MPEP § 1214.06 — Examiner Sustained in Whole or in Part; Claims Require Action (Annotated Rules)

§1214.06 Examiner Sustained in Whole or in Part; Claims Require Action

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

This page consolidates and annotates all enforceable requirements under MPEP § 1214.06, 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.

Examiner Sustained in Whole or in Part; Claims Require Action

This section addresses Examiner Sustained in Whole or in Part; Claims Require Action. Primary authority: 37 CFR 1.197, 37 CFR 90.3, and 37 CFR 90.3(c). Contains: 6 requirements, 6 guidance statements, 3 permissions, and 3 other statements.

Key Rules

Topic

PTAB Jurisdiction

13 rules
StatutoryRecommendedAlways
[mpep-1214-06-bce904726ee14fc0e9bd0486]
Dependent Claim Must Be Rewritten Independently
Note:
If a dependent claim is objected to due to its dependency on a rejected independent claim, it must be rewritten independently within the review period or the application will be abandoned.

Claims indicated as allowable but objected to prior to appeal because of their dependency from rejected claims will be treated as if they were rejected, unless an amendment pursuant to 37 CFR 41.33(b)(2) rewriting such claims in independent form is filed within the period for seeking review under 37 CFR 90.3. See MPEP § 1206. The following examples illustrate the appropriate approach to be taken by the examiner in various situations in applications (A) If claims 1-2 are pending, the Board affirms a rejection of independent claim 1, dependent claim 2 was objected to prior to forwarding of the appeal as being allowable except for its dependency from claim 1 and claim 2 remains in dependent form, the examiner should hold the application abandoned as there is no remaining time period to redraft claim 2 in independent form.

Jump to MPEP Source · 37 CFR 41.33(b)(2)PTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryPermittedAlways
[mpep-1214-06-51d045723e432fa2b26dee5a]
Reversed Rejection Brings Claims to Merit Review
Note:
A Board decision can reverse a rejection, allowing certain claims to be reviewed on their merits. This includes reversing rejections of generic claims in applications with unexamined species and provisional rejections not addressed by the Board.

A decision of the Board may include a reversal of a rejection that brings certain claims up for action on the merits. These decisions include the reversal of the rejection of generic claims in an application containing claims to nonelected species not previously acted upon. The application may also contain a provisional rejection which was not reached in the Board's decision. The examiner will take up the application for appropriate action on the matters thus brought up. However, the application is not considered open to further prosecution except as to such matters.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryInformativeAlways
[mpep-1214-06-0ea1f93069fb927119c08962]
Reversal of Generic Claim Rejections Involving Unexamined Species
Note:
This rule requires the reversal of rejections for generic claims that include unexamined species not previously acted upon.

A decision of the Board may include a reversal of a rejection that brings certain claims up for action on the merits. These decisions include the reversal of the rejection of generic claims in an application containing claims to nonelected species not previously acted upon. The application may also contain a provisional rejection which was not reached in the Board's decision. The examiner will take up the application for appropriate action on the matters thus brought up. However, the application is not considered open to further prosecution except as to such matters.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryPermittedAlways
[mpep-1214-06-495dfb28751616cd533d4c36]
Provisional Rejection Not Addressed in Board Decision
Note:
The application may contain a provisional rejection that was not considered by the Board, requiring further examiner action on specific claims.

A decision of the Board may include a reversal of a rejection that brings certain claims up for action on the merits. These decisions include the reversal of the rejection of generic claims in an application containing claims to nonelected species not previously acted upon. The application may also contain a provisional rejection which was not reached in the Board's decision. The examiner will take up the application for appropriate action on the matters thus brought up. However, the application is not considered open to further prosecution except as to such matters.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryInformativeAlways
[mpep-1214-06-59d39d4814215c3286e84f10]
Examiner to Act on Reversed Rejections Only
Note:
The examiner will address only the reversed rejections, not other claims or provisional rejections in the application.

A decision of the Board may include a reversal of a rejection that brings certain claims up for action on the merits. These decisions include the reversal of the rejection of generic claims in an application containing claims to nonelected species not previously acted upon. The application may also contain a provisional rejection which was not reached in the Board's decision. The examiner will take up the application for appropriate action on the matters thus brought up. However, the application is not considered open to further prosecution except as to such matters.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRecommendedAlways
[mpep-1214-06-799654e9f45507ffcf362725]
Non-Elected Invention Considered for Rejoinder After Board Review
Note:
If the elected claims are allowed and the application includes non-elected inventions, these should be considered for rejoinder after a Board review.

If, upon review of the decision of the Board, the elected claims are in condition for allowance and the application contains claims directed to a non-elected invention, whether the election was made with or without traverse, the non-elected invention should be considered for rejoinder. See MPEP § 821.04.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRequiredAlways
[mpep-1214-06-99e069bb5428b81c61816d4e]
Pending Claims to Non-Elected Species Must Be Acted Upon After Board Reversal of Generic Claim Rejections
Note:
If the Board reverses all rejections on a generic claim, pending claims related to non-elected species must be addressed unless the examiner reopens prosecution with new grounds and confirms the election was appropriate.

If the decision of the Board includes a reversal of all rejections of a generic claim, pending claims drawn to a non-elected species must be acted upon. The only exception is when, the examiner reopens prosecution and enters a new ground of rejection of the generic claim and determines that the election of species continues to be appropriate; in such situations the generic claim and any claims drawn to the elected species are examined on the merits and claims drawn to non-elected species remain withdrawn from consideration. See MPEP § 809.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryInformativeAlways
[mpep-1214-06-8d0168d1929312a3a1c967c5]
Examiner May Reopen and Examine Generic Claim After New Ground of Rejection
Note:
The examiner can reopen prosecution for a generic claim with new grounds of rejection, allowing examination of the elected species while keeping non-elected claims withdrawn from consideration.

If the decision of the Board includes a reversal of all rejections of a generic claim, pending claims drawn to a non-elected species must be acted upon. The only exception is when, the examiner reopens prosecution and enters a new ground of rejection of the generic claim and determines that the election of species continues to be appropriate; in such situations the generic claim and any claims drawn to the elected species are examined on the merits and claims drawn to non-elected species remain withdrawn from consideration. See MPEP § 809.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRequiredAlways
[mpep-1214-06-6f3777ef010b368ef6b3b381]
Examiner Must Act on Provisional Nonstatutory Double Patenting Rejection
Note:
If the Board does not address a provisional nonstatutory double patenting rejection and reverses other grounds, the examiner must act on this rejection by determining if the reference application has issued as a patent or abandoned.

If a decision by the Board does not include an opinion on a provisional nonstatutory double patenting rejection, and includes a reversal of all other grounds as to a claim rejected based on provisional nonstatutory double patenting and the applicant has not filed a proper terminal disclaimer, the examiner must act upon the provisional nonstatutory double patenting rejection. The examiner must first determine if any reference application used in the provisional nonstatutory double patenting rejection has issued as a patent. If the reference application has issued, the provisional rejection should be re-issued as a non-provisional rejection and a terminal disclaimer should be required, for example, by using form paragraphs 8.33 – 8.39 as appropriate. See MPEP § 804, subsection II.B. If the reference application has been abandoned or has not matured to a patent and the provisional double patenting rejection is the only remaining rejection in the application the examiner should withdraw the provisional rejection.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRequiredAlways
[mpep-1214-06-efe34b330ee360bd07455e7f]
Examiner Must Verify Issued Patent for Provisional Double Patenting Rejection
Note:
The examiner must first confirm if any reference application used in a provisional nonstatutory double patenting rejection has issued as a patent before taking further action.

If a decision by the Board does not include an opinion on a provisional nonstatutory double patenting rejection, and includes a reversal of all other grounds as to a claim rejected based on provisional nonstatutory double patenting and the applicant has not filed a proper terminal disclaimer, the examiner must act upon the provisional nonstatutory double patenting rejection. The examiner must first determine if any reference application used in the provisional nonstatutory double patenting rejection has issued as a patent. If the reference application has issued, the provisional rejection should be re-issued as a non-provisional rejection and a terminal disclaimer should be required, for example, by using form paragraphs 8.33 – 8.39 as appropriate. See MPEP § 804, subsection II.B. If the reference application has been abandoned or has not matured to a patent and the provisional double patenting rejection is the only remaining rejection in the application the examiner should withdraw the provisional rejection.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRequiredAlways
[mpep-1214-06-0bfb63ce8831abd00a1a152e]
Terminal Disclaimer Needed When Reference Patent Issues
Note:
When the reference application has issued, a provisional rejection must be converted to a non-provisional rejection and a terminal disclaimer is required.

If a decision by the Board does not include an opinion on a provisional nonstatutory double patenting rejection, and includes a reversal of all other grounds as to a claim rejected based on provisional nonstatutory double patenting and the applicant has not filed a proper terminal disclaimer, the examiner must act upon the provisional nonstatutory double patenting rejection. The examiner must first determine if any reference application used in the provisional nonstatutory double patenting rejection has issued as a patent. If the reference application has issued, the provisional rejection should be re-issued as a non-provisional rejection and a terminal disclaimer should be required, for example, by using form paragraphs 8.33 – 8.39 as appropriate. See MPEP § 804, subsection II.B. If the reference application has been abandoned or has not matured to a patent and the provisional double patenting rejection is the only remaining rejection in the application the examiner should withdraw the provisional rejection.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRecommendedAlways
[mpep-1214-06-a7b5930e9771ac7c1d17087c]
Withdraw Provisional Double Patenting When Reference Abandoned
Note:
If the reference application has been abandoned and is not a patent, and there are no other rejections, the examiner should withdraw the provisional double patenting rejection.

If a decision by the Board does not include an opinion on a provisional nonstatutory double patenting rejection, and includes a reversal of all other grounds as to a claim rejected based on provisional nonstatutory double patenting and the applicant has not filed a proper terminal disclaimer, the examiner must act upon the provisional nonstatutory double patenting rejection. The examiner must first determine if any reference application used in the provisional nonstatutory double patenting rejection has issued as a patent. If the reference application has issued, the provisional rejection should be re-issued as a non-provisional rejection and a terminal disclaimer should be required, for example, by using form paragraphs 8.33 – 8.39 as appropriate. See MPEP § 804, subsection II.B. If the reference application has been abandoned or has not matured to a patent and the provisional double patenting rejection is the only remaining rejection in the application the examiner should withdraw the provisional rejection.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresEx Parte Appeals to PTAB
StatutoryRecommendedAlways
[mpep-1214-06-60aa3da0064f82bd14812c05]
Examiner Proceeds Without Appellant Action
Note:
If the Board makes a new rejection under 37 CFR 41.50(b) and the appellant does not respond within 2 months, the examiner should follow the procedures outlined in paragraphs I-III of this section.

Where the Board makes a new rejection under 37 CFR 41.50(b) and no action is taken with reference thereto by appellant within 2 months, the examiner should proceed in the manner indicated in paragraphs I-III of this section as appropriate. See MPEP § 1214.01.

Jump to MPEP Source · 37 CFR 41.50(b)PTAB JurisdictionPTAB Contested Case ProceduresBoard Decision
Topic

Civil Action

4 rules
StatutoryInformativeAlways
[mpep-1214-06-0135f1f7b6586af7b344b69c]
Termination of Proceedings on Application
Note:
The date of termination for an application is when an appeal is dismissed or the time for appeal expires, unless further action is taken.

(b) The date of termination of proceedings on an application is the date on which the appeal is dismissed or the date on which the time for appeal to the U.S. Court of Appeals for the Federal Circuit or review by civil action (§ 90.3 of this chapter) expires in the absence of further appeal or review. If an appeal to the U.S. Court of Appeals for the Federal Circuit or a civil action has been filed, proceedings on an application are considered terminated when the appeal or civil action is terminated. A civil action is terminated when the time to appeal the judgment expires. An appeal to the U.S. Court of Appeals for the Federal Circuit, whether from a decision of the Board or a judgment in a civil action, is terminated when the mandate is issued by the Court.

Jump to MPEP Source · 37 CFR 90.3Civil ActionAppeal to Federal CircuitJudicial Review of Board Decisions
StatutoryInformativeAlways
[mpep-1214-06-d9c61c5a4723d000972e8d12]
Appeal Terminates Application Proceedings
Note:
When an appeal to the U.S. Court of Appeals for the Federal Circuit or a civil action is terminated, application proceedings are considered ended.

(b) The date of termination of proceedings on an application is the date on which the appeal is dismissed or the date on which the time for appeal to the U.S. Court of Appeals for the Federal Circuit or review by civil action (§ 90.3 of this chapter) expires in the absence of further appeal or review. If an appeal to the U.S. Court of Appeals for the Federal Circuit or a civil action has been filed, proceedings on an application are considered terminated when the appeal or civil action is terminated. A civil action is terminated when the time to appeal the judgment expires. An appeal to the U.S. Court of Appeals for the Federal Circuit, whether from a decision of the Board or a judgment in a civil action, is terminated when the mandate is issued by the Court.

Jump to MPEP Source · 37 CFR 90.3Civil ActionAppeal to Federal CircuitJudicial Review of Board Decisions
StatutoryInformativeAlways
[mpep-1214-06-e35fbc23354439310deef395]
Civil Action Terminates on Appeal Deadline Expiration
Note:
A civil action is considered terminated when the time to appeal a judgment expires.

(b) The date of termination of proceedings on an application is the date on which the appeal is dismissed or the date on which the time for appeal to the U.S. Court of Appeals for the Federal Circuit or review by civil action (§ 90.3 of this chapter) expires in the absence of further appeal or review. If an appeal to the U.S. Court of Appeals for the Federal Circuit or a civil action has been filed, proceedings on an application are considered terminated when the appeal or civil action is terminated. A civil action is terminated when the time to appeal the judgment expires. An appeal to the U.S. Court of Appeals for the Federal Circuit, whether from a decision of the Board or a judgment in a civil action, is terminated when the mandate is issued by the Court.

Jump to MPEP Source · 37 CFR 90.3Civil ActionEstoppel After JudgmentEx Parte Appeals to PTAB
StatutoryInformativeAlways
[mpep-1214-06-cd53b45fb48ae2f4e0d693b5]
Appeal Terminated Upon Mandate Issuance
Note:
An appeal to the U.S. Court of Appeals for the Federal Circuit is terminated when the mandate is issued by the court.

(b) The date of termination of proceedings on an application is the date on which the appeal is dismissed or the date on which the time for appeal to the U.S. Court of Appeals for the Federal Circuit or review by civil action (§ 90.3 of this chapter) expires in the absence of further appeal or review. If an appeal to the U.S. Court of Appeals for the Federal Circuit or a civil action has been filed, proceedings on an application are considered terminated when the appeal or civil action is terminated. A civil action is terminated when the time to appeal the judgment expires. An appeal to the U.S. Court of Appeals for the Federal Circuit, whether from a decision of the Board or a judgment in a civil action, is terminated when the mandate is issued by the Court.

Jump to MPEP Source · 37 CFR 90.3Civil ActionAppeal to Federal CircuitJudicial Review of Board Decisions
Topic

Time for Judicial Appeal

4 rules
StatutoryInformativeAlways
[mpep-1214-06-a5c977e00185e71d3dc68973]
Same Review Period for Both Tribunals
Note:
The time to seek review of Board decisions is the same (63 days plus extensions) for both the Court of Appeals for the Federal Circuit and U.S. District Court for the Eastern District of Virginia.

As provided by 37 CFR 90.3, the time for seeking review of a decision of the Board by the Court of Appeals for the Federal Circuit or the U.S. District Court for the Eastern District of Virginia is the same for both tribunals, that is, 63 days plus any additional time requested and granted under 37 CFR 90.3(c). In the event a request for rehearing is timely filed before the Board, or as extended by the Director. See MPEP § 1216. When the time for seeking court review has passed without such review being sought, the examiner must take up the application or ex parte reexamination for consideration. The situations which can arise when an examiner is sustained in whole or in part will involve one or more of the following circumstances:

Jump to MPEP Source · 37 CFR 90.3Time for Judicial AppealCivil ActionAppeal to Federal Circuit
StatutoryPermittedAlways
[mpep-1214-06-63a58c4e0a238eb1327c7b30]
Examiner Sustained In Whole Or Part; Claims Require Action
Note:
When an examiner is sustained in whole or part, claims must be reconsidered.

As provided by 37 CFR 90.3, the time for seeking review of a decision of the Board by the Court of Appeals for the Federal Circuit or the U.S. District Court for the Eastern District of Virginia is the same for both tribunals, that is, 63 days plus any additional time requested and granted under 37 CFR 90.3(c). In the event a request for rehearing is timely filed before the Board, or as extended by the Director. See MPEP § 1216. When the time for seeking court review has passed without such review being sought, the examiner must take up the application or ex parte reexamination for consideration. The situations which can arise when an examiner is sustained in whole or in part will involve one or more of the following circumstances:

Jump to MPEP Source · 37 CFR 90.3Time for Judicial AppealCivil ActionAppeal to Federal Circuit
StatutoryPermittedAlways
[mpep-1214-06-df1f86e409a529190a4b7503]
Appellant Must Rewrite Dependent Claims Within 2 Months
Note:
The appellant must rewrite dependent claims in independent form within 2 months, or the application will be abandoned.

Claims indicated as allowable but objected to prior to appeal because of their dependency from rejected claims will be treated as if they were rejected, unless an amendment pursuant to 37 CFR 41.33(b)(2) rewriting such claims in independent form is filed within the period for seeking review under 37 CFR 90.3. See MPEP § 1206. The following examples illustrate the appropriate approach to be taken by the examiner in various situations in applications:
(B) If the Board or court affirms a rejection against an independent claim and reverses all rejections against a claim dependent thereon, after expiration of the period for further appeal, the examiner should proceed in one of two ways:

(2) Set a 2-month time limit in which appellant may rewrite the dependent claim(s) in independent form.

Jump to MPEP Source · 37 CFR 41.33(b)(2)Time for Judicial AppealExtension LimitsEx Parte Appeals to PTAB
StatutoryRecommendedAlways
[mpep-1214-06-322bd6af3d197c221f9da57d]
Abandonment for Missing Claims
Note:
If no timely reply is received, the application is abandoned because no claims stand allowed after a rejection of independent claims and reversal of dependent claim rejections on appeal.

Claims indicated as allowable but objected to prior to appeal because of their dependency from rejected claims will be treated as if they were rejected, unless an amendment pursuant to 37 CFR 41.33(b)(2) rewriting such claims in independent form is filed within the period for seeking review under 37 CFR 90.3. See MPEP § 1206. The following examples illustrate the appropriate approach to be taken by the examiner in various situations in applications:
(B) If the Board or court affirms a rejection against an independent claim and reverses all rejections against a claim dependent thereon, after expiration of the period for further appeal, the examiner should proceed in one of two ways:

If no timely reply is received, the application is abandoned because no claims stand allowed.

Jump to MPEP Source · 37 CFR 41.33(b)(2)Time for Judicial AppealAppeal to Federal CircuitExtension Limits
Topic

Appeals in Reexamination

3 rules
StatutoryInformativeAlways
[mpep-1214-06-fcc35713fae1326761267d8f]
Similar Practice After Court Review In Ex Parte Reexamination
Note:
Examiners must follow similar practices after court review as outlined in MPEP § 1216.01 for ex parte reexamination proceedings.

The practice under the situations identified in subsections I-III below is similar to the practice after a decision of the court outlined in MPEP § 1216.01. Examiners must be very careful that applications and ex parte reexamination proceedings that leave the jurisdiction of the Board are not overlooked because every case is up for action by the examiner in the event no court review has been sought. See MPEP §§ 1216.01 and 1216.02 for procedure where court review is sought.

Jump to MPEP Source · 37 CFR 1.197Appeals in ReexaminationPTAB JurisdictionEx Parte Reexamination
StatutoryRequiredAlways
[mpep-1214-06-5dd1b1f0cdf13a6c1c947386]
Examiners Must Act on All Reexamination Cases
Note:
Examiners must ensure all applications and ex parte reexamination proceedings are reviewed, as every case is subject to their action if no court review is sought.

The practice under the situations identified in subsections I-III below is similar to the practice after a decision of the court outlined in MPEP § 1216.01. Examiners must be very careful that applications and ex parte reexamination proceedings that leave the jurisdiction of the Board are not overlooked because every case is up for action by the examiner in the event no court review has been sought. See MPEP §§ 1216.01 and 1216.02 for procedure where court review is sought.

Jump to MPEP Source · 37 CFR 1.197Appeals in ReexaminationPTAB JurisdictionEx Parte Reexamination
StatutoryInformativeAlways
[mpep-1214-06-519a89891593b0786566e382]
Dependent Claim Must Be Rewritten If Independent Claim Is Allowed
Note:
If the Board affirms a rejection of claim 1 and independent claim 3 is allowed, claims 1 and 2 must be canceled and only claim 3 should be issued.

If the Board affirms a rejection of claim 1, claim 2 was objected to prior to appeal as being allowable except for its dependency from claim 1 and independent claim 3 is allowed, the examiner should cancel claims 1 and 2 and issue the application or ex parte reexamination certificate with claim 3 only.

Jump to MPEP SourceAppeals in ReexaminationPTAB JurisdictionPTAB Contested Case Procedures
Topic

Reexamination Certificate

3 rules
StatutoryRequiredAlways
[mpep-1214-06-0b5faadc1a414157777d99b7]
Appellant Not Required to File Reply
Note:
The appellant does not need to file a reply when claims are allowed in an ex parte reexamination.

The appellant is not required to file a reply. The examiner issues the application or ex parte reexamination certificate on the claims which stand allowed. It is not necessary for the applicant or patent owner to cancel the rejected claims, since they may be canceled by the examiner in an examiner’s amendment.

Jump to MPEP SourceReexamination CertificateConclusion of Ex Parte ReexaminationEx Parte Reexamination
StatutoryPermittedAlways
[mpep-1214-06-ac618a9950fe99d49c597536]
Certificate Issued for Allowed Claims
Note:
The examiner issues a certificate for claims that are allowed, without requiring the applicant to cancel rejected claims.

The appellant is not required to file a reply. The examiner issues the application or ex parte reexamination certificate on the claims which stand allowed. It is not necessary for the applicant or patent owner to cancel the rejected claims, since they may be canceled by the examiner in an examiner’s amendment.

Jump to MPEP SourceReexamination CertificateConclusion of Ex Parte ReexaminationEx Parte Reexamination
StatutoryRecommendedAlways
[mpep-1214-06-eebada14f51f377d4a092848]
Examiner Must Cancel Claims 1 and 2, Issue Claim 3 Only
Note:
The examiner must cancel claims 1 and 2 and issue the application or ex parte reexamination certificate with only claim 3 if the Board affirms a rejection of claim 1 and claim 2 is objected to for dependency on claim 1.

If the Board affirms a rejection of claim 1, claim 2 was objected to prior to appeal as being allowable except for its dependency from claim 1 and independent claim 3 is allowed, the examiner should cancel claims 1 and 2 and issue the application or ex parte reexamination certificate with claim 3 only.

Jump to MPEP SourceReexamination CertificateConclusion of Ex Parte ReexaminationEx Parte Reexamination
Topic

Grounds for Dismissal of Appeal

2 rules
StatutoryInformativeAlways
[mpep-1214-06-45c9628341924274bffc06d9]
Appeal Dismissal Terminates Proceedings Except For Allowed Claims Or Further Action Required
Note:
Proceedings terminate upon appeal dismissal unless claims are allowed or further examiner action is required.
(a) Proceedings on an application are considered terminated by the dismissal of an appeal or the failure to timely file an appeal to the court or a civil action except:
  • (1) Where claims stand allowed in an application; or
  • (2) Where the nature of the decision requires further action by the examiner.
Jump to MPEP Source · 37 CFR 1.197Grounds for Dismissal of AppealCivil ActionAppeal Withdrawal and Dismissal
StatutoryInformativeAlways
[mpep-1214-06-ebb2cc022fa5ee2c5d942436]
Examiner Must Take Further Action When Decision Requires It
Note:
When the decision's nature demands additional examiner actions, proceedings are not terminated by an appeal dismissal or untimely filing.

(a) Proceedings on an application are considered terminated by the dismissal of an appeal or the failure to timely file an appeal to the court or a civil action except:

(2) Where the nature of the decision requires further action by the examiner

Jump to MPEP Source · 37 CFR 1.197Grounds for Dismissal of AppealCivil ActionAppeal Withdrawal and Dismissal
Topic

Notice of Expiration

2 rules
StatutoryInformativeAlways
[mpep-1214-06-afe54985c79600dadbcf8252]
Proceedings Terminated After Court Action Deadline
Note:
The application or ex parte reexamination is terminated once the time for filing a court action expires.

The proceedings in an application or ex parte reexamination proceeding are terminated as of the date of the expiration of the time for filing court action. The application is no longer considered as pending. In an application, a Notice of Abandonment should be prepared and mailed once the period for seeking review under 37 CFR 90.3 has expired. In an ex parte reexamination proceeding, a notice of intent to issue a reexamination certificate should be issued under 37 CFR 1.570 once the period for seeking review under 37 CFR 90.3 has expired.

Jump to MPEP Source · 37 CFR 90.3Notice of ExpirationPatent Expiration for NonpaymentEx Parte Reexamination
StatutoryRecommendedAlways
[mpep-1214-06-c82d249ba8e85d2413e7d8ed]
Notice of Abandonment Required After Review Period Ends
Note:
Prepare and mail a Notice of Abandonment once the period for seeking review under 37 CFR 90.3 has expired.

The proceedings in an application or ex parte reexamination proceeding are terminated as of the date of the expiration of the time for filing court action. The application is no longer considered as pending. In an application, a Notice of Abandonment should be prepared and mailed once the period for seeking review under 37 CFR 90.3 has expired. In an ex parte reexamination proceeding, a notice of intent to issue a reexamination certificate should be issued under 37 CFR 1.570 once the period for seeking review under 37 CFR 90.3 has expired.

Jump to MPEP Source · 37 CFR 90.3Notice of ExpirationLate Payment and ReinstatementNotice of Intent to Issue Reexamination Certificate (NIRC)
Topic

Notice of Intent to Issue Reexamination Certificate (NIRC)

2 rules
StatutoryInformativeAlways
[mpep-1214-06-13148aab4229aa99354a94bc]
Application No Longer Considered Pending After Expiration of Review Period
Note:
The application is no longer considered pending once the period for seeking review under 37 CFR 90.3 has expired, and a Notice of Abandonment or notice of intent to issue a reexamination certificate should be issued.

The proceedings in an application or ex parte reexamination proceeding are terminated as of the date of the expiration of the time for filing court action. The application is no longer considered as pending. In an application, a Notice of Abandonment should be prepared and mailed once the period for seeking review under 37 CFR 90.3 has expired. In an ex parte reexamination proceeding, a notice of intent to issue a reexamination certificate should be issued under 37 CFR 1.570 once the period for seeking review under 37 CFR 90.3 has expired.

Jump to MPEP Source · 37 CFR 90.3Notice of Intent to Issue Reexamination Certificate (NIRC)Reexamination CertificateNotice of Expiration
StatutoryRecommendedAlways
[mpep-1214-06-45ff0d6dc40f4d31d41cca4b]
Notice of Intent to Issue Reexamination Certificate Required After Review Period
Note:
A notice of intent to issue a reexamination certificate must be issued under 37 CFR 1.570 once the period for seeking review under 37 CFR 90.3 has expired.

The proceedings in an application or ex parte reexamination proceeding are terminated as of the date of the expiration of the time for filing court action. The application is no longer considered as pending. In an application, a Notice of Abandonment should be prepared and mailed once the period for seeking review under 37 CFR 90.3 has expired. In an ex parte reexamination proceeding, a notice of intent to issue a reexamination certificate should be issued under 37 CFR 1.570 once the period for seeking review under 37 CFR 90.3 has expired.

Jump to MPEP Source · 37 CFR 90.3Notice of Intent to Issue Reexamination Certificate (NIRC)Reexamination CertificateNotice of Expiration
Topic

Effect of Terminal Disclaimer on Term

2 rules
StatutoryPermittedAlways
[mpep-1214-06-acf0cd7d31e2a90ac9de2193]
Terminal Disclaimer to Overcome Rejection
Note:
An applicant may file a proper terminal disclaimer before the review period expires to overcome a non-statutory double patenting rejection or an unaddressed provisional rejection.

If the application includes a non-statutory double patenting rejection which was affirmed by the Board or a provisional rejection that was not addressed by the Board, the applicant may file a proper terminal disclaimer prior to the expiration of the period for seeking review under 37 CFR 90.3 to overcome the rejection. If the terminal disclaimer is insufficient to overcome the rejection the applicant will not be granted additional time to correct the deficiency. See MPEP §§ 804.02 and 1490.

Jump to MPEP Source · 37 CFR 90.3Effect of Terminal Disclaimer on TermPatent Term ExpirationPTAB Jurisdiction
StatutoryInformativeAlways
[mpep-1214-06-0dcadf8271362c61c3b22e5a]
Insufficient Terminal Disclaimer Results In No Additional Time
Note:
If a terminal disclaimer is insufficient to overcome the rejection, the applicant will not be granted additional time to correct the deficiency.

If the application includes a non-statutory double patenting rejection which was affirmed by the Board or a provisional rejection that was not addressed by the Board, the applicant may file a proper terminal disclaimer prior to the expiration of the period for seeking review under 37 CFR 90.3 to overcome the rejection. If the terminal disclaimer is insufficient to overcome the rejection the applicant will not be granted additional time to correct the deficiency. See MPEP §§ 804.02 and 1490.

Jump to MPEP Source · 37 CFR 90.3Effect of Terminal Disclaimer on TermPatent Term ExpirationPTAB Jurisdiction
Topic

Judicial Review of Board Decisions

1 rules
StatutoryRequiredAlways
[mpep-1214-06-1a0bcc5f0e8fde3a6a17c141]
Examiner Must Reconsider Application After Board Decision
Note:
When the time for court review has passed without appeal, the examiner must reconsider the application or ex parte reexamination.

As provided by 37 CFR 90.3, the time for seeking review of a decision of the Board by the Court of Appeals for the Federal Circuit or the U.S. District Court for the Eastern District of Virginia is the same for both tribunals, that is, 63 days plus any additional time requested and granted under 37 CFR 90.3(c). In the event a request for rehearing is timely filed before the Board, or as extended by the Director. See MPEP § 1216. When the time for seeking court review has passed without such review being sought, the examiner must take up the application or ex parte reexamination for consideration. The situations which can arise when an examiner is sustained in whole or in part will involve one or more of the following circumstances:

Jump to MPEP Source · 37 CFR 90.3Judicial Review of Board DecisionsAppeals in ReexaminationPTAB Jurisdiction
Topic

Appeal to Federal Circuit

1 rules
StatutoryRecommendedAlways
[mpep-1214-06-f5049ce5aa73fe5ce0e80b69]
Allowable Claims Must Be Rewritten Independently
Note:
Claims deemed allowable but objected to due to dependency on rejected claims must be rewritten in independent form within the review period or will be treated as rejected.
Claims indicated as allowable but objected to prior to appeal because of their dependency from rejected claims will be treated as if they were rejected, unless an amendment pursuant to 37 CFR 41.33(b)(2) rewriting such claims in independent form is filed within the period for seeking review under 37 CFR 90.3. See MPEP § 1206. The following examples illustrate the appropriate approach to be taken by the examiner in various situations in applications:
  • (A) If claims 1-2 are pending, the Board affirms a rejection of independent claim 1, dependent claim 2 was objected to prior to forwarding of the appeal as being allowable except for its dependency from claim 1 and claim 2 remains in dependent form, the examiner should hold the application abandoned as there is no remaining time period to redraft claim 2 in independent form.
  • (B) If the Board or court affirms a rejection against an independent claim and reverses all rejections against a claim dependent thereon, after expiration of the period for further appeal, the examiner should proceed in one of two ways:
    • (1) Convert the dependent claim into independent form by examiner’s amendment, cancel all claims in which the rejection was affirmed, and issue the application; or
    • (2) Set a 2-month time limit in which appellant may rewrite the dependent claim(s) in independent form. Extensions of time under 37 CFR 1.136(a) are available. If no timely reply is received, the application is abandoned because no claims stand allowed.
Jump to MPEP Source · 37 CFR 41.33(b)(2)Appeal to Federal CircuitEx Parte Appeals to PTABTime for Judicial Appeal
Topic

Extension of Time (37 CFR 1.136)

1 rules
StatutoryRecommendedAlways
[mpep-1214-06-6db6093c9fbeed19e76c97dd]
Extensions of Time Available for Dependent Claims
Note:
Examiners should set a 2-month time limit for rewriting dependent claims in independent form, with extensions of time under 37 CFR 1.136(a) available.

Claims indicated as allowable but objected to prior to appeal because of their dependency from rejected claims will be treated as if they were rejected, unless an amendment pursuant to 37 CFR 41.33(b)(2) rewriting such claims in independent form is filed within the period for seeking review under 37 CFR 90.3. See MPEP § 1206. The following examples illustrate the appropriate approach to be taken by the examiner in various situations in applications:
(B) If the Board or court affirms a rejection against an independent claim and reverses all rejections against a claim dependent thereon, after expiration of the period for further appeal, the examiner should proceed in one of two ways:

Extensions of time under 37 CFR 1.136(a) are available.

Jump to MPEP Source · 37 CFR 41.33(b)(2)Extension of Time (37 CFR 1.136)Time for Judicial AppealAppeal to Federal Circuit
Topic

Retroactive Extension

1 rules
StatutoryRecommendedAlways
[mpep-1214-06-e7953692314a412345728b0e]
Examiner Must Convert Dependent Claim to Independent Form After Board Reversals
Note:
The examiner must convert dependent claim 2 into independent form and issue the application or ex parte reexamination certificate with claims 2 and 3 if the Board reverses rejections against dependent claim 2 after affirming rejection against independent claim 1.
If the Board affirms a rejection against independent claim 1, reverses all rejections against dependent claim 2 and claim 3 is allowed, after expiration of the period for further appeal, the examiner should either:
  • (A) Convert dependent claim 2 into independent form by examiner’s amendment, cancel claim 1 in which the rejection was affirmed, and issue the application or ex parte reexamination certificate with claims 2 and 3; or
  • (B) Set a 2-month time limit in which appellant is required to rewrite dependent claim 2 in independent form, to avoid cancellation of claim 2. Extensions of time under 37 CFR 1.136(a) are available. If no timely reply is received, the examiner will cancel claims 1 and 2 and issue the application with allowed claim 3 only. The following form paragraphs may be used where appropriate:
Jump to MPEP SourceRetroactive ExtensionAppeals in ReexaminationPTAB Jurisdiction
Topic

New Ground of Rejection by Board

1 rules
StatutoryProhibitedAlways
[mpep-1214-06-516dce63620e1a79d3af1856]
Procedure for New Ground of Rejection by Board
Note:
If the Board affirms an examiner’s rejection and enters a new ground under 37 CFR 41.50(b), the appellant must choose to proceed before the examiner or request rehearing within 2 months.
If the Board affirms the examiner’s rejection, but also enters a new ground of rejection under 37 CFR 41.50(b), the subsequent procedure depends upon the action taken by the appellant with respect to the 37 CFR 41.50(b) rejection.
  • (A) If the appellant elects to proceed before the examiner with regard to the new rejection (see MPEP § 1214.01, subsection I., the Board’s affirmance will be treated as nonfinal, and no request for rehearing of the affirmance need be filed at that time. In order to proceed before the examiner, applicant must amend the newly rejected claims or submit new evidence, as defined in 37 CFR 41.33, or both. If applicant presents arguments against the new grounds of rejection without amendment or evidence, jurisdiction over the appeal should remain with the Board. The Board, having made the new ground of rejection and thus having the most complete understanding of the logic and analysis that led to the new ground, is in the best position to evaluate appellant’s rebuttal arguments in a request for rehearing. It is only in the instance where appellant chooses to amend the claims or submit new evidence that prosecution must be reopened and the case returned to the examiner to consider the amendment and/or new evidence in the first instance. Should an examiner discover that a reply containing only arguments against a new ground of rejection has been returned to the examining corps, the appeal should be returned to the Board for appropriate handling. Prosecution before the examiner of the 37 CFR 41.50(b) rejection can incidentally result in overcoming the affirmed rejection even though the affirmed rejection is not open to further prosecution. Therefore, it is possible for the application to be allowed as a result of the limited prosecution before the examiner of the 37 CFR 41.50(b) rejection. If an application becomes allowed, it should not be returned to the Board. Likewise, if an application is abandoned for any reason, it should not be returned to the Board. If the rejection under 37 CFR 41.50(b) is not overcome, the applicant (or patent owner in an ex parte reexamination proceeding) can file a second appeal (as discussed below). Such appeal must be limited to the 37 CFR 41.50(b) rejection and may not include the affirmed rejection. If an application does not become allowed or abandoned as discussed above, once prosecution of the claims which were rejected under 37 CFR 41.50(b) is terminated before the examiner, the application file must be returned to the Board so that a decision making the original affirmance final can be entered. Similarly, the file of any ex parte reexamination proceeding including decisions including rejections affirmed by the Board but made non-final for purposes of judicial review must be returned to the Board so that the affirmance can be made final by the Board. The time for filing a request for rehearing on the affirmance or seeking court review runs from the date of the decision by the Board making the original affirmance final. See MPEP §§ 1214.03 and 1216.
  • (B) If the appellant elects to request rehearing of the new rejection (see MPEP § 1214.01, paragraph II), the request for rehearing of the new rejection and of the affirmance must be filed within 2 months from the date of the Board’s decision.
Jump to MPEP Source · 37 CFR 41.50(b)New Ground of Rejection by BoardBoard DecisionAppeals in Reexamination
Topic

Request for Rehearing

1 rules
StatutoryRequiredAlways
[mpep-1214-06-ad003a69c8ab8246cc5a8121]
Request for Rehearing of New Rejection Must Be Filed Within 2 Months
Note:
The appellant must file a request for rehearing of the new rejection and affirmance within 2 months from the date of the Board’s decision.

If the Board affirms the examiner’s rejection, but also enters a new ground of rejection under 37 CFR 41.50(b), the subsequent procedure depends upon the action taken by the appellant with respect to the 37 CFR 41.50(b) rejection.

(B) If the appellant elects to request rehearing of the new rejection (see MPEP § 1214.01, paragraph II), the request for rehearing of the new rejection and of the affirmance must be filed within 2 months from the date of the Board’s decision.

Jump to MPEP Source · 37 CFR 41.50(b)Request for RehearingBoard Decision TypesPTAB Jurisdiction

Examiner Form Paragraphs

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

¶ 12.291 ¶ 12.291 Examiner Sustained in Part – Requirement of Rewriting Dependent Claims (No Allowed Claim)

The Patent Trial Appeal Board affirmed the rejection(s) against independent claim(s) [1] , but reversed all rejections against claim(s) [2] dependent thereon. There are no allowed claims in the application. The independent claim(s) is/are cancelled by the examiner in accordance with MPEP § 1214.06 . Applicant is given a shortened statutory period of TWO (2) MONTHS from the mailing date of this letter in which to present the dependent claim(s) in independent form to avoid ABANDONMENT of the application. EXTENSIONS OF TIME UNDER 37 CFR 1.136(a) ARE AVAILABLE but in no case can any extension carry the date for reply to this letter beyond the maximum period of SIX MONTHS set by statute ( 35 U.S.C. 133 ). Prosecution is otherwise closed.

¶ 12.292 ¶ 12.292 Examiner Sustained in Part – Requirement of Rewriting Dependent Claims (At Least One Allowed Claim)

The Patent Trial and Appeal Board affirmed the rejection(s) against independent claim(s) [1] , but reversed all rejections against claim(s) [2] dependent thereon. The independent claim(s) is/are cancelled by the examiner in accordance with MPEP § 1214.06 . Applicant is given a TWO (2) MONTH TIME PERIOD from the mailing date of this letter in which to present the dependent claim(s) in independent form. EXTENSIONS OF TIME UNDER 37 CFR 1.136 ARE AVAILABLE. If the applicant does not timely present the dependent claim(s) in independent form, the dependent claim(s) will be cancelled and the application will be allowed with claim(s) [3] . Prosecution is otherwise closed.

¶ 12.297 ¶ 12.297 Period For Seeking Court Review Has Lapsed

The period under 37 CFR 90.3 for seeking court review of the decision by the Patent Trial and Appeal Board rendered [1] has expired and no further action has been taken by appellant. The proceedings as to the rejected claims are considered terminated; see 37 CFR 1.197(b) .

The application will be passed to issue on allowed claim [2] provided the following formal matters are promptly corrected: [3] . Prosecution is otherwise closed.

Applicant is required to make the necessary corrections addressing the outstanding formal matters within a shortened statutory period set to expire TWO (2) MONTHS from the mailing date of this letter to avoid ABANDONMENT of the application. Extensions of time may be granted under 37 CFR 1.136 but in no case can any extension carry the date for reply to this letter beyond the maximum period of SIX MONTHS set by statute ( 35 U.S.C. 133 ).

Citations

Primary topicCitation
Appeal to Federal Circuit
Extension of Time (37 CFR 1.136)
Retroactive Extension
Time for Judicial Appeal
37 CFR § 1.136(a)
Notice of Expiration
Notice of Intent to Issue Reexamination Certificate (NIRC)
37 CFR § 1.570
New Ground of Rejection by Board37 CFR § 41.33
Appeal to Federal Circuit
Extension of Time (37 CFR 1.136)
PTAB Jurisdiction
Time for Judicial Appeal
37 CFR § 41.33(b)(2)
New Ground of Rejection by Board
PTAB Jurisdiction
Request for Rehearing
37 CFR § 41.50(b)
Appeal to Federal Circuit
Civil Action
Effect of Terminal Disclaimer on Term
Extension of Time (37 CFR 1.136)
Judicial Review of Board Decisions
Notice of Expiration
Notice of Intent to Issue Reexamination Certificate (NIRC)
PTAB Jurisdiction
Time for Judicial Appeal
37 CFR § 90.3
Judicial Review of Board Decisions
Time for Judicial Appeal
37 CFR § 90.3(c)
Appeal to Federal Circuit
Extension of Time (37 CFR 1.136)
PTAB Jurisdiction
Time for Judicial Appeal
MPEP § 1206
New Ground of Rejection by Board
PTAB Jurisdiction
Request for Rehearing
MPEP § 1214.01
New Ground of Rejection by BoardMPEP § 1214.03
Judicial Review of Board Decisions
Time for Judicial Appeal
MPEP § 1216
Appeals in ReexaminationMPEP § 1216.01
MPEP § 2278
PTAB JurisdictionMPEP § 804
Effect of Terminal Disclaimer on TermMPEP § 804.02
PTAB JurisdictionMPEP § 809
PTAB JurisdictionMPEP § 821.04
Form Paragraph § 12.297

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