205-03-736bb16e4f50802549fc6a70]
Acceptance of Compliant Appeal Briefs
Note:
The Patent Appeal Center accepts appeal briefs that comply with the rules or contain minor informalities, forwarding them to the examiner for consideration.

The Patent Appeal Center has the responsibility for determining whether appeal briefs filed in patent applications comply with 37 CFR 41.37, and will complete the determination before the appeal brief is forwarded to the examiner for consideration. The determination should be completed within approximately one month from the filing of the appeal brief. If the appeal brief is determined to be compliant with the rules or it contains only minor informalities that do not affect the Office’s ability to render a decision, the Patent Appeal Center will accept the appeal brief and forward it to the examiner for consideration. If the Patent Appeal Center determines that the appeal brief is non-compliant with 37 CFR 41.37 and sends appellant a notice of non-compliant brief requiring a corrected brief, appellant will be required to file a corrected brief within the time period set forth in the notice to avoid the dismissal of the appeal. The Patent Appeal Center will also have the responsibility for determining whether corrected briefs comply with 37 CFR 41.37.

Jump to MPEP Source · 37 CFR 41.37Appeal Brief RequirementsEx Parte Appeals to PTABNon-Compliant Appeal Brief
StatutoryInformativeAlways
[mpep-1205-03-dabd3de481799125fc98147c]
Patent Appeal Center Reviews Brief Compliance
Note:
The Patent Appeal Center checks if appeal and corrected briefs meet the requirements of 37 CFR 41.37 before forwarding them to the examiner.

The Patent Appeal Center has the responsibility for determining whether appeal briefs filed in patent applications comply with 37 CFR 41.37, and will complete the determination before the appeal brief is forwarded to the examiner for consideration. The determination should be completed within approximately one month from the filing of the appeal brief. If the appeal brief is determined to be compliant with the rules or it contains only minor informalities that do not affect the Office’s ability to render a decision, the Patent Appeal Center will accept the appeal brief and forward it to the examiner for consideration. If the Patent Appeal Center determines that the appeal brief is non-compliant with 37 CFR 41.37 and sends appellant a notice of non-compliant brief requiring a corrected brief, appellant will be required to file a corrected brief within the time period set forth in the notice to avoid the dismissal of the appeal. The Patent Appeal Center will also have the responsibility for determining whether corrected briefs comply with 37 CFR 41.37.

Jump to MPEP Source · 37 CFR 41.37Appeal Brief RequirementsEx Parte Appeals to PTABNon-Compliant Appeal Brief
StatutoryInformativeAlways
[mpep-1205-03-763843c4bcea413c64007136]
Accepted Appeal Briefs Remain Valid
Note:
Once an appeal brief is accepted by the Board as compliant with 37 CFR 41.37, it cannot be later deemed defective by the Patent Appeal Center or examiner.

Once an appeal brief is accepted by the Board as in compliance with 37 CFR 41.37, the appeal brief will not later be held as defective by the Patent Appeal Center or the examiner. The Board will not return or remand the application to the examiner for issues related to a non-compliant appeal brief. Furthermore, examiners are not required to review appeal briefs for the purposes of determining whether the appeal briefs comply with 37 CFR 41.37. Accordingly, the Notification of Non-Compliant Appeal Brief (PTOL-462) and form paragraphs for holding an appeal brief defective are no longer available for the examiner to use.

Jump to MPEP Source · 37 CFR 41.37Appeal Brief RequirementsPTAB JurisdictionEx Parte Appeals to PTAB
StatutoryRecommendedAlways
[mpep-1205-03-1090f9aba65a623f20f659f1]
Report Serious Appeal Brief Defects to Patent Appeal Center
Note:
When an appeal brief has serious defects preventing the examiner from drafting a response, the primary examiner must report this issue to the Patent Appeal Center.

Furthermore, the Patent Appeal Center will correspond directly with the appellant on non-compliant brief issues. Examiners may use form paragraphs 12.249 – 12.279.01 to draft examiner’s answers to respond to appeal briefs filed in any format. In those rare situations where an appeal brief contains serious defects that will prevent the examiner from drafting an examiner’s answer, the primary examiner should report the issue to the Patent Appeal Center.

Jump to MPEP SourceAppeal Brief RequirementsEx Parte Appeals to PTABNon-Compliant Appeal Brief
Topic

Non-Compliant Appeal Brief

5 rules
StatutoryRequiredAlways
[mpep-1205-03-449607064722a0686eca3a6a]
Corrected Brief Required for Non-Compliance
Note:
If an appeal brief is found non-compliant with 37 CFR 41.37, the appellant must file a corrected brief within the specified timeframe to avoid dismissal of the appeal.

The Patent Appeal Center has the responsibility for determining whether appeal briefs filed in patent applications comply with 37 CFR 41.37, and will complete the determination before the appeal brief is forwarded to the examiner for consideration. The determination should be completed within approximately one month from the filing of the appeal brief. If the appeal brief is determined to be compliant with the rules or it contains only minor informalities that do not affect the Office’s ability to render a decision, the Patent Appeal Center will accept the appeal brief and forward it to the examiner for consideration. If the Patent Appeal Center determines that the appeal brief is non-compliant with 37 CFR 41.37 and sends appellant a notice of non-compliant brief requiring a corrected brief, appellant will be required to file a corrected brief within the time period set forth in the notice to avoid the dismissal of the appeal. The Patent Appeal Center will also have the responsibility for determining whether corrected briefs comply with 37 CFR 41.37.

Jump to MPEP Source · 37 CFR 41.37Non-Compliant Appeal BriefGrounds for Dismissal of AppealAppeal Brief Requirements
StatutoryRequiredAlways
[mpep-1205-03-ce75f02288d9a01c1595924d]
Appellant Must Timely Respond to Amended Brief Request
Note:
An appellant must respond in a timely manner to any notice or communication from the Office requesting an amended brief. Filing a petition under 37 CFR 41.3 does not extend this time period.

If appellant disagrees with the holding of noncompliance, a petition under 37 CFR 41.3 may be filed. Filing a petition will not toll the time period for reply set in the notice. Appellant must timely reply to the notice or the Office communication that requires an amended brief.

Jump to MPEP Source · 37 CFR 41.3Non-Compliant Appeal BriefAppeal Brief RequirementsEx Parte Appeals to PTAB
StatutoryRequiredAlways
[mpep-1205-03-28097c685f5bb5e85376e83f]
No Remand for Non-Compliant Briefs
Note:
The Board will not return applications to examiners due to non-compliant appeal briefs, and examiners are not required to review these briefs for compliance with CFR 41.37.

Once an appeal brief is accepted by the Board as in compliance with 37 CFR 41.37, the appeal brief will not later be held as defective by the Patent Appeal Center or the examiner. The Board will not return or remand the application to the examiner for issues related to a non-compliant appeal brief. Furthermore, examiners are not required to review appeal briefs for the purposes of determining whether the appeal briefs comply with 37 CFR 41.37. Accordingly, the Notification of Non-Compliant Appeal Brief (PTOL-462) and form paragraphs for holding an appeal brief defective are no longer available for the examiner to use.

Jump to MPEP Source · 37 CFR 41.37Non-Compliant Appeal BriefAppeal Brief RequirementsPTAB Jurisdiction
StatutoryInformativeAlways
[mpep-1205-03-9a5354856bd4d5854c8f50da]
No Longer Issuing PTOL-462 for Non-Compliance
Note:
Examiners are no longer required to review appeal briefs for compliance with CFR 41.37 and cannot issue a Notification of Non-Compliant Appeal Brief (PTOL-462).

Once an appeal brief is accepted by the Board as in compliance with 37 CFR 41.37, the appeal brief will not later be held as defective by the Patent Appeal Center or the examiner. The Board will not return or remand the application to the examiner for issues related to a non-compliant appeal brief. Furthermore, examiners are not required to review appeal briefs for the purposes of determining whether the appeal briefs comply with 37 CFR 41.37. Accordingly, the Notification of Non-Compliant Appeal Brief (PTOL-462) and form paragraphs for holding an appeal brief defective are no longer available for the examiner to use.

Jump to MPEP Source · 37 CFR 41.37Non-Compliant Appeal BriefAppeal Brief RequirementsEx Parte Appeals to PTAB
StatutoryInformativeAlways
[mpep-1205-03-c012bf706a933db317dfaf11]
Direct Correspondence for Non-Compliant Briefs
Note:
The Patent Appeal Center will directly communicate with the appellant regarding issues in non-compliant appeal briefs.

Furthermore, the Patent Appeal Center will correspond directly with the appellant on non-compliant brief issues. Examiners may use form paragraphs 12.249 – 12.279.01 to draft examiner’s answers to respond to appeal briefs filed in any format. In those rare situations where an appeal brief contains serious defects that will prevent the examiner from drafting an examiner’s answer, the primary examiner should report the issue to the Patent Appeal Center.

Jump to MPEP SourceNon-Compliant Appeal BriefAppeal Brief RequirementsEx Parte Appeals to PTAB
Topic

Ex Parte Appeals to PTAB

2 rules
StatutoryPermittedAlways
[mpep-1205-03-d457b872eaa122bb1eb4090b]
Petition for Noncompliance Dispute
Note:
An appellant may file a petition under 37 CFR 41.3 if they disagree with the noncompliance holding, but this does not extend the time to reply.

If appellant disagrees with the holding of noncompliance, a petition under 37 CFR 41.3 may be filed. Filing a petition will not toll the time period for reply set in the notice. Appellant must timely reply to the notice or the Office communication that requires an amended brief.

Jump to MPEP Source · 37 CFR 41.3Ex Parte Appeals to PTABNon-Compliant Appeal BriefAppeal Brief Requirements
StatutoryPermittedAlways
[mpep-1205-03-cd99f6649fa7e63a64e5edef]
Use of Form Paragraphs for Examiner's Responses
Note:
Examiners can use form paragraphs 12.249 to 12.279.01 to draft responses to appeal briefs in any format.

Furthermore, the Patent Appeal Center will correspond directly with the appellant on non-compliant brief issues. Examiners may use form paragraphs 12.249 – 12.279.01 to draft examiner’s answers to respond to appeal briefs filed in any format. In those rare situations where an appeal brief contains serious defects that will prevent the examiner from drafting an examiner’s answer, the primary examiner should report the issue to the Patent Appeal Center.

Jump to MPEP SourceEx Parte Appeals to PTABNon-Compliant Appeal BriefAppeal Brief Requirements
Topic

Emergency Period Tolling

1 rules
StatutoryInformativeAlways
[mpep-1205-03-ca3055a9ac4981f2d935aeff]
Petitions Do Not Extend Reply Periods
Note:
Filing a petition under 37 CFR 41.3 does not extend the time period for replying to notices or Office communications requiring an amended brief.

If appellant disagrees with the holding of noncompliance, a petition under 37 CFR 41.3 may be filed. Filing a petition will not toll the time period for reply set in the notice. Appellant must timely reply to the notice or the Office communication that requires an amended brief.

Jump to MPEP Source · 37 CFR 41.3Emergency Period TollingSpecial Period SituationsPeriod for Reply (37 CFR 1.134)
Topic

Notice of Appeal Filing

1 rules
StatutoryInformativeAlways
[mpep-1205-03-36b8bc0438bc657602457c7d]
Patent Examining Corps Has Appeal Authority Until Board Takes Over
Note:
The patent examining corps retains authority to handle appeals, including considering briefs and conducting conferences, until the Board takes over according to specific regulations.

The patent examining corps has jurisdiction over the application to consider the appeal brief, conduct an appeal conference, decide the entry of amendments, evidence, and information disclosure statements filed after final or after the filing of a notice of appeal, and draft an examiner’s answer until jurisdiction passes to the Board pursuant to 37 CFR 41.35(a). Furthermore, petitions concerning the refusal to enter amendments and/or evidence remain delegated according to MPEP §§ 1002.02(b) and 1002.02(c).

Jump to MPEP Source · 37 CFR 41.35(a)Notice of Appeal FilingAppeal Brief RequirementsNotice of Appeal

Citations

Primary topicCitation
Emergency Period Tolling
Ex Parte Appeals to PTAB
Non-Compliant Appeal Brief
37 CFR § 41.3
Notice of Appeal Filing37 CFR § 41.35(a)
Appeal Brief Requirements
Non-Compliant Appeal Brief
37 CFR § 41.37
Notice of Appeal FilingMPEP § 1002.02(b)

Source Text from USPTO’s MPEP

This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.

BlueIron Last Updated: 2025-12-31