MPEP § 2816.01 — Claims Considered in Making the Determination (Annotated Rules)

§2816.01 Claims Considered in Making the Determination

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

This page consolidates and annotates all enforceable requirements under MPEP § 2816.01, 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.

Claims Considered in Making the Determination

This section addresses Claims Considered in Making the Determination. Primary authority: 35 U.S.C. 257, 35 U.S.C. 303(a), and 37 CFR 1.610(b)(5). Contains: 4 requirements, 1 guidance statement, 2 permissions, and 6 other statements.

Key Rules

Topic

Request Content Requirements

7 rules
StatutoryRequiredAlways
[mpep-2816-01-0ab39c00807f0e2a5d0cb2c2]
Requirement for Detailed Explanation of Information Application
Note:
The request must provide a separate, detailed explanation of how each item of information is relevant and applied to each patent claim for supplemental examination.

37 CFR 1.610(b)(5) requires that the request must include "[a] separate, detailed explanation of the relevance and manner of applying each item of information to each claim of the patent for which supplemental examination is requested." If the patent owner fails to explain how any of the items of information may be applied to a patent claim, then the patent owner is not entitled to supplemental examination of that claim. If the patent owner does not provide an explanation of how an item of information may be applied to every claim requested to be examined in view of that item, the patent owner is not entitled to a determination on claims for which the required explanation was not provided. For example, if the patent owner requests supplemental examination of claims 1-10 in view of the Fisher article, but only provides a separate, detailed explanation of the manner of applying the Fisher article to claims 1-5, then the patent owner is not entitled to a determination on claims 6-10, for which the required explanation was not provided. In such instances, a notice of noncompliant supplemental examination request should be mailed by the Office. See MPEP § 2812.02.

Jump to MPEP Source · 37 CFR 1.610(b)(5)Request Content RequirementsStatutory Authority for ExaminationSupplemental Examination
StatutoryPermittedAlways
[mpep-2816-01-4fb5468be2a71e04482b192f]
Explanation Required for Supplemental Examination
Note:
Patent owner must explain how each item of information applies to every claim; failure to do so disqualifies the request.

37 CFR 1.610(b)(5) requires that the request must include "[a] separate, detailed explanation of the relevance and manner of applying each item of information to each claim of the patent for which supplemental examination is requested." If the patent owner fails to explain how any of the items of information may be applied to a patent claim, then the patent owner is not entitled to supplemental examination of that claim. If the patent owner does not provide an explanation of how an item of information may be applied to every claim requested to be examined in view of that item, the patent owner is not entitled to a determination on claims for which the required explanation was not provided. For example, if the patent owner requests supplemental examination of claims 1-10 in view of the Fisher article, but only provides a separate, detailed explanation of the manner of applying the Fisher article to claims 1-5, then the patent owner is not entitled to a determination on claims 6-10, for which the required explanation was not provided. In such instances, a notice of noncompliant supplemental examination request should be mailed by the Office. See MPEP § 2812.02.

Jump to MPEP Source · 37 CFR 1.610(b)(5)Request Content RequirementsStatutory Authority for ExaminationSupplemental Examination Request
StatutoryRequiredAlways
[mpep-2816-01-3780ae8ebd56210ec89e0421]
Requirement for Detailed Examination Explanation
Note:
Patent owner must provide a detailed explanation of how each item of information applies to every claim requested for examination. Failure to do so results in no determination on claims lacking such an explanation.

37 CFR 1.610(b)(5) requires that the request must include "[a] separate, detailed explanation of the relevance and manner of applying each item of information to each claim of the patent for which supplemental examination is requested." If the patent owner fails to explain how any of the items of information may be applied to a patent claim, then the patent owner is not entitled to supplemental examination of that claim. If the patent owner does not provide an explanation of how an item of information may be applied to every claim requested to be examined in view of that item, the patent owner is not entitled to a determination on claims for which the required explanation was not provided. For example, if the patent owner requests supplemental examination of claims 1-10 in view of the Fisher article, but only provides a separate, detailed explanation of the manner of applying the Fisher article to claims 1-5, then the patent owner is not entitled to a determination on claims 6-10, for which the required explanation was not provided. In such instances, a notice of noncompliant supplemental examination request should be mailed by the Office. See MPEP § 2812.02.

Jump to MPEP Source · 37 CFR 1.610(b)(5)Request Content RequirementsStatutory Authority for ExaminationSupplemental Examination Request
StatutoryInformativeAlways
[mpep-2816-01-7732ff8b4f330b25ddd4b87e]
Supplemental Examination Request Must Raise SNQ
Note:
The examiner must order reexamination under 35 U.S.C. 257 if a significant new question affecting at least one patent claim is raised by the submitted information.

If the examiner determines that a SNQ affecting a patent claim has been raised by at least one of the items of information submitted as part of the request, reexamination will be ordered under 35 U.S.C. 257. Once reexamination under 35 U.S.C. 257 is ordered, the Office may, in its sole discretion, reexamine claims other than the claims for which supplemental examination has been requested. See 35 U.S.C. 303(a).

Jump to MPEP SourceRequest Content RequirementsReexamination OrderSupplemental Examination Request
StatutoryInformativeAlways
[mpep-2816-01-29335cae99dfc2ecef77aa10]
Supplemental Examination Only on Identified Information
Note:
The Office will analyze a claim for supplemental examination only based on the specific information identified by the patent owner, unless the examiner deems otherwise.

As a general rule, the Office will analyze a claim for which supplemental examination is requested only in light of the item(s) of information identified for that claim. For example, if the patent owner requests supplemental examination of claim 1 in light of three items of information, and requests supplemental examination of claim 5 in light of two other items of information, the Office will analyze, in general, only claim 1 in light of the three items of information identified for claim 1, and only claim 5 in light of the two items of information identified for claim 5. The examiner, however, has the discretion to determine whether any of the items of information properly submitted with the request raises a SNQ affecting any of the claims for which supplemental examination is requested. Based on the facts given in the above example, the examiner has the option to determine whether any of the five items of information provided with the request raises a SNQ affecting either claim 1 or claim 5. In other words, the examiner has the option of analyzing the items of information provided with the request with respect to any of the claims for which supplemental examination is requested, in a manner other than that provided by the patent owner in the request. The patent owner, however, is not entitled to a determination on a claim for which the required explanation under 37 CFR 1.610(b)(5) has not been provided.

Jump to MPEP Source · 37 CFR 1.610(b)(5)Request Content RequirementsStatutory Authority for ExaminationSupplemental Examination
StatutoryInformativeAlways
[mpep-2816-01-3f7d44e022fcd4efbca64f6a]
Claims Examined Only as Requested
Note:
Patent owner's request for supplemental examination of specific claims is generally limited to the items of information identified, but examiner has discretion to consider additional relevant information.

As a general rule, the Office will analyze a claim for which supplemental examination is requested only in light of the item(s) of information identified for that claim. For example, if the patent owner requests supplemental examination of claim 1 in light of three items of information, and requests supplemental examination of claim 5 in light of two other items of information, the Office will analyze, in general, only claim 1 in light of the three items of information identified for claim 1, and only claim 5 in light of the two items of information identified for claim 5. The examiner, however, has the discretion to determine whether any of the items of information properly submitted with the request raises a SNQ affecting any of the claims for which supplemental examination is requested. Based on the facts given in the above example, the examiner has the option to determine whether any of the five items of information provided with the request raises a SNQ affecting either claim 1 or claim 5. In other words, the examiner has the option of analyzing the items of information provided with the request with respect to any of the claims for which supplemental examination is requested, in a manner other than that provided by the patent owner in the request. The patent owner, however, is not entitled to a determination on a claim for which the required explanation under 37 CFR 1.610(b)(5) has not been provided.

Jump to MPEP Source · 37 CFR 1.610(b)(5)Request Content RequirementsStatutory Authority for ExaminationSupplemental Examination Request
StatutoryRequiredAlways
[mpep-2816-01-4763f7a08404dcb1c38cdc69]
Requirement for Claim Explanation Under 37 CFR 1.610(b)(5)
Note:
The patent owner must provide the required explanation under 37 CFR 1.610(b)(5) before a claim can be determined.

As a general rule, the Office will analyze a claim for which supplemental examination is requested only in light of the item(s) of information identified for that claim. For example, if the patent owner requests supplemental examination of claim 1 in light of three items of information, and requests supplemental examination of claim 5 in light of two other items of information, the Office will analyze, in general, only claim 1 in light of the three items of information identified for claim 1, and only claim 5 in light of the two items of information identified for claim 5. The examiner, however, has the discretion to determine whether any of the items of information properly submitted with the request raises a SNQ affecting any of the claims for which supplemental examination is requested. Based on the facts given in the above example, the examiner has the option to determine whether any of the five items of information provided with the request raises a SNQ affecting either claim 1 or claim 5. In other words, the examiner has the option of analyzing the items of information provided with the request with respect to any of the claims for which supplemental examination is requested, in a manner other than that provided by the patent owner in the request. The patent owner, however, is not entitled to a determination on a claim for which the required explanation under 37 CFR 1.610(b)(5) has not been provided.

Jump to MPEP Source · 37 CFR 1.610(b)(5)Request Content RequirementsSupplemental ExaminationSNQ Criteria
Topic

Statutory Authority for Examination

5 rules
StatutoryInformativeAlways
[mpep-2816-01-05626c8dabcfa8b4df4ff2e2]
Supplemental Examination Limited to Requested Claims
Note:
The Office will review only the claims for which supplemental examination is requested during a determination.

The claims of the patent in effect at the time of the determination will be the basis for deciding whether “a substantial new question of patentability” (SNQ) is present. See 37 CFR 1.620(a). In a supplemental examination proceeding, the determination will be limited to a review of the claim(s) for which supplemental examination is requested. The Office will generally not initiate supplemental examination of any patent claims for which supplemental examination was not requested by the patent owner.

Jump to MPEP Source · 37 CFR 1.620(a)Statutory Authority for ExaminationSNQ CriteriaSubstantial New Question of Patentability
StatutoryInformativeAlways
[mpep-2816-01-25ee1bb81bf1979bcc1cd680]
Supplemental Examination Not Initiated Without Owner Request
Note:
The Office will not conduct supplemental examination on patent claims unless requested by the patent owner.

The claims of the patent in effect at the time of the determination will be the basis for deciding whether “a substantial new question of patentability” (SNQ) is present. See 37 CFR 1.620(a). In a supplemental examination proceeding, the determination will be limited to a review of the claim(s) for which supplemental examination is requested. The Office will generally not initiate supplemental examination of any patent claims for which supplemental examination was not requested by the patent owner.

Jump to MPEP Source · 37 CFR 1.620(a)Statutory Authority for ExaminationExamination ProceduresSNQ Criteria
StatutoryRequiredAlways
[mpep-2816-01-d61c5941e949c6d034af0154]
Detailed Explanation Required for All Claims
Note:
Patent owner must provide a detailed explanation for each claim when requesting supplemental examination. Failure to explain all claims results in no determination on unexplained claims.

37 CFR 1.610(b)(5) requires that the request must include "[a] separate, detailed explanation of the relevance and manner of applying each item of information to each claim of the patent for which supplemental examination is requested." If the patent owner fails to explain how any of the items of information may be applied to a patent claim, then the patent owner is not entitled to supplemental examination of that claim. If the patent owner does not provide an explanation of how an item of information may be applied to every claim requested to be examined in view of that item, the patent owner is not entitled to a determination on claims for which the required explanation was not provided. For example, if the patent owner requests supplemental examination of claims 1-10 in view of the Fisher article, but only provides a separate, detailed explanation of the manner of applying the Fisher article to claims 1-5, then the patent owner is not entitled to a determination on claims 6-10, for which the required explanation was not provided. In such instances, a notice of noncompliant supplemental examination request should be mailed by the Office. See MPEP § 2812.02.

Jump to MPEP Source · 37 CFR 1.610(b)(5)Statutory Authority for ExaminationExamination ProceduresSupplemental Examination
StatutoryRecommendedAlways
[mpep-2816-01-cbc1cd531617616dd295fd69]
Notice of Noncompliant Supplemental Examination Request
Note:
The Office must send a notice if the patent owner fails to explain how each item of information applies to all requested claims.

37 CFR 1.610(b)(5) requires that the request must include "[a] separate, detailed explanation of the relevance and manner of applying each item of information to each claim of the patent for which supplemental examination is requested." If the patent owner fails to explain how any of the items of information may be applied to a patent claim, then the patent owner is not entitled to supplemental examination of that claim. If the patent owner does not provide an explanation of how an item of information may be applied to every claim requested to be examined in view of that item, the patent owner is not entitled to a determination on claims for which the required explanation was not provided. For example, if the patent owner requests supplemental examination of claims 1-10 in view of the Fisher article, but only provides a separate, detailed explanation of the manner of applying the Fisher article to claims 1-5, then the patent owner is not entitled to a determination on claims 6-10, for which the required explanation was not provided. In such instances, a notice of noncompliant supplemental examination request should be mailed by the Office. See MPEP § 2812.02.

Jump to MPEP Source · 37 CFR 1.610(b)(5)Statutory Authority for ExaminationSupplemental ExaminationRequest Content Requirements
StatutoryInformativeAlways
[mpep-2816-01-b7fe4dab737b135353270d60]
Examiner May Analyze Any Provided Information Across Claims
Note:
The examiner can review any submitted information for all claims, even if the patent owner specified different analyses.

As a general rule, the Office will analyze a claim for which supplemental examination is requested only in light of the item(s) of information identified for that claim. For example, if the patent owner requests supplemental examination of claim 1 in light of three items of information, and requests supplemental examination of claim 5 in light of two other items of information, the Office will analyze, in general, only claim 1 in light of the three items of information identified for claim 1, and only claim 5 in light of the two items of information identified for claim 5. The examiner, however, has the discretion to determine whether any of the items of information properly submitted with the request raises a SNQ affecting any of the claims for which supplemental examination is requested. Based on the facts given in the above example, the examiner has the option to determine whether any of the five items of information provided with the request raises a SNQ affecting either claim 1 or claim 5. In other words, the examiner has the option of analyzing the items of information provided with the request with respect to any of the claims for which supplemental examination is requested, in a manner other than that provided by the patent owner in the request. The patent owner, however, is not entitled to a determination on a claim for which the required explanation under 37 CFR 1.610(b)(5) has not been provided.

Jump to MPEP Source · 37 CFR 1.610(b)(5)Statutory Authority for ExaminationSupplemental Examination RequestSupplemental Examination
Topic

SNQ Criteria

3 rules
StatutoryInformativeAlways
[mpep-2816-01-25fd9eadcd7764f5b1358b02]
Claims of Patent Determine SNQ
Note:
The claims present at the time of determination will be used to assess whether a substantial new question of patentability is present.

The claims of the patent in effect at the time of the determination will be the basis for deciding whether “a substantial new question of patentability” (SNQ) is present. See 37 CFR 1.620(a). In a supplemental examination proceeding, the determination will be limited to a review of the claim(s) for which supplemental examination is requested. The Office will generally not initiate supplemental examination of any patent claims for which supplemental examination was not requested by the patent owner.

Jump to MPEP Source · 37 CFR 1.620(a)SNQ CriteriaSubstantial New Question of PatentabilityEx Parte Reexamination
StatutoryInformativeAlways
[mpep-2816-01-48bb8241a6ba69326a8b93ff]
Examiner Has Discretion to Analyze SNQ-Related Information
Note:
The examiner may analyze any submitted information for its potential to raise a substantial new question affecting claims, even if not specifically requested by the patent owner.

As a general rule, the Office will analyze a claim for which supplemental examination is requested only in light of the item(s) of information identified for that claim. For example, if the patent owner requests supplemental examination of claim 1 in light of three items of information, and requests supplemental examination of claim 5 in light of two other items of information, the Office will analyze, in general, only claim 1 in light of the three items of information identified for claim 1, and only claim 5 in light of the two items of information identified for claim 5. The examiner, however, has the discretion to determine whether any of the items of information properly submitted with the request raises a SNQ affecting any of the claims for which supplemental examination is requested. Based on the facts given in the above example, the examiner has the option to determine whether any of the five items of information provided with the request raises a SNQ affecting either claim 1 or claim 5. In other words, the examiner has the option of analyzing the items of information provided with the request with respect to any of the claims for which supplemental examination is requested, in a manner other than that provided by the patent owner in the request. The patent owner, however, is not entitled to a determination on a claim for which the required explanation under 37 CFR 1.610(b)(5) has not been provided.

Jump to MPEP Source · 37 CFR 1.610(b)(5)SNQ CriteriaSubstantial New Question of PatentabilityStatutory Authority for Examination
StatutoryInformativeAlways
[mpep-2816-01-7ee4a577eeeaa2c6424a5b37]
Examiner May Analyze Any Provided Information Against Any Claim
Note:
The examiner has the discretion to analyze any of the five provided items of information against either claim 1 or claim 5, even if not specifically requested by the patent owner.

As a general rule, the Office will analyze a claim for which supplemental examination is requested only in light of the item(s) of information identified for that claim. For example, if the patent owner requests supplemental examination of claim 1 in light of three items of information, and requests supplemental examination of claim 5 in light of two other items of information, the Office will analyze, in general, only claim 1 in light of the three items of information identified for claim 1, and only claim 5 in light of the two items of information identified for claim 5. The examiner, however, has the discretion to determine whether any of the items of information properly submitted with the request raises a SNQ affecting any of the claims for which supplemental examination is requested. Based on the facts given in the above example, the examiner has the option to determine whether any of the five items of information provided with the request raises a SNQ affecting either claim 1 or claim 5. In other words, the examiner has the option of analyzing the items of information provided with the request with respect to any of the claims for which supplemental examination is requested, in a manner other than that provided by the patent owner in the request. The patent owner, however, is not entitled to a determination on a claim for which the required explanation under 37 CFR 1.610(b)(5) has not been provided.

Jump to MPEP Source · 37 CFR 1.610(b)(5)SNQ CriteriaRequest Content RequirementsSubstantial New Question of Patentability
Topic

Reexamination Order

1 rules
StatutoryPermittedAlways
[mpep-2816-01-5b62717b72d403fb37daa350]
Office May Reexamine Additional Claims After Request
Note:
The Office has discretion to reexamine claims beyond those requested for supplemental examination once a reexamination is ordered under 35 U.S.C. 257.

If the examiner determines that a SNQ affecting a patent claim has been raised by at least one of the items of information submitted as part of the request, reexamination will be ordered under 35 U.S.C. 257. Once reexamination under 35 U.S.C. 257 is ordered, the Office may, in its sole discretion, reexamine claims other than the claims for which supplemental examination has been requested. See 35 U.S.C. 303(a).

Jump to MPEP SourceReexamination OrderEx Parte ReexaminationSupplemental Examination
Topic

Reissue and Reexamination

1 rules
StatutoryRecommendedAlways
[mpep-2816-01-8b112ed2e8e621755161fa1c]
Claims Amended by Reissue Must Be Used in Reexamination
Note:
If a certificate or reissued patent amends claims during reexamination under 35 U.S.C. 257, the amended claims must be used for reexamination.

Amendments and/or new claims presented in any copending post-patent Office proceeding for the patent to be examined will not be considered nor commented upon when deciding a request for supplemental examination. However, if after reexamination of the patent under 35 U.S.C. 257 has been ordered, a certificate or reissued patent has been issued which amends the claims for which reexamination has been ordered under 35 U.S.C. 257, reexamination should be on the basis of the claims as amended by that certificate or reissued patent, because the certificate becomes part of the patent as of its issue date or the original patent is surrendered and replaced by the reissued patent as of the issue date of the reissued patent.

Jump to MPEP SourceReissue and ReexaminationConcurrent Reissue ProceedingsSupplemental Examination Certificate

Citations

Primary topicCitation
Reexamination Order
Reissue and Reexamination
Request Content Requirements
35 U.S.C. § 257
Reexamination Order
Request Content Requirements
35 U.S.C. § 303(a)
Request Content Requirements
SNQ Criteria
Statutory Authority for Examination
37 CFR § 1.610(b)(5)
SNQ Criteria
Statutory Authority for Examination
37 CFR § 1.620(a)
Request Content Requirements
Statutory Authority for Examination
MPEP § 2812.02

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