MPEP § 2816 — Determination on the Request (Annotated Rules)

§2816 Determination on the Request

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

This page consolidates and annotates all enforceable requirements under MPEP § 2816, 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.

Determination on the Request

This section addresses Determination on the Request. Primary authority: 35 U.S.C. 257(c)(1), 35 U.S.C. 257(c)(2), and 37 CFR 1.620. Contains: 2 requirements, 4 permissions, and 11 other statements.

Key Rules

Topic

Supplemental Examination

9 rules
StatutoryInformativeAlways
[mpep-2816-956017ae2fa6f13c6c53bd24]
Determination Based on Current Claims
Note:
The determination will be made based on the claims in effect at the time of the determination, as specified by MPEP § 2816.01.

The determination of whether such an item of information raises a SNQ will generally be limited to a review of the item(s) of information identified in the request with respect to the identified claim(s) of the patent. For example, a determination on a request that includes three items of information, where each item is requested to be considered with regard to claim 1, will generally be limited to whether any of the three items of information raise a SNQ with respect to claim 1. If the patent owner wishes to request consideration of an item of information with respect to multiple claims of the patent, the request for supplemental examination must include an identification of each claim in view of which the item of information is to be considered, and the required detailed explanation with respect to each claim. For example, if the patent owner fails to request that the Office consider certain claims in view of an item of information, then the patent owner is not entitled to a determination for that item of information with respect to those claims. The determination will be based on the claims in effect at the time of the determination. See MPEP § 2816.01. The supplemental examination certificate, which contains the results of the determination of whether a SNQ was raised by one or more of the items of information submitted as part of the request, will become a part of the official record of the patent.

Jump to MPEP Source · 37 CFR 1.620Supplemental ExaminationReexamination CertificateSNQ Criteria
StatutoryPermittedAlways
[mpep-2816-fbc9f12bf538380db5ad1f52]
Consider Supplemental Examination for Pending Litigation
Note:
Patent owners should consider the effectiveness of supplemental examination on pending litigation when deciding whether and when to file such a request.

The patent owner may wish to consider the provisions of 35 U.S.C. 257(c)(1) and 35 U.S.C. 257(c)(2) on the effectiveness of any supplemental examination on already pending litigation when determining whether and when to file a request for supplemental examination. The Office takes no position on this issue.

Jump to MPEP Source · 37 CFR 1.620Supplemental Examination
StatutoryInformativeAlways
[mpep-2816-bb675ac9a9576c123efda111]
Office Takes No Position on Supplemental Examination in Pending Litigation
Note:
The Office does not take a stance on whether and when to file a request for supplemental examination during ongoing litigation.

The patent owner may wish to consider the provisions of 35 U.S.C. 257(c)(1) and 35 U.S.C. 257(c)(2) on the effectiveness of any supplemental examination on already pending litigation when determining whether and when to file a request for supplemental examination. The Office takes no position on this issue.

Jump to MPEP Source · 37 CFR 1.620Supplemental Examination
StatutoryRequiredAlways
[mpep-2816-e7e4faed986eab27297f5606]
Patent Owner Must Notify Office of Federal Court Decisions
Note:
The patent owner must promptly inform the Office about any federal court decisions involving their patent.

The patent owner must promptly notify the Office of any federal court decision involving the patent.

Jump to MPEP Source · 37 CFR 1.620Supplemental Examination
StatutoryInformativeAlways
[mpep-2816-a9f8384f0e9c99fa0f1f4e05]
Final Court Decision Has No Binding Effect on Supplemental Examination
Note:
A final federal court decision upholding patent claims does not bind the Office in a supplemental examination proceeding.

A non-final federal court decision concerning a patent under supplemental examination will have no binding effect on the Office’s determination whether a substantial new question of patentability has been raised in a supplemental examination proceeding. A non-final holding of claim invalidity or unenforceability (or, for that matter, a non-final holding of claim validity or enforceability) will not be controlling on the question of whether a substantial new question of patentability is present. A final federal court decision, i.e., after all appeals, which upholds the validity of one or more of the patent claims also has no binding effect on the supplemental examination proceeding. See, e.g., Ethicon v. Quigg, 849 F.2d 1422, 7 USPQ2d 1152 (Fed. Cir. 1988), in which the court states the Office is not bound by a court’s holding of patent validity. While the Office may accord deference to factual findings made by the court, the determination of whether a substantial new question of patentability exists will be made independently of the court’s decision on validity as it is not controlling on the Office. See, e.g., 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 MPEP § 2286 for further guidance.

Jump to MPEP Source · 37 CFR 1.620Supplemental ExaminationSNQ CriteriaSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2816-2293158cb4cc9e7dc36d393b]
Office Is Not Bound by Court’s Patent Validity Holding in Supplemental Examination
Note:
The Office must independently determine whether a substantial new question of patentability exists, regardless of a court's final decision on validity.

A non-final federal court decision concerning a patent under supplemental examination will have no binding effect on the Office’s determination whether a substantial new question of patentability has been raised in a supplemental examination proceeding. A non-final holding of claim invalidity or unenforceability (or, for that matter, a non-final holding of claim validity or enforceability) will not be controlling on the question of whether a substantial new question of patentability is present. A final federal court decision, i.e., after all appeals, which upholds the validity of one or more of the patent claims also has no binding effect on the supplemental examination proceeding. See, e.g., Ethicon v. Quigg, 849 F.2d 1422, 7 USPQ2d 1152 (Fed. Cir. 1988), in which the court states the Office is not bound by a court’s holding of patent validity. While the Office may accord deference to factual findings made by the court, the determination of whether a substantial new question of patentability exists will be made independently of the court’s decision on validity as it is not controlling on the Office. See, e.g., 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 MPEP § 2286 for further guidance.

Jump to MPEP Source · 37 CFR 1.620Supplemental ExaminationSNQ CriteriaSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2816-b078d4aed675c9a6e62054c3]
Office Not Bound by Non-Final Court Decisions on Patentability
Note:
The Office is not required to follow non-final federal court decisions regarding the validity or enforceability of patent claims in supplemental examination proceedings.

A non-final federal court decision concerning a patent under supplemental examination will have no binding effect on the Office’s determination whether a substantial new question of patentability has been raised in a supplemental examination proceeding. A non-final holding of claim invalidity or unenforceability (or, for that matter, a non-final holding of claim validity or enforceability) will not be controlling on the question of whether a substantial new question of patentability is present. A final federal court decision, i.e., after all appeals, which upholds the validity of one or more of the patent claims also has no binding effect on the supplemental examination proceeding. See, e.g., Ethicon v. Quigg, 849 F.2d 1422, 7 USPQ2d 1152 (Fed. Cir. 1988), in which the court states the Office is not bound by a court’s holding of patent validity. While the Office may accord deference to factual findings made by the court, the determination of whether a substantial new question of patentability exists will be made independently of the court’s decision on validity as it is not controlling on the Office. See, e.g., 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 MPEP § 2286 for further guidance.

Jump to MPEP Source · 37 CFR 1.620Supplemental ExaminationSNQ CriteriaSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2816-88901db2f547795c9dd39f37]
Final Invalidity Holding Bars Supplemental Exam
Note:
A final holding of claim invalidity by a federal court bars the Office from conducting supplemental examination on those claims.

A final holding of claim invalidity or unenforceability (after all appeals) is controlling on the Office. In such cases, a substantial new question of patentability would not be present as to the claims held invalid or unenforceable. This policy tracks the Office’s policy for ex parte reexamination. See, e.g., MPEP § 2286, citing Ethicon v. Quigg. The Office will not intentionally conduct supplemental examination of patent claims which have been finally held to be invalid or unenforceable by a federal court.

Jump to MPEP Source · 37 CFR 1.620Supplemental ExaminationSNQ CriteriaSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2816-7620706d1f5248d90cd586c4]
No Supplemental Exam If All Claims Invalid
Note:
If all claims requested for examination are finally held invalid or unenforceable, the Office will not conduct supplemental examination.

If it is brought to the Office’s attention that a federal court has issued a final holding of invalidity or unenforceability, any claims which are finally held invalid or unenforceable, and for which supplemental examination has been requested, will not be examined. If only some of the claims requested to be examined have been finally held invalid or unenforceable, the examiner will indicate, in the Reasons for Substantial New Question of Patentability Determination which accompanies the supplemental examination certificate (see MPEP § 2816.03, subsection II), which requested claims were not under supplemental examination due to the final holding of invalidity or unenforceability. If all of the claims requested to be examined have been finally held invalid or unenforceable, the Office will not conduct the supplemental examination. If a filing date has been granted, it will be vacated by the Office. If it is brought to the Office’s attention that, prior to the issuance of the supplemental examination certificate, a federal court has rendered a final decision, i.e., after all appeals, holding that all of the patent claims under supplemental examination are invalid or unenforceable, and if a supplemental examination certificate has inadvertently issued, the supplemental examination certificate will be vacated.

Jump to MPEP Source · 37 CFR 1.620Supplemental ExaminationReexamination CertificateSNQ Criteria
Topic

SNQ Criteria

6 rules
StatutoryInformativeAlways
[mpep-2816-f6a519df21a4b68855bdbc25]
Review Limited to Identified Claims and Information
Note:
The review of whether an item raises a substantial new question is limited to the claims and information specified in the request.

The determination of whether such an item of information raises a SNQ will generally be limited to a review of the item(s) of information identified in the request with respect to the identified claim(s) of the patent. For example, a determination on a request that includes three items of information, where each item is requested to be considered with regard to claim 1, will generally be limited to whether any of the three items of information raise a SNQ with respect to claim 1. If the patent owner wishes to request consideration of an item of information with respect to multiple claims of the patent, the request for supplemental examination must include an identification of each claim in view of which the item of information is to be considered, and the required detailed explanation with respect to each claim. For example, if the patent owner fails to request that the Office consider certain claims in view of an item of information, then the patent owner is not entitled to a determination for that item of information with respect to those claims. The determination will be based on the claims in effect at the time of the determination. See MPEP § 2816.01. The supplemental examination certificate, which contains the results of the determination of whether a SNQ was raised by one or more of the items of information submitted as part of the request, will become a part of the official record of the patent.

Jump to MPEP Source · 37 CFR 1.620SNQ CriteriaRequest Content RequirementsSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2816-07b77ebba05198261ca60f97]
Non-Final Court Decision Has No Binding Effect on SNQ Determination
Note:
A non-final federal court decision will not influence the Office's assessment of whether a substantial new question of patentability exists during a supplemental examination.

A non-final federal court decision concerning a patent under supplemental examination will have no binding effect on the Office’s determination whether a substantial new question of patentability has been raised in a supplemental examination proceeding. A non-final holding of claim invalidity or unenforceability (or, for that matter, a non-final holding of claim validity or enforceability) will not be controlling on the question of whether a substantial new question of patentability is present. A final federal court decision, i.e., after all appeals, which upholds the validity of one or more of the patent claims also has no binding effect on the supplemental examination proceeding. See, e.g., Ethicon v. Quigg, 849 F.2d 1422, 7 USPQ2d 1152 (Fed. Cir. 1988), in which the court states the Office is not bound by a court’s holding of patent validity. While the Office may accord deference to factual findings made by the court, the determination of whether a substantial new question of patentability exists will be made independently of the court’s decision on validity as it is not controlling on the Office. See, e.g., 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 MPEP § 2286 for further guidance.

Jump to MPEP Source · 37 CFR 1.620SNQ CriteriaSubstantial New Question of PatentabilityEx Parte Reexamination
StatutoryInformativeAlways
[mpep-2816-053b0a00d0da8a36c1360878]
Substantial New Question Not Controlled by Non-Final Court Decision
Note:
A non-final court decision on patent validity does not determine whether a substantial new question of patentability exists in supplemental examination.

A non-final federal court decision concerning a patent under supplemental examination will have no binding effect on the Office’s determination whether a substantial new question of patentability has been raised in a supplemental examination proceeding. A non-final holding of claim invalidity or unenforceability (or, for that matter, a non-final holding of claim validity or enforceability) will not be controlling on the question of whether a substantial new question of patentability is present. A final federal court decision, i.e., after all appeals, which upholds the validity of one or more of the patent claims also has no binding effect on the supplemental examination proceeding. See, e.g., Ethicon v. Quigg, 849 F.2d 1422, 7 USPQ2d 1152 (Fed. Cir. 1988), in which the court states the Office is not bound by a court’s holding of patent validity. While the Office may accord deference to factual findings made by the court, the determination of whether a substantial new question of patentability exists will be made independently of the court’s decision on validity as it is not controlling on the Office. See, e.g., 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 MPEP § 2286 for further guidance.

Jump to MPEP Source · 37 CFR 1.620SNQ CriteriaSubstantial New Question of PatentabilityEffect of Supplemental Examination
StatutoryPermittedAlways
[mpep-2816-7912e6d857d00bee5f902368]
Office Independently Determines Substantial New Question of Patentability
Note:
The Office will independently determine whether a substantial new question of patentability exists,不受法院决定的影响。

A non-final federal court decision concerning a patent under supplemental examination will have no binding effect on the Office’s determination whether a substantial new question of patentability has been raised in a supplemental examination proceeding. A non-final holding of claim invalidity or unenforceability (or, for that matter, a non-final holding of claim validity or enforceability) will not be controlling on the question of whether a substantial new question of patentability is present. A final federal court decision, i.e., after all appeals, which upholds the validity of one or more of the patent claims also has no binding effect on the supplemental examination proceeding. See, e.g., Ethicon v. Quigg, 849 F.2d 1422, 7 USPQ2d 1152 (Fed. Cir. 1988), in which the court states the Office is not bound by a court’s holding of patent validity. While the Office may accord deference to factual findings made by the court, the determination of whether a substantial new question of patentability exists will be made independently of the court’s decision on validity as it is not controlling on the Office. See, e.g., 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 MPEP § 2286 for further guidance.

Jump to MPEP Source · 37 CFR 1.620SNQ CriteriaSubstantial New Question of PatentabilityEx Parte Reexamination
StatutoryInformativeAlways
[mpep-2816-12b7ffe80f24237940fcc807]
No New Patentability Question After Invalidity
Note:
A substantial new question of patentability does not arise for claims found invalid by a court.

A final holding of claim invalidity or unenforceability (after all appeals) is controlling on the Office. In such cases, a substantial new question of patentability would not be present as to the claims held invalid or unenforceable. This policy tracks the Office’s policy for ex parte reexamination. See, e.g., MPEP § 2286, citing Ethicon v. Quigg. The Office will not intentionally conduct supplemental examination of patent claims which have been finally held to be invalid or unenforceable by a federal court.

Jump to MPEP Source · 37 CFR 1.620SNQ CriteriaSubstantial New Question of PatentabilityEx Parte Reexamination
StatutoryInformativeAlways
[mpep-2816-1f2bf3a20a36ad1382d091db]
Reexamination Terminated If All Claims Invalid or Unenforceable
Note:
If all claims in a reexamination proceeding are found invalid or unenforceable, the reexamination will be terminated as no longer containing a substantial new question of patentability.

If a final federal court holding of invalidity or unenforceability is rendered after the date of electronic issuance of the supplemental examination certificate in the Office’s electronic Image File Wrapper system (IFW) and in Patent Center (see MPEP § 2817.01), the supplemental examination certificate will not be vacated. If reexamination has been ordered as a result of the supplemental examination proceeding, and if a final holding of invalidity or unenforceability is brought to the Office’s attention, claims which are held invalid or unenforceable will be withdrawn from consideration in the reexamination. If all of the claims being examined in the reexamination proceeding are finally held invalid or unenforceable, the reexamination will be terminated by the CRU or TC Director as no longer containing a substantial new question of patentability. See MPEP § 2286, subsection IV for further guidance.

Jump to MPEP Source · 37 CFR 1.620SNQ CriteriaCentral Reexamination Unit ProcessingSubstantial New Question of Patentability
Topic

Reexamination Order

5 rules
StatutoryInformativeAlways
[mpep-2816-42a56f530e8adc5a733fa12e]
Determination Without Federal Court Decision
Note:
The examiner must make a determination on the request based on existing record without waiting for federal court decision, and reexamination will continue until court decision is issued.

In view of the statutory mandate to make the determination on the request within three months, the determination on the request based on the record before the examiner will be made without awaiting a decision by the federal court. It is not realistic to attempt to determine what issues will be treated, or what issues will be finally decided, by the federal court prior to the court decision. Accordingly, the determination on the request will be made without considering the issues allegedly before the court. If an ex parte reexamination is ordered under 35 U.S.C. 257, the reexamination will continue until the Office becomes aware that a court decision has issued. At such time, the reexamination proceeding ordered under 35 U.S.C. 257 will be reviewed in accordance with the guidelines set forth in MPEP § 2286.

Jump to MPEP Source · 37 CFR 1.620Reexamination OrderEx Parte ReexaminationSupplemental Examination
StatutoryInformativeAlways
[mpep-2816-5878b234049715d22139bb3f]
Determination Without Considering Alleged Court Issues
Note:
The determination on the request will be made based on the record before the examiner without considering any issues allegedly before the court until a federal court decision is issued.

In view of the statutory mandate to make the determination on the request within three months, the determination on the request based on the record before the examiner will be made without awaiting a decision by the federal court. It is not realistic to attempt to determine what issues will be treated, or what issues will be finally decided, by the federal court prior to the court decision. Accordingly, the determination on the request will be made without considering the issues allegedly before the court. If an ex parte reexamination is ordered under 35 U.S.C. 257, the reexamination will continue until the Office becomes aware that a court decision has issued. At such time, the reexamination proceeding ordered under 35 U.S.C. 257 will be reviewed in accordance with the guidelines set forth in MPEP § 2286.

Jump to MPEP Source · 37 CFR 1.620Reexamination OrderEx Parte ReexaminationSupplemental Examination
StatutoryInformativeAlways
[mpep-2816-3e4351330ad1cb1ce56d8b7c]
Ex Parte Reexamination Continues Until Court Decision Issued
Note:
The reexamination will continue until the Office becomes aware of a court decision, at which point it will be reviewed according to MPEP § 2286 guidelines.

In view of the statutory mandate to make the determination on the request within three months, the determination on the request based on the record before the examiner will be made without awaiting a decision by the federal court. It is not realistic to attempt to determine what issues will be treated, or what issues will be finally decided, by the federal court prior to the court decision. Accordingly, the determination on the request will be made without considering the issues allegedly before the court. If an ex parte reexamination is ordered under 35 U.S.C. 257, the reexamination will continue until the Office becomes aware that a court decision has issued. At such time, the reexamination proceeding ordered under 35 U.S.C. 257 will be reviewed in accordance with the guidelines set forth in MPEP § 2286.

Jump to MPEP Source · 37 CFR 1.620Reexamination OrderEx Parte ReexaminationSupplemental Examination
StatutoryInformativeAlways
[mpep-2816-915dcfa2d84785e0e7967835]
Ex Parte Reexamination Review According to MPEP §2286
Note:
At the time a court decision is issued, an ex parte reexamination proceeding ordered under 35 U.S.C. 257 will be reviewed in accordance with MPEP §2286 guidelines.

In view of the statutory mandate to make the determination on the request within three months, the determination on the request based on the record before the examiner will be made without awaiting a decision by the federal court. It is not realistic to attempt to determine what issues will be treated, or what issues will be finally decided, by the federal court prior to the court decision. Accordingly, the determination on the request will be made without considering the issues allegedly before the court. If an ex parte reexamination is ordered under 35 U.S.C. 257, the reexamination will continue until the Office becomes aware that a court decision has issued. At such time, the reexamination proceeding ordered under 35 U.S.C. 257 will be reviewed in accordance with the guidelines set forth in MPEP § 2286.

Jump to MPEP Source · 37 CFR 1.620Reexamination OrderEx Parte ReexaminationSupplemental Examination
StatutoryInformativeAlways
[mpep-2816-e1a35bb553d1e46cc464cf76]
Invalid or Unenforceable Claims Withdrawn in Reexamination
Note:
If claims are found invalid or unenforceable, they will be removed from reexamination consideration.

If a final federal court holding of invalidity or unenforceability is rendered after the date of electronic issuance of the supplemental examination certificate in the Office’s electronic Image File Wrapper system (IFW) and in Patent Center (see MPEP § 2817.01), the supplemental examination certificate will not be vacated. If reexamination has been ordered as a result of the supplemental examination proceeding, and if a final holding of invalidity or unenforceability is brought to the Office’s attention, claims which are held invalid or unenforceable will be withdrawn from consideration in the reexamination. If all of the claims being examined in the reexamination proceeding are finally held invalid or unenforceable, the reexamination will be terminated by the CRU or TC Director as no longer containing a substantial new question of patentability. See MPEP § 2286, subsection IV for further guidance.

Jump to MPEP Source · 37 CFR 1.620Reexamination OrderEffect of Supplemental ExaminationSupplemental Examination
Topic

Reexamination Certificate

4 rules
StatutoryInformativeAlways
[mpep-2816-ff5eb33e287a93df944373fd]
Supplemental Examination Certificate Becomes Official Record
Note:
The certificate containing the results of determining whether a Substantial New Question was raised by submitted information becomes part of the patent's official record.

The determination of whether such an item of information raises a SNQ will generally be limited to a review of the item(s) of information identified in the request with respect to the identified claim(s) of the patent. For example, a determination on a request that includes three items of information, where each item is requested to be considered with regard to claim 1, will generally be limited to whether any of the three items of information raise a SNQ with respect to claim 1. If the patent owner wishes to request consideration of an item of information with respect to multiple claims of the patent, the request for supplemental examination must include an identification of each claim in view of which the item of information is to be considered, and the required detailed explanation with respect to each claim. For example, if the patent owner fails to request that the Office consider certain claims in view of an item of information, then the patent owner is not entitled to a determination for that item of information with respect to those claims. The determination will be based on the claims in effect at the time of the determination. See MPEP § 2816.01. The supplemental examination certificate, which contains the results of the determination of whether a SNQ was raised by one or more of the items of information submitted as part of the request, will become a part of the official record of the patent.

Jump to MPEP Source · 37 CFR 1.620Reexamination CertificateConclusion of Ex Parte ReexaminationSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2816-eb500c9038c8a874a70cf951]
Claims Not Under Supplemental Examination Due to Invalidity
Note:
If some claims are finally held invalid, they will not be examined during supplemental examination.

If it is brought to the Office’s attention that a federal court has issued a final holding of invalidity or unenforceability, any claims which are finally held invalid or unenforceable, and for which supplemental examination has been requested, will not be examined. If only some of the claims requested to be examined have been finally held invalid or unenforceable, the examiner will indicate, in the Reasons for Substantial New Question of Patentability Determination which accompanies the supplemental examination certificate (see MPEP § 2816.03, subsection II), which requested claims were not under supplemental examination due to the final holding of invalidity or unenforceability. If all of the claims requested to be examined have been finally held invalid or unenforceable, the Office will not conduct the supplemental examination. If a filing date has been granted, it will be vacated by the Office. If it is brought to the Office’s attention that, prior to the issuance of the supplemental examination certificate, a federal court has rendered a final decision, i.e., after all appeals, holding that all of the patent claims under supplemental examination are invalid or unenforceable, and if a supplemental examination certificate has inadvertently issued, the supplemental examination certificate will be vacated.

Jump to MPEP Source · 37 CFR 1.620Reexamination CertificateSNQ CriteriaConclusion of Ex Parte Reexamination
StatutoryInformativeAlways
[mpep-2816-e6da88da507c0dc77b422f99]
Supplemental Exam Cert Must Be Vacated If Claims Invalidated
Note:
If a federal court invalidates all claims under supplemental examination, the Office will vacate any issued supplemental examination certificate.

If it is brought to the Office’s attention that a federal court has issued a final holding of invalidity or unenforceability, any claims which are finally held invalid or unenforceable, and for which supplemental examination has been requested, will not be examined. If only some of the claims requested to be examined have been finally held invalid or unenforceable, the examiner will indicate, in the Reasons for Substantial New Question of Patentability Determination which accompanies the supplemental examination certificate (see MPEP § 2816.03, subsection II), which requested claims were not under supplemental examination due to the final holding of invalidity or unenforceability. If all of the claims requested to be examined have been finally held invalid or unenforceable, the Office will not conduct the supplemental examination. If a filing date has been granted, it will be vacated by the Office. If it is brought to the Office’s attention that, prior to the issuance of the supplemental examination certificate, a federal court has rendered a final decision, i.e., after all appeals, holding that all of the patent claims under supplemental examination are invalid or unenforceable, and if a supplemental examination certificate has inadvertently issued, the supplemental examination certificate will be vacated.

Jump to MPEP Source · 37 CFR 1.620Reexamination CertificateConclusion of Ex Parte ReexaminationSupplemental Examination Certificate
StatutoryInformativeAlways
[mpep-2816-9672a20ac04925622190e51c]
Supplemental Examination Certificate Not Vacated After Invalidity Ruling
Note:
If a federal court invalidates or finds unenforceable the patent after the supplemental examination certificate is issued, it will not be vacated. Claims held invalid or unenforceable are withdrawn from reexamination if all claims are found invalid.

If a final federal court holding of invalidity or unenforceability is rendered after the date of electronic issuance of the supplemental examination certificate in the Office’s electronic Image File Wrapper system (IFW) and in Patent Center (see MPEP § 2817.01), the supplemental examination certificate will not be vacated. If reexamination has been ordered as a result of the supplemental examination proceeding, and if a final holding of invalidity or unenforceability is brought to the Office’s attention, claims which are held invalid or unenforceable will be withdrawn from consideration in the reexamination. If all of the claims being examined in the reexamination proceeding are finally held invalid or unenforceable, the reexamination will be terminated by the CRU or TC Director as no longer containing a substantial new question of patentability. See MPEP § 2286, subsection IV for further guidance.

Jump to MPEP Source · 37 CFR 1.620Reexamination CertificateConclusion of Ex Parte ReexaminationSupplemental Examination Certificate
Topic

Request Content Requirements

3 rules
StatutoryInformativeAlways
[mpep-2816-33d0f1f048850d8cae8d21d5]
Request for Consideration of Item with Respect to Claim
Note:
A request must identify each claim in view of which an item of information is considered, and the Office will determine if it raises a substantial new question of patentability only for the claims specified.

The determination of whether such an item of information raises a SNQ will generally be limited to a review of the item(s) of information identified in the request with respect to the identified claim(s) of the patent. For example, a determination on a request that includes three items of information, where each item is requested to be considered with regard to claim 1, will generally be limited to whether any of the three items of information raise a SNQ with respect to claim 1. If the patent owner wishes to request consideration of an item of information with respect to multiple claims of the patent, the request for supplemental examination must include an identification of each claim in view of which the item of information is to be considered, and the required detailed explanation with respect to each claim. For example, if the patent owner fails to request that the Office consider certain claims in view of an item of information, then the patent owner is not entitled to a determination for that item of information with respect to those claims. The determination will be based on the claims in effect at the time of the determination. See MPEP § 2816.01. The supplemental examination certificate, which contains the results of the determination of whether a SNQ was raised by one or more of the items of information submitted as part of the request, will become a part of the official record of the patent.

Jump to MPEP Source · 37 CFR 1.620Request Content RequirementsSubstantial New Question of PatentabilitySupplemental Examination Request
StatutoryRequiredAlways
[mpep-2816-3c062adfea33e7ef62ab66d1]
Identification of Claims for Multiple Requests During Supplemental Examination
Note:
The patent owner must specify each claim to be considered with an item of information and provide a detailed explanation for supplemental examination when requesting consideration of multiple claims.

The determination of whether such an item of information raises a SNQ will generally be limited to a review of the item(s) of information identified in the request with respect to the identified claim(s) of the patent. For example, a determination on a request that includes three items of information, where each item is requested to be considered with regard to claim 1, will generally be limited to whether any of the three items of information raise a SNQ with respect to claim 1. If the patent owner wishes to request consideration of an item of information with respect to multiple claims of the patent, the request for supplemental examination must include an identification of each claim in view of which the item of information is to be considered, and the required detailed explanation with respect to each claim. For example, if the patent owner fails to request that the Office consider certain claims in view of an item of information, then the patent owner is not entitled to a determination for that item of information with respect to those claims. The determination will be based on the claims in effect at the time of the determination. See MPEP § 2816.01. The supplemental examination certificate, which contains the results of the determination of whether a SNQ was raised by one or more of the items of information submitted as part of the request, will become a part of the official record of the patent.

Jump to MPEP Source · 37 CFR 1.620Request Content RequirementsSupplemental ExaminationReexamination Certificate
StatutoryInformativeAlways
[mpep-2816-9e0b06bd27e5f772ed230e19]
Claims Must Be Identified for Information Consideration
Note:
The patent owner must identify specific claims to be considered with respect to an item of information; otherwise, no determination will be made on those claims.

The determination of whether such an item of information raises a SNQ will generally be limited to a review of the item(s) of information identified in the request with respect to the identified claim(s) of the patent. For example, a determination on a request that includes three items of information, where each item is requested to be considered with regard to claim 1, will generally be limited to whether any of the three items of information raise a SNQ with respect to claim 1. If the patent owner wishes to request consideration of an item of information with respect to multiple claims of the patent, the request for supplemental examination must include an identification of each claim in view of which the item of information is to be considered, and the required detailed explanation with respect to each claim. For example, if the patent owner fails to request that the Office consider certain claims in view of an item of information, then the patent owner is not entitled to a determination for that item of information with respect to those claims. The determination will be based on the claims in effect at the time of the determination. See MPEP § 2816.01. The supplemental examination certificate, which contains the results of the determination of whether a SNQ was raised by one or more of the items of information submitted as part of the request, will become a part of the official record of the patent.

Jump to MPEP Source · 37 CFR 1.620Request Content RequirementsSupplemental ExaminationReexamination Certificate
Topic

Central Reexamination Unit Processing

3 rules
StatutoryPermittedAlways
[mpep-2816-ca7af5805f4f7e9a7ebd6714]
Patent Litigation Search Before Supplemental Examination
Note:
A litigation search must be conducted by TSS of CRU or STIC before determining a request for supplemental examination to check if the patent is involved in any litigation.

Before making a determination on the request for supplemental examination, a litigation search from the Technical Support Staff (TSS) of the Central Reexamination Unit (CRU) or the Scientific and Technical Information Center (STIC) may be done to check to see if the patent has been, or is, involved in litigation. A copy of the litigation search is scanned into the IFW file history. In the rare instance where the record of the supplemental examination proceeding or the litigation search indicates that additional information is desirable, guidance for making an additional litigation search may be obtained from the library of the Office of the Solicitor.

Jump to MPEP Source · 37 CFR 1.620Central Reexamination Unit ProcessingEx Parte ReexaminationSupplemental Examination
StatutoryInformativeAlways
[mpep-2816-3650970312bc8d7058c17e63]
Litigation Search Must Be Scanned into IFW File History
Note:
Before determining a request for supplemental examination, a litigation search must be scanned into the IFW file history if it involves or may involve patent litigation.

Before making a determination on the request for supplemental examination, a litigation search from the Technical Support Staff (TSS) of the Central Reexamination Unit (CRU) or the Scientific and Technical Information Center (STIC) may be done to check to see if the patent has been, or is, involved in litigation. A copy of the litigation search is scanned into the IFW file history. In the rare instance where the record of the supplemental examination proceeding or the litigation search indicates that additional information is desirable, guidance for making an additional litigation search may be obtained from the library of the Office of the Solicitor.

Jump to MPEP Source · 37 CFR 1.620Central Reexamination Unit ProcessingEx Parte ReexaminationSupplemental Examination
StatutoryPermittedAlways
[mpep-2816-e1569d952d631f374e1f0819]
Guidance for Additional Litigation Search from Solicitor's Office Library
Note:
When the supplemental examination proceeding or litigation search indicates a need, guidance for conducting an additional search can be obtained from the library of the Office of the Solicitor.

Before making a determination on the request for supplemental examination, a litigation search from the Technical Support Staff (TSS) of the Central Reexamination Unit (CRU) or the Scientific and Technical Information Center (STIC) may be done to check to see if the patent has been, or is, involved in litigation. A copy of the litigation search is scanned into the IFW file history. In the rare instance where the record of the supplemental examination proceeding or the litigation search indicates that additional information is desirable, guidance for making an additional litigation search may be obtained from the library of the Office of the Solicitor.

Jump to MPEP Source · 37 CFR 1.620Central Reexamination Unit ProcessingEx Parte ReexaminationSupplemental Examination
Topic

Request Content Requirements

2 rules
StatutoryInformativeAlways
[mpep-2816-214af53d08ed276228a144be]
Requirement for Determining SNQ After Request Filing
Note:
Within three months of filing a request for supplemental examination, the Office must determine if any submitted information raises a substantial new question of patentability affecting claims.

35 U.S.C. 257(a) and 37 CFR 1.620(b) require that, within three months following the filing date of a request for supplemental examination, the Office will determine whether a SNQ affecting any claim of the patent is raised by any of the items of information properly presented in the request. The standard for determining whether an item of information properly submitted as part of the request raises a SNQ will be the same as the standard set forth in the MPEP § 2242 for ex parte reexaminations filed under 35 U.S.C. 302: i.e., whether there is a substantial likelihood that a reasonable examiner would consider the item of information important in determining patentability. See MPEP §§ 2816.02 and 2242.

Jump to MPEP Source · 37 CFR 1.620(b)Request Content RequirementsSNQ Criteria
StatutoryInformativeAlways
[mpep-2816-574b3b575544ebfdfa0e65a6]
Standard for Raising SNQ in Supplemental Examination
Note:
The standard for determining whether an item of information properly submitted as part of the request raises a Substantial New Question (SNQ) is the same as that set forth in MPEP § 2242 for ex parte reexaminations.

35 U.S.C. 257(a) and 37 CFR 1.620(b) require that, within three months following the filing date of a request for supplemental examination, the Office will determine whether a SNQ affecting any claim of the patent is raised by any of the items of information properly presented in the request. The standard for determining whether an item of information properly submitted as part of the request raises a SNQ will be the same as the standard set forth in the MPEP § 2242 for ex parte reexaminations filed under 35 U.S.C. 302: i.e., whether there is a substantial likelihood that a reasonable examiner would consider the item of information important in determining patentability. See MPEP §§ 2816.02 and 2242.

Jump to MPEP Source · 37 CFR 1.620(b)Request Content RequirementsSNQ Criteria
Topic

Effect of Supplemental Examination

2 rules
StatutoryInformativeAlways
[mpep-2816-41b3cf751d37eee3efc88493]
Final Invalidity Holding Controls Office Actions
Note:
A final court determination of claim invalidity or unenforceability prevents further examination by the Office on those claims.

A final holding of claim invalidity or unenforceability (after all appeals) is controlling on the Office. In such cases, a substantial new question of patentability would not be present as to the claims held invalid or unenforceable. This policy tracks the Office’s policy for ex parte reexamination. See, e.g., MPEP § 2286, citing Ethicon v. Quigg. The Office will not intentionally conduct supplemental examination of patent claims which have been finally held to be invalid or unenforceable by a federal court.

Jump to MPEP Source · 37 CFR 1.620Effect of Supplemental ExaminationSupplemental ExaminationSNQ Criteria
StatutoryInformativeAlways
[mpep-2816-c65518889adf91aca3b37272]
Supplemental Examination Not Conducted for Invalid Claims
Note:
If a federal court holds claims invalid or unenforceable, supplemental examination will not be conducted for those claims.

If it is brought to the Office’s attention that a federal court has issued a final holding of invalidity or unenforceability, any claims which are finally held invalid or unenforceable, and for which supplemental examination has been requested, will not be examined. If only some of the claims requested to be examined have been finally held invalid or unenforceable, the examiner will indicate, in the Reasons for Substantial New Question of Patentability Determination which accompanies the supplemental examination certificate (see MPEP § 2816.03, subsection II), which requested claims were not under supplemental examination due to the final holding of invalidity or unenforceability. If all of the claims requested to be examined have been finally held invalid or unenforceable, the Office will not conduct the supplemental examination. If a filing date has been granted, it will be vacated by the Office. If it is brought to the Office’s attention that, prior to the issuance of the supplemental examination certificate, a federal court has rendered a final decision, i.e., after all appeals, holding that all of the patent claims under supplemental examination are invalid or unenforceable, and if a supplemental examination certificate has inadvertently issued, the supplemental examination certificate will be vacated.

Jump to MPEP Source · 37 CFR 1.620Effect of Supplemental ExaminationSupplemental ExaminationReexamination Certificate
Topic

Quality Assurance Specialist Review

1 rules
StatutoryRequiredAlways
[mpep-2816-932fa1c4eda4bf6393063d61]
Quality Assurance Specialist Review Is Needed During Litigation
Note:
Examiners must notify QAS if litigation is ongoing or concluded on a patent during supplemental examination to ensure compliance with Office policy.

If litigation has concluded or is taking place in the patent on which a request for supplemental examination has been filed, or if the examiner discovers, at any time during the supplemental examination proceeding, that there is litigation or that there has been a federal court decision on the patent, the request must be promptly brought to the attention of the Central Reexamination Unit (CRU) Supervisory Patent Reexamination Specialist (SPRS) or Technology Center (TC) Quality Assurance Specialist (QAS), who should review the decision on the request and any examiner’s action to ensure that it conforms to current Office policy and guidelines set forth below.

Jump to MPEP Source · 37 CFR 1.620Quality Assurance Specialist ReviewCentral Reexamination Unit ProcessingAllowance Quality Review
Topic

Ex Parte Reexamination

1 rules
StatutoryInformativeAlways
[mpep-2816-d0a1fd2853570105cf522ac9]
Office Policy on Ex Parte Reexamination After Invalidity Determination
Note:
The Office will not conduct supplemental examination of patent claims finally held invalid by a court for ex parte reexamination.

A final holding of claim invalidity or unenforceability (after all appeals) is controlling on the Office. In such cases, a substantial new question of patentability would not be present as to the claims held invalid or unenforceable. This policy tracks the Office’s policy for ex parte reexamination. See, e.g., MPEP § 2286, citing Ethicon v. Quigg. The Office will not intentionally conduct supplemental examination of patent claims which have been finally held to be invalid or unenforceable by a federal court.

Jump to MPEP Source · 37 CFR 1.620Ex Parte ReexaminationSupplemental ExaminationSNQ Criteria
Topic

Statutory Authority for Examination

1 rules
StatutoryInformativeAlways
[mpep-2816-5acb93e70cb895fe5ba625e6]
Office Will Not Reexamine Invalid Claims
Note:
The Office will not conduct supplemental examination on claims that have been finally held invalid by a federal court.

A final holding of claim invalidity or unenforceability (after all appeals) is controlling on the Office. In such cases, a substantial new question of patentability would not be present as to the claims held invalid or unenforceable. This policy tracks the Office’s policy for ex parte reexamination. See, e.g., MPEP § 2286, citing Ethicon v. Quigg. The Office will not intentionally conduct supplemental examination of patent claims which have been finally held to be invalid or unenforceable by a federal court.

Jump to MPEP Source · 37 CFR 1.620Statutory Authority for ExaminationExamination ProceduresSupplemental Examination

Citations

Primary topicCitation
Reexamination Order35 U.S.C. § 257
Request Content Requirements35 U.S.C. § 257(a)
Supplemental Examination35 U.S.C. § 257(c)(1)
Supplemental Examination35 U.S.C. § 257(c)(2)
Request Content Requirements35 U.S.C. § 302
Request Content Requirements37 CFR § 1.620(b)
Request Content Requirements
SNQ Criteria
Supplemental Examination
MPEP § 2242
Effect of Supplemental Examination
Ex Parte Reexamination
Reexamination Certificate
Reexamination Order
SNQ Criteria
Statutory Authority for Examination
Supplemental Examination
MPEP § 2286
Reexamination Certificate
Request Content Requirements
SNQ Criteria
Supplemental Examination
MPEP § 2816.01
Request Content RequirementsMPEP § 2816.02
Effect of Supplemental Examination
Reexamination Certificate
Supplemental Examination
MPEP § 2816.03
Reexamination Certificate
Reexamination Order
SNQ Criteria
MPEP § 2817.01
SNQ Criteria
Supplemental Examination
Ethicon v. Quigg, 849 F.2d 1422, 7 USPQ2d 1152 (Fed. Cir. 1988)
SNQ Criteria
Supplemental Examination
In re Swanson et al., 540 F.3d 1368, 1378, 88 USPQ2d 1196, 1203 (Fed. Cir. 2008)

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