MPEP § 1207.05 — Substitute Examiner’s Answer (Annotated Rules)

§1207.05 Substitute Examiner’s Answer

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

This page consolidates and annotates all enforceable requirements under MPEP § 1207.05, 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.

Substitute Examiner’s Answer

This section addresses Substitute Examiner’s Answer. Primary authority: 37 CFR 41.41, 37 CFR 41.50, and 37 CFR 1.111. Contains: 3 requirements, 1 prohibition, 1 guidance statement, 8 permissions, and 6 other statements.

Key Rules

Topic

Board Decision Types

9 rules
StatutoryPermittedAlways
[mpep-1207-05-1f911162d89c23d95d2ad7d5]
Substitute Examiner's Answer Required Only on Remand
Note:
The examiner must provide a substitute answer only in response to a remand.

The examiner may only furnish a substitute examiner’s answer in response to a remand.

Jump to MPEP Source · 37 CFR 41.50Board Decision TypesBoard DecisionPTAB Jurisdiction
StatutoryPermittedAlways
[mpep-1207-05-8011a14564e480bce584f46d]
Substitute Examiner's Answer on Board Remand
Note:
Examiner must provide a substitute answer in response to a Board remand for further rejection consideration under 37 CFR 41.50(a).

The examiner may provide a substitute examiner’s answer in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a). Appellant must respond to such substitute examiner’s answer and has the option to request that prosecution be reopened. A substitute examiner’s answer written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2) may set forth a new ground of rejection. Any new ground of rejection made in such a substitute examiner’s answer must comply with the requirements set forth in MPEP § 1207.03. The examiner may use form paragraph 12.285 in preparing the substitute examiner’s answer responding a remand by the Board for further consideration of a rejection.

Jump to MPEP Source · 37 CFR 41.50(a)Board Decision TypesBoard DecisionPTAB Jurisdiction
StatutoryPermittedAlways
[mpep-1207-05-e47688c79bde5aced6ff3ed7]
Substitute Examiner's Answer for Board Remand
Note:
The examiner must prepare a substitute examiner’s answer in response to a remand by the Board, which may include new grounds of rejection.

The examiner may provide a substitute examiner’s answer in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a). Appellant must respond to such substitute examiner’s answer and has the option to request that prosecution be reopened. A substitute examiner’s answer written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2) may set forth a new ground of rejection. Any new ground of rejection made in such a substitute examiner’s answer must comply with the requirements set forth in MPEP § 1207.03. The examiner may use form paragraph 12.285 in preparing the substitute examiner’s answer responding a remand by the Board for further consideration of a rejection.

Jump to MPEP Source · 37 CFR 41.50(a)Board Decision TypesPTAB JurisdictionEx Parte Appeals to PTAB
StatutoryRequiredAlways
[mpep-1207-05-30fabf6d10c7cd0a60d4ebca]
Amendments and Affidavits Must Address Remand Issues
Note:
Appellants must submit relevant amendments or affidavits in response to a remand by the Board within two months of receiving the substitute examiner’s answer.

If a substitute examiner’s answer is written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2), the appellant must, within two months of the date of the substitute examiner's answer, exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding (i) Reopen prosecution. Request that prosecution be reopened before the examiner by filing a reply under 37 CFR 1.111 with or without amendment or submission of affidavits (37 CFR 1.130, 1.131 or 1.132) or other evidence. Any amendment or submission of affidavits or other evidence must be relevant to the issues set forth in the remand or raised in the substitute examiner’s answer. A request that complies with 37 CFR 41.50(a)(2)(i) will be entered and the application or the patent under ex parte reexamination will be reconsidered by the examiner under the provisions of 37 CFR 1.112. Any request that prosecution be reopened under 37 CFR 41.50(a)(2)(i) will be treated as a request to withdraw the appeal.

Jump to MPEP Source · 37 CFR 41.50(a)(2)Board Decision TypesExaminer Sustained – Amendment OptionsRemand Procedures
StatutoryRequiredAlways
[mpep-1207-05-b8652fa2352895da0b3c2394]
Examiner Must Reopen Prosecution After Appellant Reply
Note:
The examiner must reopen prosecution by considering the appellant's reply if it complies with 37 CFR 1.111 and responds to a substitute examiner’s answer from a Board remand.

Once appellant files a reply in compliance with 37 CFR 1.111 in response to a substitute examiner’s answer responding to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a), the examiner must reopen prosecution by entering and considering the reply. Examiner may make the next Office action final unless the examiner introduces a new ground of rejection that is neither necessitated by the applicant’s amendment of the claims nor based on information submitted in an information disclosure statement filed during the period set forth in 37 CFR 1.97(c) with the fee set forth in 37 CFR 1.17(p). See MPEP § 706.07(a).

Jump to MPEP Source · 37 CFR 1.111Board Decision TypesExaminer Sustained – Amendment OptionsReopening Prosecution After Appeal
StatutoryPermittedAlways
[mpep-1207-05-ad2985419d084fdf1f2ad716]
Appeal Can Be Remanded to Examiner for Further Consideration
Note:
The Director of the USPTO may remand an appeal to the examiner for further consideration, such as when a new Information Disclosure Statement or reply brief is filed.

The Director of the USPTO may remand an appeal to the examiner. See 37 CFR 41.35(c). The Board may remand an application to the examiner for a reason that is not for further consideration of a rejection, such as to consider an information disclosure statement filed before jurisdiction over the appeal transferred to the Board under 37 CFR 41.35(d), a reply brief that raised new issues that were not considered by the examiner, an amendment, or an affidavit. See MPEP § 1211. Consideration of any Information Disclosure Statement or petition filed while the Board possesses jurisdiction over the proceeding will be held in abeyance until the Board’s jurisdiction ends. The examiner may provide a substitute examiner’s answer in response to the remand. Appellant may respond by filing a reply brief within two months from the mailing of the substitute answer. Appellant does not have the option to request that prosecution be reopened pursuant to 37 CFR 41.50(a) unless the remand by the Board is for further consideration of a rejection under 37 CFR 41.50(a).

Jump to MPEP Source · 37 CFR 41.35(c)Board Decision TypesJurisdiction Transfer to BoardEx Parte Appeals to PTAB
StatutoryPermittedAlways
[mpep-1207-05-7bed7090b9d9691b86f9bb16]
Board May Remand Application for Non-Rejection Reasons
Note:
The Board can remand an application to the examiner for reasons other than reconsidering rejections, such as considering new information or amendments.

The Director of the USPTO may remand an appeal to the examiner. See 37 CFR 41.35(c). The Board may remand an application to the examiner for a reason that is not for further consideration of a rejection, such as to consider an information disclosure statement filed before jurisdiction over the appeal transferred to the Board under 37 CFR 41.35(d), a reply brief that raised new issues that were not considered by the examiner, an amendment, or an affidavit. See MPEP § 1211. Consideration of any Information Disclosure Statement or petition filed while the Board possesses jurisdiction over the proceeding will be held in abeyance until the Board’s jurisdiction ends. The examiner may provide a substitute examiner’s answer in response to the remand. Appellant may respond by filing a reply brief within two months from the mailing of the substitute answer. Appellant does not have the option to request that prosecution be reopened pursuant to 37 CFR 41.50(a) unless the remand by the Board is for further consideration of a rejection under 37 CFR 41.50(a).

Jump to MPEP Source · 37 CFR 41.35(c)Board Decision TypesJurisdiction Transfer to BoardReply Brief Filing
StatutoryPermittedAlways
[mpep-1207-05-bd7c6ff7ede4881999d219b9]
Examiner May Provide Substitute Answer on Remand
Note:
The examiner is permitted to submit a substitute answer in response to a remand from the Board of Patent Appeals and Interferences.

The Director of the USPTO may remand an appeal to the examiner. See 37 CFR 41.35(c). The Board may remand an application to the examiner for a reason that is not for further consideration of a rejection, such as to consider an information disclosure statement filed before jurisdiction over the appeal transferred to the Board under 37 CFR 41.35(d), a reply brief that raised new issues that were not considered by the examiner, an amendment, or an affidavit. See MPEP § 1211. Consideration of any Information Disclosure Statement or petition filed while the Board possesses jurisdiction over the proceeding will be held in abeyance until the Board’s jurisdiction ends. The examiner may provide a substitute examiner’s answer in response to the remand. Appellant may respond by filing a reply brief within two months from the mailing of the substitute answer. Appellant does not have the option to request that prosecution be reopened pursuant to 37 CFR 41.50(a) unless the remand by the Board is for further consideration of a rejection under 37 CFR 41.50(a).

Jump to MPEP Source · 37 CFR 41.35(c)Board Decision TypesAppeal Brief TimingJurisdiction Transfer to Board
StatutoryInformativeAlways
[mpep-1207-05-7ce7b4efe1e6bf0930dc8d25]
Remand for Further Consideration of a Rejection Required to Request Prosecution Reopening
Note:
Appellant can only request prosecution be reopened if the Board remands the case specifically for further consideration of a rejection under 37 CFR 41.50(a).

The Director of the USPTO may remand an appeal to the examiner. See 37 CFR 41.35(c). The Board may remand an application to the examiner for a reason that is not for further consideration of a rejection, such as to consider an information disclosure statement filed before jurisdiction over the appeal transferred to the Board under 37 CFR 41.35(d), a reply brief that raised new issues that were not considered by the examiner, an amendment, or an affidavit. See MPEP § 1211. Consideration of any Information Disclosure Statement or petition filed while the Board possesses jurisdiction over the proceeding will be held in abeyance until the Board’s jurisdiction ends. The examiner may provide a substitute examiner’s answer in response to the remand. Appellant may respond by filing a reply brief within two months from the mailing of the substitute answer. Appellant does not have the option to request that prosecution be reopened pursuant to 37 CFR 41.50(a) unless the remand by the Board is for further consideration of a rejection under 37 CFR 41.50(a).

Jump to MPEP Source · 37 CFR 41.35(c)Board Decision TypesBoard DecisionPTAB Jurisdiction
Topic

Reply Brief Filing

5 rules
StatutoryPermittedAlways
[mpep-1207-05-c6f97fe641a5355458e22bf8]
Board May Remand Appeal to Examiner for Reply
Note:
The Board may remand an appeal back to the examiner to provide a response after receiving a reply brief, but the examiner does not need to acknowledge or comment further before a decision.

After receipt of a reply brief in compliance with 37 CFR 41.41, jurisdiction over the appeal passes to the Board. Normally, the examiner does not need to acknowledge the reply brief and will not have an opportunity for further comment prior to a decision by the Board. However, the Board may remand the appeal to the examiner to furnish a substitute examiner’s answer responsive to the remand.

Jump to MPEP Source · 37 CFR 41.41Reply Brief FilingReply Brief and ForwardingPTAB Jurisdiction
StatutoryInformativeAlways
[mpep-1207-05-1f2bdff3e782af0a5b23eca9]
Maintain Appeal by Filing Reply Brief
Note:
Appellant must file a reply brief within two months of the substitute examiner's answer to avoid dismissal of the appeal.

If a substitute examiner’s answer is written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2), the appellant must, within two months of the date of the substitute examiner's answer, exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding:

Request that the appeal be maintained by filing a reply brief as provided in 37 CFR 41.41.

Jump to MPEP Source · 37 CFR 41.50(a)(2)Reply Brief FilingAppeal Brief RequirementsReply Brief and Forwarding
StatutoryRequiredAlways
[mpep-1207-05-75472c2075db5a561acd6e10]
Reply Brief with Evidence Reopens Prosecution
Note:
A reply brief accompanied by an amendment, affidavit, or other evidence is treated as a request to reopen prosecution before the examiner.

If a substitute examiner’s answer is written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2), the appellant must, within two months of the date of the substitute examiner's answer, exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding:

If such a reply brief is accompanied by any amendment, affidavit or other evidence, it shall be treated as a request that prosecution be reopened before the examiner under 37 CFR 41.50(a)(2)(i).

Jump to MPEP Source · 37 CFR 41.50(a)(2)Reply Brief FilingAppeal Brief RequirementsBoard Decision
StatutoryProhibitedAlways
[mpep-1207-05-7284e6f14918c6cd067ac449]
Reply Brief Must Comply With 37 CFR 41.41
Note:
The reply brief must adhere to the requirements set forth in 37 CFR 41.41 and address each ground of rejection without including new amendments or affidavits.

If appellant requests that the appeal be maintained, the appellant must file a reply brief to address each grounds of rejection set forth in the substitute examiner’s answer in compliance with 37 CFR 41.37(c)(1)(iv) within two months from the mailing of the substitute examiner's answer. The reply brief must also be in compliance with requirements set forth in 37 CFR 41.41 (e.g., it cannot include any new amendment or affidavit). If the reply brief is accompanied by an amendment, affidavit or other evidence, it will be treated as a request that prosecution be reopened before the examiner.

Jump to MPEP Source · 37 CFR 41.37(c)(1)(iv)Reply Brief FilingAppeal Brief RequirementsReply Brief and Forwarding
StatutoryInformativeAlways
[mpep-1207-05-ea6be32dd7b95aa1f0405c0a]
Reply Brief Accompanied by Evidence Requests Reopening
Note:
If the reply brief includes an amendment, affidavit, or other evidence, it will be treated as a request to reopen prosecution before the examiner.

If appellant requests that the appeal be maintained, the appellant must file a reply brief to address each grounds of rejection set forth in the substitute examiner’s answer in compliance with 37 CFR 41.37(c)(1)(iv) within two months from the mailing of the substitute examiner's answer. The reply brief must also be in compliance with requirements set forth in 37 CFR 41.41 (e.g., it cannot include any new amendment or affidavit). If the reply brief is accompanied by an amendment, affidavit or other evidence, it will be treated as a request that prosecution be reopened before the examiner.

Jump to MPEP Source · 37 CFR 41.37(c)(1)(iv)Reply Brief FilingAppeal Brief RequirementsReply Brief and Forwarding
Topic

Grounds for Dismissal of Appeal

5 rules
StatutoryInformativeAlways
[mpep-1207-05-a896292fbe3355ad06c47563]
Appeal Dismissed If No Timely Reply to Remand
Note:
If an appellant fails to timely file a reply under 37 CFR 1.111 or a reply brief in response to a substitute examiner’s answer following a Board remand, the appeal will be dismissed.

If appellant fails to timely file a reply under 37 CFR 1.111 or a reply brief in response to a substitute examiner’s answer that was written in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a), the appeal will be sua sponte dismissed as to the claims subject to the rejection for which the Board has remanded the proceeding. As jurisdiction passes to the Board at the expiration of time to file a reply brief, the Board will prepare and mail the dismissal. If all of the claims under appeal are subject to the rejection, the entire appeal will be dismissed. The examiner should follow the procedure set forth in MPEP § 1215 after the appeal is dismissed. For example, if there is no allowed claim in the application, the application would be abandoned when the two-month time period has expired.

Jump to MPEP Source · 37 CFR 1.111Grounds for Dismissal of AppealBoard Decision TypesReply Brief Filing
StatutoryInformativeAlways
[mpep-1207-05-e193edea6dcf8bab1a2693e4]
Dismissal of Appeal for Missing Reply Brief
Note:
If appellant fails to timely file a reply brief, the appeal will be dismissed by the Board.

If appellant fails to timely file a reply under 37 CFR 1.111 or a reply brief in response to a substitute examiner’s answer that was written in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a), the appeal will be sua sponte dismissed as to the claims subject to the rejection for which the Board has remanded the proceeding. As jurisdiction passes to the Board at the expiration of time to file a reply brief, the Board will prepare and mail the dismissal. If all of the claims under appeal are subject to the rejection, the entire appeal will be dismissed. The examiner should follow the procedure set forth in MPEP § 1215 after the appeal is dismissed. For example, if there is no allowed claim in the application, the application would be abandoned when the two-month time period has expired.

Jump to MPEP Source · 37 CFR 1.111Grounds for Dismissal of AppealJurisdiction Transfer to BoardReply Brief Filing
StatutoryInformativeAlways
[mpep-1207-05-fa1bf9e5a5b0a65638fb05a9]
Entire Appeal Dismissed If All Claims Rejected
Note:
If all claims under appeal are subject to rejection, the entire appeal will be dismissed.

If appellant fails to timely file a reply under 37 CFR 1.111 or a reply brief in response to a substitute examiner’s answer that was written in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a), the appeal will be sua sponte dismissed as to the claims subject to the rejection for which the Board has remanded the proceeding. As jurisdiction passes to the Board at the expiration of time to file a reply brief, the Board will prepare and mail the dismissal. If all of the claims under appeal are subject to the rejection, the entire appeal will be dismissed. The examiner should follow the procedure set forth in MPEP § 1215 after the appeal is dismissed. For example, if there is no allowed claim in the application, the application would be abandoned when the two-month time period has expired.

Jump to MPEP Source · 37 CFR 1.111Grounds for Dismissal of AppealEx Parte Appeals to PTABBoard Decision Types
StatutoryRecommendedAlways
[mpep-1207-05-0b3ef93dc85572e7095465d5]
Examiner Must Follow MPEP §1215 After Appeal Dismissal
Note:
The examiner must follow the procedure set forth in MPEP §1215 after an appeal is dismissed due to appellant's failure to timely file a reply.

If appellant fails to timely file a reply under 37 CFR 1.111 or a reply brief in response to a substitute examiner’s answer that was written in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a), the appeal will be sua sponte dismissed as to the claims subject to the rejection for which the Board has remanded the proceeding. As jurisdiction passes to the Board at the expiration of time to file a reply brief, the Board will prepare and mail the dismissal. If all of the claims under appeal are subject to the rejection, the entire appeal will be dismissed. The examiner should follow the procedure set forth in MPEP § 1215 after the appeal is dismissed. For example, if there is no allowed claim in the application, the application would be abandoned when the two-month time period has expired.

Jump to MPEP Source · 37 CFR 1.111Grounds for Dismissal of AppealEx Parte Appeals to PTABBoard Decision Types
StatutoryInformativeAlways
[mpep-1207-05-6d92fd1dd7792e85f83d6845]
Application Abandoned Without Allowed Claims
Note:
If there is no allowed claim in the application, it will be abandoned after the two-month time period expires.

If appellant fails to timely file a reply under 37 CFR 1.111 or a reply brief in response to a substitute examiner’s answer that was written in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a), the appeal will be sua sponte dismissed as to the claims subject to the rejection for which the Board has remanded the proceeding. As jurisdiction passes to the Board at the expiration of time to file a reply brief, the Board will prepare and mail the dismissal. If all of the claims under appeal are subject to the rejection, the entire appeal will be dismissed. The examiner should follow the procedure set forth in MPEP § 1215 after the appeal is dismissed. For example, if there is no allowed claim in the application, the application would be abandoned when the two-month time period has expired.

Jump to MPEP Source · 37 CFR 1.111Grounds for Dismissal of AppealBoard Decision TypesJurisdiction Transfer to Board
Topic

Appeal Brief Timing

4 rules
StatutoryRequiredAlways
[mpep-1207-05-56cb5b2a0948a4c4bf605c41]
Appellant Must File Reply Within Two Months
Note:
Appellant must file a reply under 37 CFR 1.111 to request reopening prosecution or maintain the appeal within two months of receiving the substitute examiner’s answer, or face sua sponte dismissal.

In response to a substitute examiner’s answer that is written in response to a remand by the Board for further consideration of a rejection, appellant must either file: (1) a reply under 37 CFR 1.111 to request that prosecution be reopened; or (2) a reply brief to request that the appeal be maintained, within two months from the mailing of the substitute examiner’s answer, to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding. Examiner may include a new ground of rejection in the substitute examiner’s answer responding to a remand by the Board for further consideration of a rejection. See MPEP § 1207.03.

Jump to MPEP Source · 37 CFR 1.111Appeal Brief TimingGrounds for Dismissal of AppealBoard Decision Types
StatutoryRequiredAlways
[mpep-1207-05-e069e4b79d0f0e3ee07b8f81]
Appellant Must Respond Within Two Months After Substitute Examiner’s Answer
Note:
The appellant must file a reply brief or request reopening prosecution within two months of the substitute examiner's answer to avoid dismissal.
If a substitute examiner’s answer is written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2), the appellant must, within two months of the date of the substitute examiner's answer, exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding:
  • (i) Reopen prosecution. Request that prosecution be reopened before the examiner by filing a reply under 37 CFR 1.111 with or without amendment or submission of affidavits (37 CFR 1.130, 1.131 or 1.132) or other evidence. Any amendment or submission of affidavits or other evidence must be relevant to the issues set forth in the remand or raised in the substitute examiner’s answer. A request that complies with 37 CFR 41.50(a)(2)(i) will be entered and the application or the patent under ex parte reexamination will be reconsidered by the examiner under the provisions of 37 CFR 1.112. Any request that prosecution be reopened under 37 CFR 41.50(a)(2)(i) will be treated as a request to withdraw the appeal.
  • (ii) Maintain appeal. Request that the appeal be maintained by filing a reply brief as provided in 37 CFR 41.41. If such a reply brief is accompanied by any amendment, affidavit or other evidence, it shall be treated as a request that prosecution be reopened before the examiner under 37 CFR 41.50(a)(2)(i).
Jump to MPEP Source · 37 CFR 41.50(a)(2)Appeal Brief TimingGrounds for Dismissal of AppealBoard Decision Types
StatutoryRequiredAlways
[mpep-1207-05-61d13dc6f8634f986a9ae1ec]
Appellant Must File Reply Brief Addressing Rejections Within Two Months
Note:
If appellant requests to maintain the appeal, they must file a reply brief addressing each ground of rejection within two months from the substitute examiner's answer.

If appellant requests that the appeal be maintained, the appellant must file a reply brief to address each grounds of rejection set forth in the substitute examiner’s answer in compliance with 37 CFR 41.37(c)(1)(iv) within two months from the mailing of the substitute examiner's answer. The reply brief must also be in compliance with requirements set forth in 37 CFR 41.41 (e.g., it cannot include any new amendment or affidavit). If the reply brief is accompanied by an amendment, affidavit or other evidence, it will be treated as a request that prosecution be reopened before the examiner.

Jump to MPEP Source · 37 CFR 41.37(c)(1)(iv)Appeal Brief TimingExaminer's Answer ContentReply Brief Filing
StatutoryPermittedAlways
[mpep-1207-05-366197930eefbce6d713712e]
Appellant Must File Reply Within Two Months
Note:
Appellant must file a reply brief within two months from the mailing of the substitute examiner’s answer after remand.

The Director of the USPTO may remand an appeal to the examiner. See 37 CFR 41.35(c). The Board may remand an application to the examiner for a reason that is not for further consideration of a rejection, such as to consider an information disclosure statement filed before jurisdiction over the appeal transferred to the Board under 37 CFR 41.35(d), a reply brief that raised new issues that were not considered by the examiner, an amendment, or an affidavit. See MPEP § 1211. Consideration of any Information Disclosure Statement or petition filed while the Board possesses jurisdiction over the proceeding will be held in abeyance until the Board’s jurisdiction ends. The examiner may provide a substitute examiner’s answer in response to the remand. Appellant may respond by filing a reply brief within two months from the mailing of the substitute answer. Appellant does not have the option to request that prosecution be reopened pursuant to 37 CFR 41.50(a) unless the remand by the Board is for further consideration of a rejection under 37 CFR 41.50(a).

Jump to MPEP Source · 37 CFR 41.35(c)Appeal Brief TimingReply Brief FilingAppeal Brief Requirements
Topic

New Ground of Rejection by Board

3 rules
StatutoryPermittedAlways
[mpep-1207-05-aca4a1bbfca885040fbe4510]
Examiner May Include New Grounds in Response to Board Remand
Note:
The examiner is permitted to add new grounds of rejection in their response when the board remands a case for further consideration.

In response to a substitute examiner’s answer that is written in response to a remand by the Board for further consideration of a rejection, appellant must either file: (1) a reply under 37 CFR 1.111 to request that prosecution be reopened; or (2) a reply brief to request that the appeal be maintained, within two months from the mailing of the substitute examiner’s answer, to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding. Examiner may include a new ground of rejection in the substitute examiner’s answer responding to a remand by the Board for further consideration of a rejection. See MPEP § 1207.03.

Jump to MPEP Source · 37 CFR 1.111New Ground of Rejection by BoardBoard Decision TypesPTAB Jurisdiction
StatutoryPermittedAlways
[mpep-1207-05-cbe52443ab874ae9a2a7a75f]
Substitute Examiner’s Answer May Set New Rejection Grounds
Note:
A substitute examiner's answer in response to a Board remand can introduce new grounds of rejection, which must comply with MPEP § 1207.03.

The examiner may provide a substitute examiner’s answer in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a). Appellant must respond to such substitute examiner’s answer and has the option to request that prosecution be reopened. A substitute examiner’s answer written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2) may set forth a new ground of rejection. Any new ground of rejection made in such a substitute examiner’s answer must comply with the requirements set forth in MPEP § 1207.03. The examiner may use form paragraph 12.285 in preparing the substitute examiner’s answer responding a remand by the Board for further consideration of a rejection.

Jump to MPEP Source · 37 CFR 41.50(a)New Ground of Rejection by BoardBoard Decision TypesBoard Decision
StatutoryRequiredAlways
[mpep-1207-05-3dda7f67b8673a66d2e675b8]
New Ground of Rejection Must Comply with MPEP §1207.03
Note:
Any new ground of rejection in a substitute examiner’s answer must adhere to the requirements set forth in MPEP §1207.03.

The examiner may provide a substitute examiner’s answer in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a). Appellant must respond to such substitute examiner’s answer and has the option to request that prosecution be reopened. A substitute examiner’s answer written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2) may set forth a new ground of rejection. Any new ground of rejection made in such a substitute examiner’s answer must comply with the requirements set forth in MPEP § 1207.03. The examiner may use form paragraph 12.285 in preparing the substitute examiner’s answer responding a remand by the Board for further consideration of a rejection.

Jump to MPEP Source · 37 CFR 41.50(a)New Ground of Rejection by BoardBoard Decision TypesBoard Decision
Topic

Ex Parte Appeals to PTAB

3 rules
StatutoryRequiredAlways
[mpep-1207-05-5c88b48e313d7822728624d3]
Appellant Must Respond to Substitute Examiner’s Answer and Can Reopen Prosecution
Note:
Appellant must reply to the substitute examiner's answer following a Board remand and has the option to request reopening of prosecution.

The examiner may provide a substitute examiner’s answer in response to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a). Appellant must respond to such substitute examiner’s answer and has the option to request that prosecution be reopened. A substitute examiner’s answer written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2) may set forth a new ground of rejection. Any new ground of rejection made in such a substitute examiner’s answer must comply with the requirements set forth in MPEP § 1207.03. The examiner may use form paragraph 12.285 in preparing the substitute examiner’s answer responding a remand by the Board for further consideration of a rejection.

Jump to MPEP Source · 37 CFR 41.50(a)Ex Parte Appeals to PTABNew Ground of Rejection by BoardBoard Decision Types
StatutoryInformativeAlways
[mpep-1207-05-17832fa0bc619f5b57757b8a]
Appellant Must Maintain Appeal After Remand
Note:
The appellant must file a reply brief within two months of the substitute examiner's answer to avoid dismissal of the appeal.

If a substitute examiner’s answer is written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2), the appellant must, within two months of the date of the substitute examiner's answer, exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding:

(ii) Maintain appeal.

Jump to MPEP Source · 37 CFR 41.50(a)(2)Ex Parte Appeals to PTABAppeal Brief TimingGrounds for Dismissal of Appeal
StatutoryRequiredAlways
[mpep-1207-05-479b86251563e6ac49d673aa]
Appellant Must Reply to Grounds of Rejection Within Two Months
Note:
The appellant must file a reply addressing each ground of rejection in the substitute examiner’s answer within two months, complying with 37 CFR 1.111.

If appellant requests that prosecution be reopened, the appellant must file a reply that addresses each ground of rejection set forth in the substitute examiner’s answer in compliance with 37 CFR 1.111 within two months from the mailing of the substitute examiner’s answer. The reply may also include amendments, evidence, and/or arguments directed to claims not subject to the ground of rejection set forth in the substitute examiner's answer or other rejections. If there is after-final amendment (or affidavit or other evidence) that was not entered, appellant may include such amendment in the reply to the substitute examiner’s answer.

Jump to MPEP Source · 37 CFR 1.111Ex Parte Appeals to PTABExaminer's Answer
Topic

Jurisdiction Transfer to Board

2 rules
StatutoryInformativeAlways
[mpep-1207-05-b4c9e3c834e117313d401054]
Jurisdiction Transfers to Board After Reply Brief
Note:
After a reply brief in compliance with 37 CFR 41.41 is received, the Board gains jurisdiction over the appeal and the examiner will not have further comment opportunities.

After receipt of a reply brief in compliance with 37 CFR 41.41, jurisdiction over the appeal passes to the Board. Normally, the examiner does not need to acknowledge the reply brief and will not have an opportunity for further comment prior to a decision by the Board. However, the Board may remand the appeal to the examiner to furnish a substitute examiner’s answer responsive to the remand.

Jump to MPEP Source · 37 CFR 41.41Jurisdiction Transfer to BoardReply Brief FilingReply Brief and Forwarding
StatutoryInformativeAlways
[mpep-1207-05-c3c1631cd0418d0ac0ece4de]
Information Disclosure Statement Held In Abeyance During Board Jurisdiction
Note:
Consideration of any Information Disclosure Statement filed while the Board has jurisdiction over an appeal will be suspended until the Board's jurisdiction ends.

The Director of the USPTO may remand an appeal to the examiner. See 37 CFR 41.35(c). The Board may remand an application to the examiner for a reason that is not for further consideration of a rejection, such as to consider an information disclosure statement filed before jurisdiction over the appeal transferred to the Board under 37 CFR 41.35(d), a reply brief that raised new issues that were not considered by the examiner, an amendment, or an affidavit. See MPEP § 1211. Consideration of any Information Disclosure Statement or petition filed while the Board possesses jurisdiction over the proceeding will be held in abeyance until the Board’s jurisdiction ends. The examiner may provide a substitute examiner’s answer in response to the remand. Appellant may respond by filing a reply brief within two months from the mailing of the substitute answer. Appellant does not have the option to request that prosecution be reopened pursuant to 37 CFR 41.50(a) unless the remand by the Board is for further consideration of a rejection under 37 CFR 41.50(a).

Jump to MPEP Source · 37 CFR 41.35(c)Jurisdiction Transfer to BoardPTAB JurisdictionEx Parte Appeals to PTAB
Topic

Signature Requirements

2 rules
StatutoryInformativeAlways
[mpep-1207-05-3f29ecc1227400f7d9909788]
TC Director’s Signature Required for Substitute Examiner’s Answer
Note:
A TC Director or their designee must approve every substitute examiner’s answer by signing it.

4. In bracket 3, insert the TC Director’s or designee’s signature. A TC Director or designee must approve every substitute examiner’s answer.

37 CFR 1.77Signature Requirements
StatutoryRequiredAlways
[mpep-1207-05-8f7c2e3c0f2b5f73736cd89a]
TC Director Must Approve Substitute Examiner’s Answer
Note:
A TC Director or designee must approve every substitute examiner's answer before it is considered valid.

4. In bracket 3, insert the TC Director’s or designee’s signature. A TC Director or designee must approve every substitute examiner’s answer.

37 CFR 1.77Signature Requirements
Topic

Examiner Sustained – Amendment Options

2 rules
StatutoryInformativeAlways
[mpep-1207-05-377df160441c95cc981112ee]
Requirement to Reopen Prosecution After Remand
Note:
Appellant must request reopening prosecution within two months of a substitute examiner's answer following a Board remand for further consideration of a rejection.

If a substitute examiner’s answer is written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2), the appellant must, within two months of the date of the substitute examiner's answer, exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding (i) Reopen prosecution. Request that prosecution be reopened before the examiner by filing a reply under 37 CFR 1.111 with or without amendment or submission of affidavits (37 CFR 1.130, 1.131 or 1.132) or other evidence. Any amendment or submission of affidavits or other evidence must be relevant to the issues set forth in the remand or raised in the substitute examiner’s answer. A request that complies with 37 CFR 41.50(a)(2)(i) will be entered and the application or the patent under ex parte reexamination will be reconsidered by the examiner under the provisions of 37 CFR 1.112. Any request that prosecution be reopened under 37 CFR 41.50(a)(2)(i) will be treated as a request to withdraw the appeal.

Jump to MPEP Source · 37 CFR 41.50(a)(2)Examiner Sustained – Amendment OptionsReopening Prosecution After AppealProcedure After Board Decision
StatutoryInformativeAlways
[mpep-1207-05-7176ed64a412225c83bd1699]
Request to Reopen Prosecution After Board Remand
Note:
Appellant must file a reply under 37 CFR 1.111 within two months of the substitute examiner's answer, with or without amendment, and may submit affidavits or other evidence relevant to the remanded issues.

If a substitute examiner’s answer is written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2), the appellant must, within two months of the date of the substitute examiner's answer, exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding (i) Reopen prosecution. Request that prosecution be reopened before the examiner by filing a reply under 37 CFR 1.111 with or without amendment or submission of affidavits (37 CFR 1.130, 1.131 or 1.132) or other evidence. Any amendment or submission of affidavits or other evidence must be relevant to the issues set forth in the remand or raised in the substitute examiner’s answer. A request that complies with 37 CFR 41.50(a)(2)(i) will be entered and the application or the patent under ex parte reexamination will be reconsidered by the examiner under the provisions of 37 CFR 1.112. Any request that prosecution be reopened under 37 CFR 41.50(a)(2)(i) will be treated as a request to withdraw the appeal.

Jump to MPEP Source · 37 CFR 41.50(a)(2)Examiner Sustained – Amendment OptionsGrounds for Dismissal of AppealVoluntary Withdrawal of Appeal
Topic

Board Decision

1 rules
StatutoryInformativeAlways
[mpep-1207-05-e2693f402298845e814e8bf4]
Request for Reconsideration Under Ex Parte Reexamination
Note:
A request that complies with 37 CFR 41.50(a)(2)(i) will be entered and the application or patent under ex parte reexamination will be reconsidered by the examiner.

If a substitute examiner’s answer is written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2), the appellant must, within two months of the date of the substitute examiner's answer, exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding (i) Reopen prosecution. Request that prosecution be reopened before the examiner by filing a reply under 37 CFR 1.111 with or without amendment or submission of affidavits (37 CFR 1.130, 1.131 or 1.132) or other evidence. Any amendment or submission of affidavits or other evidence must be relevant to the issues set forth in the remand or raised in the substitute examiner’s answer. A request that complies with 37 CFR 41.50(a)(2)(i) will be entered and the application or the patent under ex parte reexamination will be reconsidered by the examiner under the provisions of 37 CFR 1.112. Any request that prosecution be reopened under 37 CFR 41.50(a)(2)(i) will be treated as a request to withdraw the appeal.

Jump to MPEP Source · 37 CFR 41.50(a)(2)Board DecisionEx Parte ReexaminationGrounds for Dismissal of Appeal
Topic

Voluntary Withdrawal of Appeal

1 rules
StatutoryInformativeAlways
[mpep-1207-05-97644fd7c2301df136b1b265]
Request to Withdraw Appeal Treated as Reopening
Note:
A request to reopen prosecution under 37 CFR 41.50(a)(2)(i) is treated as a request to withdraw the appeal.

If a substitute examiner’s answer is written in response to a remand by the Board for further consideration of a rejection pursuant to 37 CFR 41.50(a)(2), the appellant must, within two months of the date of the substitute examiner's answer, exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding (i) Reopen prosecution. Request that prosecution be reopened before the examiner by filing a reply under 37 CFR 1.111 with or without amendment or submission of affidavits (37 CFR 1.130, 1.131 or 1.132) or other evidence. Any amendment or submission of affidavits or other evidence must be relevant to the issues set forth in the remand or raised in the substitute examiner’s answer. A request that complies with 37 CFR 41.50(a)(2)(i) will be entered and the application or the patent under ex parte reexamination will be reconsidered by the examiner under the provisions of 37 CFR 1.112. Any request that prosecution be reopened under 37 CFR 41.50(a)(2)(i) will be treated as a request to withdraw the appeal.

Jump to MPEP Source · 37 CFR 41.50(a)(2)Voluntary Withdrawal of AppealExaminer Sustained – Amendment OptionsBoard Decision
Topic

Three-Month Issue Fee Period

1 rules
StatutoryInformativeAlways
[mpep-1207-05-f42420b505e17ecd21dc7fcb]
Two-Month Reply Period Extendable for Patent Applications and Ex Parte Reexaminations
Note:
The two-month reply period can be extended under specific conditions for patent applications and ex parte reexamination proceedings.

The two month time period for reply is not extendable under 37 CFR 1.136(a), but is extendable under 37 CFR 1.136(b) for patent applications and 37 CFR 1.550(c) for ex parte reexamination proceedings.

Jump to MPEP Source · 37 CFR 1.136(a)Three-Month Issue Fee PeriodAppeal-Related PeriodsNon-Extendable Periods
Topic

Examiner's Answer

1 rules
StatutoryPermittedAlways
[mpep-1207-05-b94017e0a22555ec0ef702d4]
Reply Must Include Unentered Amendments
Note:
Appellant must include any after-final amendment or evidence not previously entered in the reply to the substitute examiner’s answer.

If appellant requests that prosecution be reopened, the appellant must file a reply that addresses each ground of rejection set forth in the substitute examiner’s answer in compliance with 37 CFR 1.111 within two months from the mailing of the substitute examiner’s answer. The reply may also include amendments, evidence, and/or arguments directed to claims not subject to the ground of rejection set forth in the substitute examiner's answer or other rejections. If there is after-final amendment (or affidavit or other evidence) that was not entered, appellant may include such amendment in the reply to the substitute examiner’s answer.

Jump to MPEP Source · 37 CFR 1.111Examiner's AnswerEx Parte Appeals to PTAB
Topic

Abandonment – Insufficient Reply

1 rules
StatutoryRecommendedAlways
[mpep-1207-05-ab7351b5715ff83a599d4f07]
Examiner Must Provide Time to Respond
Note:
If the reply does not fully address the ground of rejection but is genuine, the examiner must give a time period for completion.

If the reply is not fully responsive to the ground of rejection set forth in the substitute examiner’s answer, but the reply is bona fide, the examiner should provide a time period for appellant to complete the reply pursuant to 37 CFR 1.135(c). If the reply is not bona fide (e.g., does not address the ground of rejection) and the two-month time period has expired, the examiner must sua sponte dismiss the appeal as to the claims subject to the rejection for which the Board has remanded the case.

Jump to MPEP Source · 37 CFR 1.135(c)Abandonment – Insufficient ReplyAbandonment & AppealsAbandonment for Failure to Reply
Topic

Abandonment & Appeals

1 rules
StatutoryRequiredAlways
[mpep-1207-05-0b88a70bd030e08f40e1426d]
Examiner Must Sua Sponte Dismiss Appeal for Non-Bona Fide Reply
Note:
If the reply does not address the ground of rejection and the two-month period has expired, the examiner must dismiss the appeal.

If the reply is not fully responsive to the ground of rejection set forth in the substitute examiner’s answer, but the reply is bona fide, the examiner should provide a time period for appellant to complete the reply pursuant to 37 CFR 1.135(c). If the reply is not bona fide (e.g., does not address the ground of rejection) and the two-month time period has expired, the examiner must sua sponte dismiss the appeal as to the claims subject to the rejection for which the Board has remanded the case.

Jump to MPEP Source · 37 CFR 1.135(c)Abandonment & AppealsPTAB JurisdictionPTAB Contested Case Procedures
Topic

Amendments Adding New Matter

1 rules
StatutoryPermittedAlways
[mpep-1207-05-21a00391ec578c9922ca0901]
Examiner Must Not Introduce New Grounds Unless Necessitated
Note:
The examiner may not introduce a new ground of rejection unless it is necessitated by the applicant’s amendment or based on submitted information disclosure statements.

Once appellant files a reply in compliance with 37 CFR 1.111 in response to a substitute examiner’s answer responding to a remand by the Board for further consideration of a rejection under 37 CFR 41.50(a), the examiner must reopen prosecution by entering and considering the reply. Examiner may make the next Office action final unless the examiner introduces a new ground of rejection that is neither necessitated by the applicant’s amendment of the claims nor based on information submitted in an information disclosure statement filed during the period set forth in 37 CFR 1.97(c) with the fee set forth in 37 CFR 1.17(p). See MPEP § 706.07(a).

Jump to MPEP Source · 37 CFR 1.111Amendments Adding New MatterNew Ground of Rejection by BoardExaminer Sustained – Amendment Options

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.

¶ 12.285 ¶ 12.285 Substitute Examiner’s Answer – On Remand FOR FURTHER CONSIDERATION OF A REJECTION

Pursuant to the remand under 37 CFR 41.50(a)(1) by the Patent Trial and Appeal Board on [1] for further consideration of a rejection , a substitute Examiner’s Answer under 37 CFR 41.50(a)(2) is set forth below: [2] .

The appellant must within TWO MONTHS from the date of the substitute examiner’s answer exercise one of the following two options to avoid sua sponte dismissal of the appeal as to the claims subject to the rejection for which the Board has remanded the proceeding:

(1) Reopen prosecution . Request that prosecution be reopened before the examiner by filing a reply under 37 CFR 1.111 with or without amendment, affidavit, or other evidence. Any amendment, affidavit, or other evidence must be relevant to the issues set forth in the remand or raised in the substitute examiner’s answer. Any request that prosecution be reopened will be treated as a request to withdraw the appeal. See 37 CFR 41.50(a)(2)(i) .

(2) Maintain appeal . Request that the appeal be maintained by filing a reply brief as set forth in 37 CFR 41.41 . If such a reply brief is accompanied by any amendment, affidavit or other evidence, it shall be treated as a request that prosecution be reopened under 37 CFR 41.50(a)(2)(i) . See 37 CFR 41.50(a)(2)(ii) .

Extensions of time under 37 CFR 1.136(a) are not applicable to the TWO MONTH time period set forth above. See 37 CFR 1.136(b) for extensions of time to reply for patent applications and 37 CFR 1.550(c) for extensions of time to reply for ex parte reexamination proceedings.

A Technology Center Director or designee has approved this substitute examiner’s answer by signing below:

[3]

Citations

Primary topicCitation
Amendments Adding New Matter
Appeal Brief Timing
Board Decision
Board Decision Types
Ex Parte Appeals to PTAB
Examiner Sustained – Amendment Options
Examiner's Answer
Grounds for Dismissal of Appeal
New Ground of Rejection by Board
Voluntary Withdrawal of Appeal
37 CFR § 1.111
Appeal Brief Timing
Board Decision
Board Decision Types
Examiner Sustained – Amendment Options
Voluntary Withdrawal of Appeal
37 CFR § 1.112
Appeal Brief Timing
Board Decision
Board Decision Types
Examiner Sustained – Amendment Options
Voluntary Withdrawal of Appeal
37 CFR § 1.130
Abandonment & Appeals
Abandonment – Insufficient Reply
37 CFR § 1.135(c)
Three-Month Issue Fee Period37 CFR § 1.136(a)
Three-Month Issue Fee Period37 CFR § 1.136(b)
Amendments Adding New Matter
Board Decision Types
37 CFR § 1.17(p)
Three-Month Issue Fee Period37 CFR § 1.550(c)
Amendments Adding New Matter
Board Decision Types
37 CFR § 1.97(c)
Appeal Brief Timing
Board Decision Types
Jurisdiction Transfer to Board
37 CFR § 41.35(c)
Appeal Brief Timing
Board Decision Types
Jurisdiction Transfer to Board
37 CFR § 41.35(d)
Appeal Brief Timing
Reply Brief Filing
37 CFR § 41.37(c)(1)(iv)
Appeal Brief Timing
Ex Parte Appeals to PTAB
Jurisdiction Transfer to Board
Reply Brief Filing
37 CFR § 41.41
Amendments Adding New Matter
Appeal Brief Timing
Board Decision Types
Ex Parte Appeals to PTAB
Grounds for Dismissal of Appeal
Jurisdiction Transfer to Board
New Ground of Rejection by Board
37 CFR § 41.50(a)
Appeal Brief Timing
Board Decision
Board Decision Types
Ex Parte Appeals to PTAB
Examiner Sustained – Amendment Options
New Ground of Rejection by Board
Reply Brief Filing
Voluntary Withdrawal of Appeal
37 CFR § 41.50(a)(2)
Appeal Brief Timing
Board Decision
Board Decision Types
Ex Parte Appeals to PTAB
Examiner Sustained – Amendment Options
Reply Brief Filing
Voluntary Withdrawal of Appeal
37 CFR § 41.50(a)(2)(i)
Appeal Brief Timing
Board Decision Types
Ex Parte Appeals to PTAB
New Ground of Rejection by Board
MPEP § 1207.03
Appeal Brief Timing
Board Decision Types
Jurisdiction Transfer to Board
MPEP § 1211
Grounds for Dismissal of AppealMPEP § 1215
Amendments Adding New Matter
Board Decision Types
MPEP § 706.07(a)
Board Decision Types
Ex Parte Appeals to PTAB
New Ground of Rejection by Board
Form Paragraph § 12.285

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