MPEP § 1207.04 — Reopening of Prosecution After Appeal (Annotated Rules)

§1207.04 Reopening of Prosecution After Appeal

USPTO MPEP version: BlueIron's Update: 2026-01-17

This page consolidates and annotates all enforceable requirements under MPEP § 1207.04, 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.

Reopening of Prosecution After Appeal

This section addresses Reopening of Prosecution After Appeal. Primary authority: 37 CFR 1.97(c), 37 CFR 1.97(e), and 37 CFR 41.20. Contains: 2 requirements, 1 guidance statement, 4 permissions, and 2 other statements.

Key Rules

Topic

Amendments Adding New Matter

3 rules
StatutoryPermittedAlways
[mpep-1207-04-144d93f9fe209dd0c62d659f]
New Ground of Rejection Based on Amendment or Information Disclosure Statement
Note:
A new ground of rejection may be made final if it is necessitated by amendment or based on information in an information disclosure statement without a filed statement under 37 CFR 1.97(e).

The examiner may, with approval from the supervisory patent examiner, reopen prosecution to enter a new ground of rejection in response to appellant’s brief. A new ground as used in this subsection includes both a new ground that would not be proper in an examiner's answer as described in MPEP § 1207.03, subsection II and a new ground that would be proper (with appropriate supervisory approval) as described in MPEP § 1207.03, subsection III. In deciding whether to reopen prosecution or to add a new ground of rejection to an examiner's answer where proper under MPEP § 1207.03 et seq., examiners and their supervisors should consider the degree to which the rejection previously of record is being changed, any previous reopenings after appeal brief, and the overall pendency of the application. The Office action containing a new ground of rejection may be made final if the new ground of rejection was (A) necessitated by amendment, or (B) based on information presented in an information disclosure statement under 37 CFR 1.97(c) where no statement under 37 CFR 1.97(e) was filed. See MPEP § 706.07(a). Ordinarily any after final amendment or affidavit or other evidence that was not entered before must be entered and considered on the merits as part of the action reopening prosecution. Where more than one after final amendments that conflict with each other were filed, e.g., the same claim is replaced by more than one amendment with new proposed claims of differing scope, than the first amendment should be entered and the subsequent amendments should not be entered.

Jump to MPEP Source · 37 CFR 1.97(c)Amendments Adding New MatterNew Ground of Rejection in AnswerExaminer Sustained – Amendment Options
StatutoryRecommendedAlways
[mpep-1207-04-41151ad324efe0739ce4f6a1]
First After Final Amendment Is Required
Note:
When multiple conflicting amendments are filed after final rejection, only the first amendment should be entered and considered.

The examiner may, with approval from the supervisory patent examiner, reopen prosecution to enter a new ground of rejection in response to appellant’s brief. A new ground as used in this subsection includes both a new ground that would not be proper in an examiner's answer as described in MPEP § 1207.03, subsection II and a new ground that would be proper (with appropriate supervisory approval) as described in MPEP § 1207.03, subsection III. In deciding whether to reopen prosecution or to add a new ground of rejection to an examiner's answer where proper under MPEP § 1207.03 et seq., examiners and their supervisors should consider the degree to which the rejection previously of record is being changed, any previous reopenings after appeal brief, and the overall pendency of the application. The Office action containing a new ground of rejection may be made final if the new ground of rejection was (A) necessitated by amendment, or (B) based on information presented in an information disclosure statement under 37 CFR 1.97(c) where no statement under 37 CFR 1.97(e) was filed. See MPEP § 706.07(a). Ordinarily any after final amendment or affidavit or other evidence that was not entered before must be entered and considered on the merits as part of the action reopening prosecution. Where more than one after final amendments that conflict with each other were filed, e.g., the same claim is replaced by more than one amendment with new proposed claims of differing scope, than the first amendment should be entered and the subsequent amendments should not be entered.

Jump to MPEP Source · 37 CFR 1.97(c)Amendments Adding New MatterExaminer Sustained – Amendment OptionsAmendment Entry Practice
StatutoryPermittedAlways
[mpep-1207-04-bef13f00aa9ed2d233068830]
Final Office Action After Reopening with New Grounds
Note:
The final office action following a reopening of prosecution is permissible if all new grounds of rejection are either necessitated by amendment or based on information from an information disclosure statement where no such statement was filed.

6. Use this form paragraph to reopen prosecution in order to make a new ground of rejection of claims. The Office action following a reopening of prosecution may be made final if all new grounds of rejection were either (A) necessitated by amendment or (B) based on information presented in an information disclosure statement under 37 CFR 1.97(c) where no statement under 37 CFR 1.97(e) was filed. See MPEP § 706.07(a).

37 CFR 1.77 · 37 CFR 1.97(c)Amendments Adding New MatterAmendments to ApplicationExaminer's Action (37 CFR 1.104)
Topic

Ex Parte Appeals to PTAB

3 rules
StatutoryRequiredAlways
[mpep-1207-04-92e3ea01c5b80716b70e2606]
Options for Appellant After Prosecution Reopening
Note:
After reopening of prosecution, the appellant must file a reply under specific rules or initiate a new appeal to avoid abandoning the application.
After reopening of prosecution, appellant must exercise one of the following options to avoid abandonment of the application:
  • (A) file a reply under 37 CFR 1.111, if the Office action is non-final;
  • (B) file a reply under 37 CFR 1.113, if the Office action is final; or
  • (C) initiate a new appeal by filing a new notice of appeal under 37 CFR 41.31.
Jump to MPEP SourceEx Parte Appeals to PTABNon-Final Office ActionNon-Final Action Content
StatutoryRequiredAlways
[mpep-1207-04-75e035e6163d5ee58f17593d]
Applicant Must Pay Increased Appeal Fees Difference
Note:
If appeal fees have increased since previously paid, applicant must pay the difference.

If appellant elects to continue prosecution and prosecution was reopened prior to a decision on the merits by the Board, the fee paid for the notice of appeal, appeal brief (if applicable), forwarding an appeal to the Board (if applicable) and request for oral hearing (if applicable) will be applied to a later appeal on the same application. If, however, the appeal fees set forth in 37 CFR 41.20 have increased since they were previously paid, applicant must pay the difference between the increased fees and the amount previously paid. If appellant elects to initiate a new appeal by filing a notice of appeal, appellant must file a complete new brief in compliance with 37 CFR 41.37 within two months from the filing of the new notice of appeal. See MPEP § 1204.01 for more information on reinstatement of an appeal.

Jump to MPEP Source · 37 CFR 41.20Ex Parte Appeals to PTABAppeal Brief TimingNotice of Appeal Filing
MPEP GuidancePermittedAlways
[mpep-1207-04-d89d709a27c202cfc5c426c4]
Form Paragraph 12.239 Permits Reopening After Appeal
Note:
This form paragraph may be used to reopen prosecution after an appeal, aligning with the requirements set forth in section 1207.04 of the MPEP.

Form paragraph 12.239 may be used when reopening prosecution:

Jump to MPEP SourceEx Parte Appeals to PTAB
Topic

SPE Review Requirements

2 rules
StatutoryPermittedAlways
[mpep-1207-04-779231b2471ef41713f2b5bb]
Examiner Can Enter New Rejection After Appeal Brief
Note:
The examiner may add a new ground of rejection in response to the appellant's brief, with supervisory approval. This includes changes necessitated by amendments or new information disclosed.

The examiner may, with approval from the supervisory patent examiner, reopen prosecution to enter a new ground of rejection in response to appellant’s brief. A new ground as used in this subsection includes both a new ground that would not be proper in an examiner's answer as described in MPEP § 1207.03, subsection II and a new ground that would be proper (with appropriate supervisory approval) as described in MPEP § 1207.03, subsection III. In deciding whether to reopen prosecution or to add a new ground of rejection to an examiner's answer where proper under MPEP § 1207.03 et seq., examiners and their supervisors should consider the degree to which the rejection previously of record is being changed, any previous reopenings after appeal brief, and the overall pendency of the application. The Office action containing a new ground of rejection may be made final if the new ground of rejection was (A) necessitated by amendment, or (B) based on information presented in an information disclosure statement under 37 CFR 1.97(c) where no statement under 37 CFR 1.97(e) was filed. See MPEP § 706.07(a). Ordinarily any after final amendment or affidavit or other evidence that was not entered before must be entered and considered on the merits as part of the action reopening prosecution. Where more than one after final amendments that conflict with each other were filed, e.g., the same claim is replaced by more than one amendment with new proposed claims of differing scope, than the first amendment should be entered and the subsequent amendments should not be entered.

Jump to MPEP Source · 37 CFR 1.97(c)SPE Review RequirementsNew Ground of Rejection in AnswerExaminer Sustained – Amendment Options
StatutoryInformativeAlways
[mpep-1207-04-8d72b3011bcddbf03a50a5ab]
Requirement for New Ground of Rejection After Appeal
Note:
The examiner may introduce a new ground of rejection after appeal with supervisory approval, including grounds that were not proper in an initial rejection.

The examiner may, with approval from the supervisory patent examiner, reopen prosecution to enter a new ground of rejection in response to appellant’s brief. A new ground as used in this subsection includes both a new ground that would not be proper in an examiner's answer as described in MPEP § 1207.03, subsection II and a new ground that would be proper (with appropriate supervisory approval) as described in MPEP § 1207.03, subsection III. In deciding whether to reopen prosecution or to add a new ground of rejection to an examiner's answer where proper under MPEP § 1207.03 et seq., examiners and their supervisors should consider the degree to which the rejection previously of record is being changed, any previous reopenings after appeal brief, and the overall pendency of the application. The Office action containing a new ground of rejection may be made final if the new ground of rejection was (A) necessitated by amendment, or (B) based on information presented in an information disclosure statement under 37 CFR 1.97(c) where no statement under 37 CFR 1.97(e) was filed. See MPEP § 706.07(a). Ordinarily any after final amendment or affidavit or other evidence that was not entered before must be entered and considered on the merits as part of the action reopening prosecution. Where more than one after final amendments that conflict with each other were filed, e.g., the same claim is replaced by more than one amendment with new proposed claims of differing scope, than the first amendment should be entered and the subsequent amendments should not be entered.

Jump to MPEP Source · 37 CFR 1.97(c)SPE Review RequirementsNew Ground of Rejection in AnswerNew Grounds of Rejection
Topic

Examiner Sustained – Amendment Options

2 rules
StatutoryInformativeAlways
[mpep-1207-04-638aeedea1cb063ef5bae73c]
SPE Signature Required for Reopening Prosecution After Appeal
Note:
The signature of the SPE is required to reopen prosecution after an appeal has been filed.

5. In bracket 4, insert the SPE’s signature. Approval of the SPE is required to reopen prosecution after an appeal. See MPEP §§ 1002.02(d) and 1207.04.

37 CFR 1.77Examiner Sustained – Amendment OptionsReopening Prosecution After AppealProcedure After Board Decision
StatutoryRequiredAlways
[mpep-1207-04-b6cbc8a70fb9ac285b6980d0]
Approval of SPE Needed to Reopen Prosecution After Appeal
Note:
Examiner approval through the SPE’s signature is necessary to reopen prosecution following an appeal.

5. In bracket 4, insert the SPE’s signature. Approval of the SPE is required to reopen prosecution after an appeal. See MPEP §§ 1002.02(d) and 1207.04.

37 CFR 1.77Examiner Sustained – Amendment OptionsReopening Prosecution After AppealProcedure After Board Decision
Topic

New Ground of Rejection in Answer

1 rules
StatutoryRecommendedAlways
[mpep-1207-04-6bdbefcc39e049c3fdac6f9a]
Considerations for Adding New Grounds in Examiner's Answer After Appeal
Note:
Examiners and supervisors must consider the extent of change, prior reopenings, and application pendency before adding new grounds of rejection after an appeal brief.

The examiner may, with approval from the supervisory patent examiner, reopen prosecution to enter a new ground of rejection in response to appellant’s brief. A new ground as used in this subsection includes both a new ground that would not be proper in an examiner's answer as described in MPEP § 1207.03, subsection II and a new ground that would be proper (with appropriate supervisory approval) as described in MPEP § 1207.03, subsection III. In deciding whether to reopen prosecution or to add a new ground of rejection to an examiner's answer where proper under MPEP § 1207.03 et seq., examiners and their supervisors should consider the degree to which the rejection previously of record is being changed, any previous reopenings after appeal brief, and the overall pendency of the application. The Office action containing a new ground of rejection may be made final if the new ground of rejection was (A) necessitated by amendment, or (B) based on information presented in an information disclosure statement under 37 CFR 1.97(c) where no statement under 37 CFR 1.97(e) was filed. See MPEP § 706.07(a). Ordinarily any after final amendment or affidavit or other evidence that was not entered before must be entered and considered on the merits as part of the action reopening prosecution. Where more than one after final amendments that conflict with each other were filed, e.g., the same claim is replaced by more than one amendment with new proposed claims of differing scope, than the first amendment should be entered and the subsequent amendments should not be entered.

Jump to MPEP Source · 37 CFR 1.97(c)New Ground of Rejection in AnswerExaminer Sustained – Amendment OptionsReopening Prosecution After Appeal
Topic

Entry as Matter of Right

1 rules
StatutoryRequiredAlways
[mpep-1207-04-cac283cc2bac9bf50ef33ee1]
After Final Evidence Must Be Considered on Merits
Note:
Any after final amendment, affidavit, or other evidence not previously entered must be considered on the merits when reopening prosecution.

The examiner may, with approval from the supervisory patent examiner, reopen prosecution to enter a new ground of rejection in response to appellant’s brief. A new ground as used in this subsection includes both a new ground that would not be proper in an examiner's answer as described in MPEP § 1207.03, subsection II and a new ground that would be proper (with appropriate supervisory approval) as described in MPEP § 1207.03, subsection III. In deciding whether to reopen prosecution or to add a new ground of rejection to an examiner's answer where proper under MPEP § 1207.03 et seq., examiners and their supervisors should consider the degree to which the rejection previously of record is being changed, any previous reopenings after appeal brief, and the overall pendency of the application. The Office action containing a new ground of rejection may be made final if the new ground of rejection was (A) necessitated by amendment, or (B) based on information presented in an information disclosure statement under 37 CFR 1.97(c) where no statement under 37 CFR 1.97(e) was filed. See MPEP § 706.07(a). Ordinarily any after final amendment or affidavit or other evidence that was not entered before must be entered and considered on the merits as part of the action reopening prosecution. Where more than one after final amendments that conflict with each other were filed, e.g., the same claim is replaced by more than one amendment with new proposed claims of differing scope, than the first amendment should be entered and the subsequent amendments should not be entered.

Jump to MPEP Source · 37 CFR 1.97(c)Entry as Matter of RightAmendments Adding New MatterExaminer Sustained – Amendment Options
Topic

Form Paragraph Usage

1 rules
StatutoryInformativeAlways
[mpep-1207-04-ee6086abbd18c94879b531b7]
Requirement for Reopening Prosecution to Make New Grounds of Rejection
Note:
This form paragraph is used to reopen prosecution and add new grounds of rejection, which may result in a final office action if the new rejections are based on amendments or information disclosure statements.

6. Use this form paragraph to reopen prosecution in order to make a new ground of rejection of claims. The Office action following a reopening of prosecution may be made final if all new grounds of rejection were either (A) necessitated by amendment or (B) based on information presented in an information disclosure statement under 37 CFR 1.97(c) where no statement under 37 CFR 1.97(e) was filed. See MPEP § 706.07(a).

37 CFR 1.77 · 37 CFR 1.97(c)Form Paragraph UsageColumn and Line ReferencesForm Paragraphs
Topic

Notice of Appeal Filing

1 rules
StatutoryInformativeAlways
[mpep-1207-04-ab432bc8f9eaf234530ffb66]
Appeal Fees Applied to Later Appeal on Same Application
Note:
If an appellant continues prosecution after a reopened appeal, the previously paid fees will be applied to a subsequent appeal on the same application.

If appellant elects to continue prosecution and prosecution was reopened prior to a decision on the merits by the Board, the fee paid for the notice of appeal, appeal brief (if applicable), forwarding an appeal to the Board (if applicable) and request for oral hearing (if applicable) will be applied to a later appeal on the same application. If, however, the appeal fees set forth in 37 CFR 41.20 have increased since they were previously paid, applicant must pay the difference between the increased fees and the amount previously paid. If appellant elects to initiate a new appeal by filing a notice of appeal, appellant must file a complete new brief in compliance with 37 CFR 41.37 within two months from the filing of the new notice of appeal. See MPEP § 1204.01 for more information on reinstatement of an appeal.

Jump to MPEP Source · 37 CFR 41.20Notice of Appeal FilingOral HearingAppeal Brief Requirements
Topic

Appeal Brief Timing

1 rules
StatutoryRequiredAlways
[mpep-1207-04-ea0482a4940e328d8adb0249]
New Brief Must Be Filed Within Two Months
Note:
Appellant must file a complete new brief within two months of filing a notice of appeal.

If appellant elects to continue prosecution and prosecution was reopened prior to a decision on the merits by the Board, the fee paid for the notice of appeal, appeal brief (if applicable), forwarding an appeal to the Board (if applicable) and request for oral hearing (if applicable) will be applied to a later appeal on the same application. If, however, the appeal fees set forth in 37 CFR 41.20 have increased since they were previously paid, applicant must pay the difference between the increased fees and the amount previously paid. If appellant elects to initiate a new appeal by filing a notice of appeal, appellant must file a complete new brief in compliance with 37 CFR 41.37 within two months from the filing of the new notice of appeal. See MPEP § 1204.01 for more information on reinstatement of an appeal.

Jump to MPEP Source · 37 CFR 41.20Appeal Brief TimingNotice of Appeal FilingReinstatement of Dismissed Appeal

Examiner Form Paragraphs

Examiner form paragraphs are standard language that you might see in an Office Action or communication from the USPTO. Examiners have latitude to change the form paragraphs, but you will often see this exact language.

¶ 12.239 ¶ 12.239 Reopening of Prosecution After Appeal Brief

In view of the [1] filed on [2] , PROSECUTION IS HEREBY REOPENED. [3] set forth below.

To avoid abandonment of the application, appellant must exercise one of the following two options:

(1) file a reply under 37 CFR 1.111 (if this Office action is non-final) or a reply under 37 CFR 1.113 (if this Office action is final); or,

(2) initiate a new appeal by filing a notice of appeal under 37 CFR 41.31 followed by an appeal brief under 37 CFR 41.37 . The previously paid notice of appeal fee and appeal brief fee can be applied to the new appeal. If, however, the appeal fees set forth in 37 CFR 41.20 have been increased since they were previously paid, then appellant must pay the difference between the increased fees and the amount previously paid.

A Supervisory Patent Examiner (SPE) has approved of reopening prosecution by signing below:

[4]

Citations

Primary topicCitation
Ex Parte Appeals to PTAB37 CFR § 1.111
Ex Parte Appeals to PTAB37 CFR § 1.113
Amendments Adding New Matter
Entry as Matter of Right
Form Paragraph Usage
New Ground of Rejection in Answer
SPE Review Requirements
37 CFR § 1.97(c)
Amendments Adding New Matter
Entry as Matter of Right
Form Paragraph Usage
New Ground of Rejection in Answer
SPE Review Requirements
37 CFR § 1.97(e)
Appeal Brief Timing
Ex Parte Appeals to PTAB
Notice of Appeal Filing
37 CFR § 41.20
Ex Parte Appeals to PTAB37 CFR § 41.31
Appeal Brief Timing
Ex Parte Appeals to PTAB
Notice of Appeal Filing
37 CFR § 41.37
Examiner Sustained – Amendment OptionsMPEP § 1002.02(d)
Appeal Brief Timing
Ex Parte Appeals to PTAB
Notice of Appeal Filing
MPEP § 1204.01
Amendments Adding New Matter
Entry as Matter of Right
New Ground of Rejection in Answer
SPE Review Requirements
MPEP § 1207.03
Amendments Adding New Matter
Entry as Matter of Right
Form Paragraph Usage
New Ground of Rejection in Answer
SPE Review Requirements
MPEP § 706.07(a)
Ex Parte Appeals to PTABForm Paragraph § 12.239

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: 2026-01-17