MPEP § 2242 — Criteria for Deciding Request Filed under 35 U.S.C. 302 (Annotated Rules)

§2242 Criteria for Deciding Request Filed under 35 U.S.C. 302

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

This page consolidates and annotates all enforceable requirements under MPEP § 2242, 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.

Criteria for Deciding Request Filed under 35 U.S.C. 302

This section addresses Criteria for Deciding Request Filed under 35 U.S.C. 302. Primary authority: 35 U.S.C. 325(d), 35 U.S.C. 103, and 35 U.S.C. 303. Contains: 5 requirements, 4 guidance statements, 4 permissions, and 5 other statements.

Key Rules

Topic

Request Content Requirements

22 rules
StatutoryInformativeAlways
[mpep-2242-e1430a692033b9c00cda05ec]
Substantial New Question of Patentability Present Unless Decided
Note:
If prior art raises a substantial question of patentability, it is present unless already decided by court, office examination, or pending reexamination.

If the prior art patents and printed publications raise a substantial question of patentability of at least one claim of the patent, then a substantial new question of patentability as to the claim is present, unless the same question of patentability has already been: (A) decided in a final holding of invalidity by a federal court in a decision on the merits involving the claim, after all appeals; (B) decided in an earlier concluded examination or review of the patent by the Office; or (C) raised to or by the Office in a pending reexamination or supplemental examination of the patent. If the request for reexamination includes issues involving 35 U.S.C. 325(d), the examiner must bring such issues to the attention of the appropriate SPRS or the Director of the CRU. Inquiries from the public regarding the treatment of issues involving 35 U.S.C. 325(d) in ex parte reexaminations should be referred to OPLA.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaPrior Consideration of Art
StatutoryPermittedAlways
[mpep-2242-dd498cf166e7e36879809b4d]
Examiner Decides Substantial New Question of Patentability
Note:
The examiner determines if a 'substantial new question of patentability' exists for reexamination, and this determination can be reconsidered.

An earlier concluded examination or review of the patent is: (A) the original examination of the application which matured into the patent; (B) the examination of the patent in a reissue application that has resulted in a reissue of the patent; (C) the examination of the patent in an earlier concluded reexamination or supplemental examination; (D) the review of the patent in an earlier concluded trial by the Patent Trial and Appeal Board, such as a post-grant review, inter partes review, or covered business method review of the patent; or (E) any other contested Office proceeding which has been concluded and which involved the patent. The answer to the question of whether a “substantial new question of patentability” exists, and therefore whether reexamination may be had, is decided by the examiner, and the examiner’s determination may be reconsidered:

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaReissue and Reexamination
StatutoryInformativeAlways
[mpep-2242-6a74656efb279869204d9502]
Prior Art Raises Substantial Question of Patentability
Note:
A prior art patent or publication raises a substantial question if it would be considered important by a reasonable examiner in deciding the claim's patentability.

A prior art patent or printed publication raises a substantial question of patentability where there is a substantial likelihood that a reasonable examiner would consider the prior art patent or printed publication important in deciding whether or not the claim is patentable. If the prior art patents and/or publications would be considered important, then the examiner should find “a substantial new question of patentability” unless the same question of patentability has already been decided as to the claim in a final holding of invalidity by a federal court or by the Office in an earlier concluded examination or review of the patent, or unless the same question of patentability has been raised to or by the Office in a pending reexamination or supplemental examination of the patent. For example, the same question of patentability may have already been decided by the Office where the examiner finds the additional (newly provided) prior art patents or printed publications are merely cumulative to similar prior art already fully considered by the Office in an earlier concluded examination or review of the claim.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaPrior Consideration of Art
StatutoryRecommendedAlways
[mpep-2242-857a01c9d59b80c5bba1a4ee]
Examiner Must Find Substantial New Question of Patentability If Prior Art Is Important
Note:
The examiner must find a substantial new question of patentability if prior art patents or publications are important, unless the same question has already been decided in a federal court or by the Office.

A prior art patent or printed publication raises a substantial question of patentability where there is a substantial likelihood that a reasonable examiner would consider the prior art patent or printed publication important in deciding whether or not the claim is patentable. If the prior art patents and/or publications would be considered important, then the examiner should find “a substantial new question of patentability” unless the same question of patentability has already been decided as to the claim in a final holding of invalidity by a federal court or by the Office in an earlier concluded examination or review of the patent, or unless the same question of patentability has been raised to or by the Office in a pending reexamination or supplemental examination of the patent. For example, the same question of patentability may have already been decided by the Office where the examiner finds the additional (newly provided) prior art patents or printed publications are merely cumulative to similar prior art already fully considered by the Office in an earlier concluded examination or review of the claim.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaPrior Consideration of Art
StatutoryPermittedAlways
[mpep-2242-3a89b3301ae0d129d3d7dfe5]
Examiner Should Not Find New Question of Patentability for Cumulative Prior Art
Note:
The examiner should not find a new question of patentability when the newly provided prior art is merely cumulative to similar prior art already considered in an earlier examination.

A prior art patent or printed publication raises a substantial question of patentability where there is a substantial likelihood that a reasonable examiner would consider the prior art patent or printed publication important in deciding whether or not the claim is patentable. If the prior art patents and/or publications would be considered important, then the examiner should find “a substantial new question of patentability” unless the same question of patentability has already been decided as to the claim in a final holding of invalidity by a federal court or by the Office in an earlier concluded examination or review of the patent, or unless the same question of patentability has been raised to or by the Office in a pending reexamination or supplemental examination of the patent. For example, the same question of patentability may have already been decided by the Office where the examiner finds the additional (newly provided) prior art patents or printed publications are merely cumulative to similar prior art already fully considered by the Office in an earlier concluded examination or review of the claim.

Jump to MPEP SourceRequest Content RequirementsPrior Consideration of ArtSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2242-5d89d045b45e8638e57df0ae]
Requirement for Substantial New Question of Patentability in Reexamination Request
Note:
The rule requires that a reexamination request must present a substantial new question of patentability based on prior art patents or printed publications, which have not been decided by the Office before.

For “a substantial new question of patentability” to be present, it is only necessary that: (A) the prior art patents and/or printed publications raise a substantial question of patentability regarding at least one claim, i.e., the teaching of the (prior art) patents and printed publications is such that a reasonable examiner would consider the teaching to be important in deciding whether or not the claim is patentable; and (B) the same question of patentability as to the claim has not been decided by the Office in an earlier concluded examination or review of the patent, raised to or by the Office in a pending reexamination or supplemental examination of the patent, or decided in a final holding of invalidity (after all appeals) by a federal court in a decision on the merits involving the claim. If a reexamination proceeding was terminated/vacated without resolving the substantial question of patentability question, it can be re-presented in a new reexamination request. It is not necessary that a “prima facie” case of unpatentability exist as to the claim in order for “a substantial new question of patentability” to be present as to the claim. Thus, “a substantial new question of patentability” as to a patent claim could be present even if the examiner would not necessarily reject the claim as either fully anticipated by, or obvious in view of, the prior art patents or printed publications. As to the importance of the difference between “a substantial new question of patentability” and a “prima facie” case of unpatentability see generally In re Etter, 756 F.2d 852, 857 n.5, 225 USPQ 1, 4 n.5 (Fed. Cir. 1985).

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaPrior Consideration of Art
StatutoryPermittedAlways
[mpep-2242-2b0b8dec726ae2be735d9eac]
Substantial New Question of Patentability Can Be Re-Presented
Note:
If a reexamination proceeding was terminated without resolving the substantial question of patentability, it can be re-presented in a new request.

For “a substantial new question of patentability” to be present, it is only necessary that: (A) the prior art patents and/or printed publications raise a substantial question of patentability regarding at least one claim, i.e., the teaching of the (prior art) patents and printed publications is such that a reasonable examiner would consider the teaching to be important in deciding whether or not the claim is patentable; and (B) the same question of patentability as to the claim has not been decided by the Office in an earlier concluded examination or review of the patent, raised to or by the Office in a pending reexamination or supplemental examination of the patent, or decided in a final holding of invalidity (after all appeals) by a federal court in a decision on the merits involving the claim. If a reexamination proceeding was terminated/vacated without resolving the substantial question of patentability question, it can be re-presented in a new reexamination request. It is not necessary that a “prima facie” case of unpatentability exist as to the claim in order for “a substantial new question of patentability” to be present as to the claim. Thus, “a substantial new question of patentability” as to a patent claim could be present even if the examiner would not necessarily reject the claim as either fully anticipated by, or obvious in view of, the prior art patents or printed publications. As to the importance of the difference between “a substantial new question of patentability” and a “prima facie” case of unpatentability see generally In re Etter, 756 F.2d 852, 857 n.5, 225 USPQ 1, 4 n.5 (Fed. Cir. 1985).

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2242-e45d51b8ca356bbb09b75e9a]
Requirement for Substantial New Question of Patentability in Reexamination
Note:
A substantial new question of patentability can exist even if a prima facie case of unpatentability does not. It must arise from prior art patents or publications and have not been decided previously.

For “a substantial new question of patentability” to be present, it is only necessary that: (A) the prior art patents and/or printed publications raise a substantial question of patentability regarding at least one claim, i.e., the teaching of the (prior art) patents and printed publications is such that a reasonable examiner would consider the teaching to be important in deciding whether or not the claim is patentable; and (B) the same question of patentability as to the claim has not been decided by the Office in an earlier concluded examination or review of the patent, raised to or by the Office in a pending reexamination or supplemental examination of the patent, or decided in a final holding of invalidity (after all appeals) by a federal court in a decision on the merits involving the claim. If a reexamination proceeding was terminated/vacated without resolving the substantial question of patentability question, it can be re-presented in a new reexamination request. It is not necessary that a “prima facie” case of unpatentability exist as to the claim in order for “a substantial new question of patentability” to be present as to the claim. Thus, “a substantial new question of patentability” as to a patent claim could be present even if the examiner would not necessarily reject the claim as either fully anticipated by, or obvious in view of, the prior art patents or printed publications. As to the importance of the difference between “a substantial new question of patentability” and a “prima facie” case of unpatentability see generally In re Etter, 756 F.2d 852, 857 n.5, 225 USPQ 1, 4 n.5 (Fed. Cir. 1985).

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaPrior Consideration of Art
StatutoryInformativeAlways
[mpep-2242-6cbc9fefe208d23a07cb968c]
Requirement for Substantial New Question of Patentability
Note:
The rule outlines the criteria for a 'substantial new question of patentability' which must be present in a reexamination request, distinguishing it from a 'prima facie' case of unpatentability.

For “a substantial new question of patentability” to be present, it is only necessary that: (A) the prior art patents and/or printed publications raise a substantial question of patentability regarding at least one claim, i.e., the teaching of the (prior art) patents and printed publications is such that a reasonable examiner would consider the teaching to be important in deciding whether or not the claim is patentable; and (B) the same question of patentability as to the claim has not been decided by the Office in an earlier concluded examination or review of the patent, raised to or by the Office in a pending reexamination or supplemental examination of the patent, or decided in a final holding of invalidity (after all appeals) by a federal court in a decision on the merits involving the claim. If a reexamination proceeding was terminated/vacated without resolving the substantial question of patentability question, it can be re-presented in a new reexamination request. It is not necessary that a “prima facie” case of unpatentability exist as to the claim in order for “a substantial new question of patentability” to be present as to the claim. Thus, “a substantial new question of patentability” as to a patent claim could be present even if the examiner would not necessarily reject the claim as either fully anticipated by, or obvious in view of, the prior art patents or printed publications. As to the importance of the difference between “a substantial new question of patentability” and a “prima facie” case of unpatentability see generally In re Etter, 756 F.2d 852, 857 n.5, 225 USPQ 1, 4 n.5 (Fed. Cir. 1985).

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2242-b84341aca4a496255fc3f2e6]
Obviousness Determination Unchanged by KSR
Note:
The legal standard for determining whether a substantial new question of patentability exists remains unchanged despite the clarification of the obviousness standard under 35 U.S.C. 103 in KSR International Co. v. Teleflex Inc.

Note that the clarification of the legal standard for determining obviousness under 35 U.S.C. 103 in KSR International Co. v. Teleflex Inc. (KSR), 550 U.S. 398, 82 USPQ2d 1385 (2007) does not alter the legal standard for determining whether a substantial new question of patentability exists. See the discussion in MPEP § 2216.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaSubstantial New Question of Patentability
StatutoryRequiredAlways
[mpep-2242-44ec07bc93a5b5ee43a35d9b]
Second Request Must Raise Different Substantial New Question of Patentability
Note:
The second or subsequent request for reexamination must independently provide a different substantial new question of patentability affecting any claim of the patent.

Where a second or subsequent request for reexamination of a patent is made before the conclusion of an earlier filed reexamination proceeding pending (ongoing) for that patent, the second or subsequent request for reexamination may provide information raising a substantial new question of patentability with respect to any new or amended claim which has been proposed under 37 CFR 1.530(d) in the ongoing pending reexamination proceeding. However, in order for the second or subsequent request for reexamination to be granted, the second or subsequent requester must independently provide a substantial new question of patentability which is different from that raised in the pending reexamination for the claims in effect at the time of the determination. The decision on the second or subsequent request is based on the claims in effect at the time of the determination (37 CFR 1.515(a)). Thus, the second or subsequent request must be directed to the claims of the patent, as modified by any disclaimer, or by any reexamination certificate that has issued as of the time of the determination. If a “different” substantial new question of patentability is not provided by the second or subsequent request for the claims in effect at the time of the determination, the second or subsequent request for reexamination must be denied since the Office is only authorized by statute to grant a reexamination proceeding based on a substantial new question of patentability “affecting any claim of the patent.” See 35 U.S.C. 303. Accordingly, there must be at least one substantial new question of patentability established for the existing claims in the patent in order to grant reexamination.

Jump to MPEP Source · 37 CFR 1.530(d)Request Content RequirementsSNQ CriteriaDenial – No SNQ Raised
StatutoryRequiredAlways
[mpep-2242-202e467fe8637cfc02f2fe64]
Requirement for Substantial New Question of Patentability in Reexamination
Note:
A reexamination request must raise a new question of patentability different from the previous one to be granted.

Where a second or subsequent request for reexamination of a patent is made before the conclusion of an earlier filed reexamination proceeding pending (ongoing) for that patent, the second or subsequent request for reexamination may provide information raising a substantial new question of patentability with respect to any new or amended claim which has been proposed under 37 CFR 1.530(d) in the ongoing pending reexamination proceeding. However, in order for the second or subsequent request for reexamination to be granted, the second or subsequent requester must independently provide a substantial new question of patentability which is different from that raised in the pending reexamination for the claims in effect at the time of the determination. The decision on the second or subsequent request is based on the claims in effect at the time of the determination (37 CFR 1.515(a)). Thus, the second or subsequent request must be directed to the claims of the patent, as modified by any disclaimer, or by any reexamination certificate that has issued as of the time of the determination. If a “different” substantial new question of patentability is not provided by the second or subsequent request for the claims in effect at the time of the determination, the second or subsequent request for reexamination must be denied since the Office is only authorized by statute to grant a reexamination proceeding based on a substantial new question of patentability “affecting any claim of the patent.” See 35 U.S.C. 303. Accordingly, there must be at least one substantial new question of patentability established for the existing claims in the patent in order to grant reexamination.

Jump to MPEP Source · 37 CFR 1.530(d)Request Content RequirementsSNQ CriteriaReexamination Order
StatutoryPermittedAlways
[mpep-2242-e850059f0f2b3265e4e69ac7]
Subsequent Reexamination Can Address New Claims
Note:
A second or subsequent reexamination request can include information on new or amended claims if a substantial new question of patentability is raised, allowing for examination of the entire patent package.

Once the second or subsequent request has provided a “different” substantial new question of patentability based on the claims in effect at the time of the determination, the second or subsequent request for reexamination may also provide information directed to any proposed new or amended claim in the pending reexamination, to permit examination of the entire patent package. The information directed to a proposed new or amended claim in the pending reexamination is addressed during the later filed reexamination (where a substantial new question is raised in the later reexamination for the existing claims in the patent), in order to permit examination of the entire patent package. When a proper basis for the subsequent reexamination is established, it would be a waste of resources to prevent addressing the proposed new or amended claims, by requiring parties to wait until the certificate issues for the proposed new or amended claims, and only then to file a new reexamination request challenging the claims as revised via the certificate. This also prevents a patent owner from simply amending all the claims in some nominal fashion to preclude a subsequent reexamination request during the pendency of the reexamination proceeding.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaEx Parte Reexamination Request
StatutoryInformativeAlways
[mpep-2242-d16c56a61ddf7248427df65a]
Information for Proposed New Claims During Reexamination
Note:
Permits examination of proposed new or amended claims in the pending reexamination if a substantial new question is raised for existing claims.

Once the second or subsequent request has provided a “different” substantial new question of patentability based on the claims in effect at the time of the determination, the second or subsequent request for reexamination may also provide information directed to any proposed new or amended claim in the pending reexamination, to permit examination of the entire patent package. The information directed to a proposed new or amended claim in the pending reexamination is addressed during the later filed reexamination (where a substantial new question is raised in the later reexamination for the existing claims in the patent), in order to permit examination of the entire patent package. When a proper basis for the subsequent reexamination is established, it would be a waste of resources to prevent addressing the proposed new or amended claims, by requiring parties to wait until the certificate issues for the proposed new or amended claims, and only then to file a new reexamination request challenging the claims as revised via the certificate. This also prevents a patent owner from simply amending all the claims in some nominal fashion to preclude a subsequent reexamination request during the pendency of the reexamination proceeding.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaReexamination Order
StatutoryRecommendedAlways
[mpep-2242-0e9fce48bde1f4720031d4c2]
Criteria for Determining Substantial New Question of Patentability
Note:
Outlines situations to consider when deciding if a substantial new question of patentability is present.

In order to further clarify the meaning of “a substantial new question of patentability” certain situations are outlined below which, if present, should be considered when making a decision as to whether or not “a substantial new question of patentability” is present. Any issues involving 35 U.S.C. 325(d) raised in the request must be referred to the examiner's SPRS or the director of the CRU. Any questions from the public regarding procedures in regard to issues involving 35 U.S.C. 325(d) should be referred to the Office of Patent Legal Administration (OPLA).

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaReexamination Order
StatutoryInformativeAlways
[mpep-2242-ee4e7dd9b8dba39467892618]
Substantial New Question Based on Old Art
Note:
A reexamination request based on old art can still raise a new question of patentability if presented in a different light or with a material new argument.

In a decision to order reexamination made on or after November 2, 2002, reliance on old art does not necessarily preclude the existence of a substantial new question of patentability that is based exclusively on that old art. See Public Law 107-273, 116 Stat. 1758, 1899-1906 (2002), which expanded the scope of what qualifies for a substantial new question of patentability upon which a reexamination may be based. Determinations on whether a substantial new question of patentability exists in such an instance shall be based upon a fact-specific inquiry done on a case-by-case basis. For example, a substantial new question of patentability may be based solely on old art where the old art is being presented/viewed in a new light, or in a different way, as compared with its use in the earlier examination(s), in view of a material new argument or interpretation presented in the request. Such material new argument or interpretation may be based solely on claim scope of the patent being reexamined.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaReexamination Order
StatutoryPermittedAlways
[mpep-2242-729b7795d85ffde8a4df84cf]
Old Art Can Support New Question of Patentability
Note:
This rule allows old art to support a new question of patentability in reexamination if presented in a different light or with a material new argument.

In a decision to order reexamination made on or after November 2, 2002, reliance on old art does not necessarily preclude the existence of a substantial new question of patentability that is based exclusively on that old art. See Public Law 107-273, 116 Stat. 1758, 1899-1906 (2002), which expanded the scope of what qualifies for a substantial new question of patentability upon which a reexamination may be based. Determinations on whether a substantial new question of patentability exists in such an instance shall be based upon a fact-specific inquiry done on a case-by-case basis. For example, a substantial new question of patentability may be based solely on old art where the old art is being presented/viewed in a new light, or in a different way, as compared with its use in the earlier examination(s), in view of a material new argument or interpretation presented in the request. Such material new argument or interpretation may be based solely on claim scope of the patent being reexamined.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaSubstantial New Question of Patentability
StatutoryRequiredAlways
[mpep-2242-46317425c451e385fe11e935]
Determinations on Substantial New Question Must Be Case-Specific
Note:
Decisions regarding whether a substantial new question of patentability exists must be made through a fact-specific inquiry for each case, considering old art in a new light or with new arguments.

In a decision to order reexamination made on or after November 2, 2002, reliance on old art does not necessarily preclude the existence of a substantial new question of patentability that is based exclusively on that old art. See Public Law 107-273, 116 Stat. 1758, 1899-1906 (2002), which expanded the scope of what qualifies for a substantial new question of patentability upon which a reexamination may be based. Determinations on whether a substantial new question of patentability exists in such an instance shall be based upon a fact-specific inquiry done on a case-by-case basis. For example, a substantial new question of patentability may be based solely on old art where the old art is being presented/viewed in a new light, or in a different way, as compared with its use in the earlier examination(s), in view of a material new argument or interpretation presented in the request. Such material new argument or interpretation may be based solely on claim scope of the patent being reexamined.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaSubstantial New Question of Patentability
StatutoryPermittedAlways
[mpep-2242-bec9f31c638407206ab9d499]
Substantial New Question Based on Old Art in New Context
Note:
A substantial new question of patentability can be based solely on old art when it is viewed differently, as compared to previous examinations, due to a material new argument or interpretation.

In a decision to order reexamination made on or after November 2, 2002, reliance on old art does not necessarily preclude the existence of a substantial new question of patentability that is based exclusively on that old art. See Public Law 107-273, 116 Stat. 1758, 1899-1906 (2002), which expanded the scope of what qualifies for a substantial new question of patentability upon which a reexamination may be based. Determinations on whether a substantial new question of patentability exists in such an instance shall be based upon a fact-specific inquiry done on a case-by-case basis. For example, a substantial new question of patentability may be based solely on old art where the old art is being presented/viewed in a new light, or in a different way, as compared with its use in the earlier examination(s), in view of a material new argument or interpretation presented in the request. Such material new argument or interpretation may be based solely on claim scope of the patent being reexamined.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaPrior Consideration of Art
MPEP GuidanceInformativeAlways
[mpep-2242-f43f65ed4bb142311b8ae019]
Requirement for Substantial New Question of Patentability in Reexamination
Note:
The rule requires that a substantial new question of patentability must be present to order reexamination, which is not defined and must be developed on a case-by-case basis.

The presence or absence of “a substantial new question of patentability” determines whether or not reexamination is ordered. The meaning and scope of the term “a substantial new question of patentability” is not defined in the statute and must be developed to some extent on a case-by-case basis, using the case law to provide guidance as will be discussed in this section.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaReexamination Order
MPEP GuidanceRequiredAlways
[mpep-2242-ee470be02e6a9d1cce11f432]
Criteria for Determining Substantial New Question of Patentability in Reexamination Requests
Note:
The rule outlines the criteria for determining whether a reexamination request should be granted based on a substantial new question of patentability, which is not defined in statute and must be developed case-by-case.

The presence or absence of “a substantial new question of patentability” determines whether or not reexamination is ordered. The meaning and scope of the term “a substantial new question of patentability” is not defined in the statute and must be developed to some extent on a case-by-case basis, using the case law to provide guidance as will be discussed in this section.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaSubstantial New Question of Patentability
MPEP GuidanceRecommendedAlways
[mpep-2242-1e0a9f8e2cd6bc13bc873900]
Form Paragraph 22.01.01 Required for Old Art Question
Note:
When a substantial new question of patentability based solely on old art is raised, form paragraph 22.01.01 must be included in the reexamination order.

When it is determined that a substantial new question of patentability based solely on old art is raised, form paragraph 22.01.01 should be included in the order for reexamination.

Jump to MPEP SourceRequest Content RequirementsSNQ CriteriaReexamination Order
Topic

Ex Parte Reexamination Request

6 rules
StatutoryRecommendedAlways
[mpep-2242-b88241e6aa1b28f5cabbf770]
Inquiries About 35 U.S.C. 325(d) Referred to OPLA
Note:
Public inquiries regarding the treatment of issues involving 35 U.S.C. 325(d) in ex parte reexaminations must be referred to OPLA.

If the prior art patents and printed publications raise a substantial question of patentability of at least one claim of the patent, then a substantial new question of patentability as to the claim is present, unless the same question of patentability has already been: (A) decided in a final holding of invalidity by a federal court in a decision on the merits involving the claim, after all appeals; (B) decided in an earlier concluded examination or review of the patent by the Office; or (C) raised to or by the Office in a pending reexamination or supplemental examination of the patent. If the request for reexamination includes issues involving 35 U.S.C. 325(d), the examiner must bring such issues to the attention of the appropriate SPRS or the Director of the CRU. Inquiries from the public regarding the treatment of issues involving 35 U.S.C. 325(d) in ex parte reexaminations should be referred to OPLA.

Jump to MPEP SourceEx Parte Reexamination RequestEx Parte ReexaminationRequest Content Requirements
StatutoryInformativeAlways
[mpep-2242-3b8adf03e3e8fdf23a9c7d67]
Requirement for Handling Reexamination Denial
Note:
The rule outlines the requirements for handling a denied reexamination request as per MPEP § 2248.

(a) If reexamination is denied – as set forth in MPEP § 2248.

Jump to MPEP SourceEx Parte Reexamination RequestEx Parte Reexamination
StatutoryInformativeAlways
[mpep-2242-97968955ac18339a3dd31071]
Requirement for Reexamination Grant
Note:
The rule outlines the conditions under which reexamination is granted as detailed in MPEP § 2246, subsection II.

(b) If reexamination is granted – as set forth in MPEP § 2246, subsection II.

Jump to MPEP SourceEx Parte Reexamination RequestEx Parte Reexamination
StatutoryInformativeAlways
[mpep-2242-e785e0cdb71be931a9f5c214]
Requirement for Determining Substantial New Question of Patentability
Note:
The rule outlines the criteria for determining whether a substantial new question of patentability exists, which is not altered by the KSR International Co. v. Teleflex Inc. decision on obviousness under 35 U.S.C. 103.

Note that the clarification of the legal standard for determining obviousness under 35 U.S.C. 103 in KSR International Co. v. Teleflex Inc. (KSR), 550 U.S. 398, 82 USPQ2d 1385 (2007) does not alter the legal standard for determining whether a substantial new question of patentability exists. See the discussion in MPEP § 2216.

Jump to MPEP SourceEx Parte Reexamination RequestEx Parte ReexaminationRequest Content Requirements
StatutoryRecommendedAlways
[mpep-2242-b49f184e9b337e3f7c2cf6d9]
Questions on 35 U.S.C. 325(d) Must Go to OPLA
Note:
Any public inquiries about procedures related to issues involving 35 U.S.C. 325(d) should be directed to the Office of Patent Legal Administration.

In order to further clarify the meaning of “a substantial new question of patentability” certain situations are outlined below which, if present, should be considered when making a decision as to whether or not “a substantial new question of patentability” is present. Any issues involving 35 U.S.C. 325(d) raised in the request must be referred to the examiner's SPRS or the director of the CRU. Any questions from the public regarding procedures in regard to issues involving 35 U.S.C. 325(d) should be referred to the Office of Patent Legal Administration (OPLA).

Jump to MPEP SourceEx Parte Reexamination RequestEx Parte ReexaminationRequest Content Requirements
StatutoryInformativeAlways
[mpep-2242-f1937cbab3f086e42b018693]
Same Prior Art Not Raising New Question
Note:
If the Office has previously considered a patent claim based on the same prior art, presenting that same prior art in a reexamination request does not raise a substantial new question of patentability.

A “substantial new question of patentability” is not raised by prior art presented in a reexamination request if the Office has previously considered (in an earlier concluded examination or review of the patent) the same question of patentability as to a patent claim favorable to the patent owner based on the same prior art patents or printed publications. In re Recreative Technologies, 83 F.3d 1394, 38 USPQ2d 1776 (Fed. Cir. 1996).

Jump to MPEP SourceEx Parte Reexamination RequestEx Parte ReexaminationRequest by Patent Owner
Topic

SNQ Criteria

3 rules
StatutoryInformativeAlways
[mpep-2242-09d75828448fd818f53faee6]
Different Standards of Proof for Prior Art
Note:
The Office may independently assess whether prior art raises a substantial new question of patentability, even if a court has found no invalidity due to different proof standards.

When the initial question as to whether the prior art raises a substantial new question of patentability as to a patent claim is under consideration, the existence of a final court decision that a claim has not been proven invalid in view of the same or different prior art does not necessarily mean that no new question is present, because of the different standards of proof employed by the federal district courts and the Office. While the Office may accord deference to factual findings made by the district court, the determination of whether a substantial new question of patentability exists will be made independently of the court’s decision on validity, because it is not controlling on the Office. See In re Swanson et al., 540 F.3d 1368, 1378, 88 USPQ2d 1196, 1203 (Fed. Cir. 2008), where the Federal Circuit approved of the Office’s interpretation in MPEP § 2242. See also In re Baxter International Inc., 678 F.3d 1357, 102 USPQ2d 1925 (Fed. Cir. 2012) (patent reexamination should take notice of a court decision but the Office need not come to the same conclusion as the court).

Jump to MPEP SourceSNQ CriteriaPrior Consideration of ArtSubstantial New Question of Patentability
StatutoryPermittedAlways
[mpep-2242-0a5cfa66a6e975535748c2c0]
Office Determines SNQ Independently of Court Decisions
Note:
The Office will independently assess whether a substantial new question of patentability exists, regardless of previous court decisions on validity.

When the initial question as to whether the prior art raises a substantial new question of patentability as to a patent claim is under consideration, the existence of a final court decision that a claim has not been proven invalid in view of the same or different prior art does not necessarily mean that no new question is present, because of the different standards of proof employed by the federal district courts and the Office. While the Office may accord deference to factual findings made by the district court, the determination of whether a substantial new question of patentability exists will be made independently of the court’s decision on validity, because it is not controlling on the Office. See In re Swanson et al., 540 F.3d 1368, 1378, 88 USPQ2d 1196, 1203 (Fed. Cir. 2008), where the Federal Circuit approved of the Office’s interpretation in MPEP § 2242. See also In re Baxter International Inc., 678 F.3d 1357, 102 USPQ2d 1925 (Fed. Cir. 2012) (patent reexamination should take notice of a court decision but the Office need not come to the same conclusion as the court).

Jump to MPEP SourceSNQ CriteriaSubstantial New Question of PatentabilityEx Parte Reexamination
StatutoryRecommendedAlways
[mpep-2242-37b47e1488e62892fe98f992]
Office Determines SNQ Independently of Court Decisions
Note:
The Office must independently determine whether a substantial new question of patentability exists, even if there is a final court decision that the claim has not been proven invalid.

When the initial question as to whether the prior art raises a substantial new question of patentability as to a patent claim is under consideration, the existence of a final court decision that a claim has not been proven invalid in view of the same or different prior art does not necessarily mean that no new question is present, because of the different standards of proof employed by the federal district courts and the Office. While the Office may accord deference to factual findings made by the district court, the determination of whether a substantial new question of patentability exists will be made independently of the court’s decision on validity, because it is not controlling on the Office. See In re Swanson et al., 540 F.3d 1368, 1378, 88 USPQ2d 1196, 1203 (Fed. Cir. 2008), where the Federal Circuit approved of the Office’s interpretation in MPEP § 2242. See also In re Baxter International Inc., 678 F.3d 1357, 102 USPQ2d 1925 (Fed. Cir. 2012) (patent reexamination should take notice of a court decision but the Office need not come to the same conclusion as the court).

Jump to MPEP SourceSNQ CriteriaPrior Consideration of ArtSubstantial New Question of Patentability
Topic

Central Reexamination Unit Processing

2 rules
StatutoryRequiredAlways
[mpep-2242-f07bbe08597fc538362f4b04]
Examiner Must Address 35 U.S.C. 325(d) Issues to SPRS or CRU Director
Note:
If the reexamination request includes issues under 35 U.S.C. 325(d), the examiner must bring these issues to the attention of the appropriate SPRS or the CRU Director.

If the prior art patents and printed publications raise a substantial question of patentability of at least one claim of the patent, then a substantial new question of patentability as to the claim is present, unless the same question of patentability has already been: (A) decided in a final holding of invalidity by a federal court in a decision on the merits involving the claim, after all appeals; (B) decided in an earlier concluded examination or review of the patent by the Office; or (C) raised to or by the Office in a pending reexamination or supplemental examination of the patent. If the request for reexamination includes issues involving 35 U.S.C. 325(d), the examiner must bring such issues to the attention of the appropriate SPRS or the Director of the CRU. Inquiries from the public regarding the treatment of issues involving 35 U.S.C. 325(d) in ex parte reexaminations should be referred to OPLA.

Jump to MPEP SourceCentral Reexamination Unit ProcessingEx Parte Reexamination RequestEx Parte Reexamination
StatutoryRequiredAlways
[mpep-2242-cfd6f869dd6588da1a67b907]
325(d) Issues Must Be Referred to SPRS or CRU Director
Note:
Any issues involving 35 U.S.C. 325(d) must be referred to the examiner's SPRS or the director of the CRU for decision.

In order to further clarify the meaning of “a substantial new question of patentability” certain situations are outlined below which, if present, should be considered when making a decision as to whether or not “a substantial new question of patentability” is present. Any issues involving 35 U.S.C. 325(d) raised in the request must be referred to the examiner's SPRS or the director of the CRU. Any questions from the public regarding procedures in regard to issues involving 35 U.S.C. 325(d) should be referred to the Office of Patent Legal Administration (OPLA).

Jump to MPEP SourceCentral Reexamination Unit ProcessingEx Parte ReexaminationEx Parte Reexamination Request
Topic

Reexamination Certificate

2 rules
StatutoryRequiredAlways
[mpep-2242-1b5802aeac810a5efe60f8cc]
Second or Subsequent Reexamination Request Must Address Current Claims
Note:
The second or subsequent request for reexamination must address the claims as modified by any disclaimers or reexamination certificates issued at the time of determination.

Where a second or subsequent request for reexamination of a patent is made before the conclusion of an earlier filed reexamination proceeding pending (ongoing) for that patent, the second or subsequent request for reexamination may provide information raising a substantial new question of patentability with respect to any new or amended claim which has been proposed under 37 CFR 1.530(d) in the ongoing pending reexamination proceeding. However, in order for the second or subsequent request for reexamination to be granted, the second or subsequent requester must independently provide a substantial new question of patentability which is different from that raised in the pending reexamination for the claims in effect at the time of the determination. The decision on the second or subsequent request is based on the claims in effect at the time of the determination (37 CFR 1.515(a)). Thus, the second or subsequent request must be directed to the claims of the patent, as modified by any disclaimer, or by any reexamination certificate that has issued as of the time of the determination. If a “different” substantial new question of patentability is not provided by the second or subsequent request for the claims in effect at the time of the determination, the second or subsequent request for reexamination must be denied since the Office is only authorized by statute to grant a reexamination proceeding based on a substantial new question of patentability “affecting any claim of the patent.” See 35 U.S.C. 303. Accordingly, there must be at least one substantial new question of patentability established for the existing claims in the patent in order to grant reexamination.

Jump to MPEP Source · 37 CFR 1.530(d)Reexamination CertificateSNQ CriteriaConclusion of Ex Parte Reexamination
StatutoryInformativeAlways
[mpep-2242-7818d29d2ebece1fc5c37754]
Subsequent Reexamination of Amended Claims Allowed
Note:
Patent owners can request reexamination of amended claims without waiting for a certificate, ensuring efficient examination and preventing trivial claim amendments to avoid further review.

Once the second or subsequent request has provided a “different” substantial new question of patentability based on the claims in effect at the time of the determination, the second or subsequent request for reexamination may also provide information directed to any proposed new or amended claim in the pending reexamination, to permit examination of the entire patent package. The information directed to a proposed new or amended claim in the pending reexamination is addressed during the later filed reexamination (where a substantial new question is raised in the later reexamination for the existing claims in the patent), in order to permit examination of the entire patent package. When a proper basis for the subsequent reexamination is established, it would be a waste of resources to prevent addressing the proposed new or amended claims, by requiring parties to wait until the certificate issues for the proposed new or amended claims, and only then to file a new reexamination request challenging the claims as revised via the certificate. This also prevents a patent owner from simply amending all the claims in some nominal fashion to preclude a subsequent reexamination request during the pendency of the reexamination proceeding.

Jump to MPEP SourceReexamination CertificateRequest by Patent OwnerConclusion of Ex Parte Reexamination
Topic

Reissue and PTAB Proceedings

1 rules
StatutoryInformativeAlways
[mpep-2242-ebb38556612e28aa5c4ab727]
Criteria for Deciding Request Filed under 35 U.S.C. 302
Note:
Defines the criteria for determining whether a request filed under 35 U.S.C. 302 can proceed, based on previous patent examinations or reviews.

An earlier concluded examination or review of the patent is: (A) the original examination of the application which matured into the patent; (B) the examination of the patent in a reissue application that has resulted in a reissue of the patent; (C) the examination of the patent in an earlier concluded reexamination or supplemental examination; (D) the review of the patent in an earlier concluded trial by the Patent Trial and Appeal Board, such as a post-grant review, inter partes review, or covered business method review of the patent; or (E) any other contested Office proceeding which has been concluded and which involved the patent. The answer to the question of whether a “substantial new question of patentability” exists, and therefore whether reexamination may be had, is decided by the examiner, and the examiner’s determination may be reconsidered:

Jump to MPEP SourceReissue and PTAB ProceedingsReissue and ReexaminationAppeals in Reexamination
Topic

New Claims in Reexamination

1 rules
StatutoryRequiredAlways
[mpep-2242-22556f46800483425ae8e570]
Second Request for Reexamination Must Raise New Question of Patentability
Note:
A second request for reexamination can be granted if it raises a new substantial question of patentability not previously addressed in the ongoing proceeding.

Where a second or subsequent request for reexamination of a patent is made before the conclusion of an earlier filed reexamination proceeding pending (ongoing) for that patent, the second or subsequent request for reexamination may provide information raising a substantial new question of patentability with respect to any new or amended claim which has been proposed under 37 CFR 1.530(d) in the ongoing pending reexamination proceeding. However, in order for the second or subsequent request for reexamination to be granted, the second or subsequent requester must independently provide a substantial new question of patentability which is different from that raised in the pending reexamination for the claims in effect at the time of the determination. The decision on the second or subsequent request is based on the claims in effect at the time of the determination (37 CFR 1.515(a)). Thus, the second or subsequent request must be directed to the claims of the patent, as modified by any disclaimer, or by any reexamination certificate that has issued as of the time of the determination. If a “different” substantial new question of patentability is not provided by the second or subsequent request for the claims in effect at the time of the determination, the second or subsequent request for reexamination must be denied since the Office is only authorized by statute to grant a reexamination proceeding based on a substantial new question of patentability “affecting any claim of the patent.” See 35 U.S.C. 303. Accordingly, there must be at least one substantial new question of patentability established for the existing claims in the patent in order to grant reexamination.

Jump to MPEP Source · 37 CFR 1.530(d)New Claims in ReexaminationThird Party RequesterRequest Content Requirements
Topic

Request by Patent Owner

1 rules
StatutoryInformativeAlways
[mpep-2242-92ede8fa4250e5d0c9c07403]
Same Question of Patentability Not Raised by Prior Art in Reexamination
Note:
A 'substantial new question of patentability' is not raised if the same prior art was previously considered during an examination or review.

A “substantial new question of patentability” is not raised by prior art presented in a reexamination request if the Office has previously considered (in an earlier concluded examination or review of the patent) the same question of patentability as to a patent claim favorable to the patent owner based on the same prior art patents or printed publications. In re Recreative Technologies, 83 F.3d 1394, 38 USPQ2d 1776 (Fed. Cir. 1996).

Jump to MPEP SourceRequest by Patent OwnerRequest Content RequirementsSNQ Criteria
Topic

Third Party Requester

1 rules
StatutoryRecommendedAlways
[mpep-2242-e31ed9eeb154276679bf8396]
Check for Previously Considered Prior Art During Reexamination
Note:
Examiners must review the patent’s file history to identify any prior art that was previously cited or considered in earlier examinations.

In deciding whether to grant a request for reexamination of a patent, the examiner should check the patent’s file history to ascertain whether any of the prior art now advanced by requester was previously cited/considered in an earlier concluded examination or review of the patent or has been raised to or by the Office in a pending reexamination or supplemental examination of the patent. For the sake of expediency, such art is referred to as “old art” throughout, since the term “old art” was coined by the Federal Circuit in its decision of In re Hiniker, 150 F.3d 1362,1365-66, 47 USPQ2d 1523, 1526 (Fed. Cir. 1998).

Jump to MPEP SourceThird Party RequesterRequest Content RequirementsEx Parte Reexamination Request

Citations

Primary topicCitation
Ex Parte Reexamination Request
Request Content Requirements
35 U.S.C. § 103
New Claims in Reexamination
Reexamination Certificate
Request Content Requirements
35 U.S.C. § 303
Central Reexamination Unit Processing
Ex Parte Reexamination Request
Request Content Requirements
35 U.S.C. § 325(d)
New Claims in Reexamination
Reexamination Certificate
Request Content Requirements
37 CFR § 1.515(a)
New Claims in Reexamination
Reexamination Certificate
Request Content Requirements
37 CFR § 1.530(d)
Ex Parte Reexamination Request
Request Content Requirements
MPEP § 2216
SNQ CriteriaMPEP § 2242
Ex Parte Reexamination RequestMPEP § 2246
Ex Parte Reexamination RequestMPEP § 2248
MPEP § 2258.01
Request Content RequirementsForm Paragraph § 22.01.01
Ex Parte Reexamination Request
Request by Patent Owner
In re Recreative Technologies, 83 F.3d 1394, 38 USPQ2d 1776 (Fed. Cir. 1996)
SNQ CriteriaIn re Swanson et al., 540 F.3d 1368, 1378, 88 USPQ2d 1196, 1203 (Fed. Cir. 2008)
see Ethicon v. Quigg, 849 F.2d 1422, 7 USPQ2d 1152 (Fed. Cir. 1988)

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