MPEP § 1418 — Notification of Prior/Concurrent Proceedings and Decisions Thereon, and of Information Known To Be Material to Patentability (Annotated Rules)

§1418 Notification of Prior/Concurrent Proceedings and Decisions Thereon, and of Information Known To Be Material to Patentability

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

This page consolidates and annotates all enforceable requirements under MPEP § 1418, 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.

Notification of Prior/Concurrent Proceedings and Decisions Thereon, and of Information Known To Be Material to Patentability

This section addresses Notification of Prior/Concurrent Proceedings and Decisions Thereon, and of Information Known To Be Material to Patentability. Primary authority: 37 CFR 1.178(b), 37 CFR 1.178, and 37 CFR 1.56. Contains: 1 requirement, 1 prohibition, 1 permission, and 4 other statements.

Key Rules

Topic

Disclosure of Litigation

2 rules
StatutoryInformativeAlways
[mpep-1418-cc99233c030a8782c59073bd]
Disclosure of Litigation Involving Patent
Note:
Reissue applicants must inform the Office about any prior or concurrent proceedings involving the patent and their outcomes.

37 CFR 1.178(b) requires reissue applicants to call to the attention of the Office any prior or concurrent proceeding in which the patent (for which reissue is requested) is or was involved and the results of such proceedings. These proceedings would include interferences or trials before the Patent Trial and Appeal Board, reissues, reexaminations, and litigations. Litigation would encompass any papers filed in the court or issued by the court, which may include, for example, motions, pleadings, and court decisions. This duty to submit information is continuing, and runs from the time the reissue application is filed until the reissue application is abandoned or issues as a reissue patent.

Jump to MPEP Source · 37 CFR 1.178(b)Disclosure of LitigationPTAB JurisdictionConcurrent Reissue Proceedings
StatutoryPermittedAlways
[mpep-1418-08c4ddf98d02cc56ac370786]
Disclosure of Litigation Involving Patent
Note:
Reissue applicants must disclose any litigation involving the patent, including motions and court decisions, from the time the application is filed until it issues or is abandoned.

37 CFR 1.178(b) requires reissue applicants to call to the attention of the Office any prior or concurrent proceeding in which the patent (for which reissue is requested) is or was involved and the results of such proceedings. These proceedings would include interferences or trials before the Patent Trial and Appeal Board, reissues, reexaminations, and litigations. Litigation would encompass any papers filed in the court or issued by the court, which may include, for example, motions, pleadings, and court decisions. This duty to submit information is continuing, and runs from the time the reissue application is filed until the reissue application is abandoned or issues as a reissue patent.

Jump to MPEP Source · 37 CFR 1.178(b)Disclosure of LitigationReissue and LitigationReissue Patent Practice
Topic

Duty of Disclosure in Reissue

2 rules
StatutoryInformativeAlways
[mpep-1418-6edc584a8f6ee7e9490d1a5d]
Duty of Disclosure for Reissue Applications
Note:
Reissue applications must disclose all material information to patentability as required by other nonprovisional applications.

In addition, a reissue application is subject to the same duty of disclosure requirements as is any other nonprovisional application. A person may not execute an oath or declaration unless that person is "aware of the duty to disclose to the Office all information known to the person to be material to patentability as defined in § 1.56." 37 CFR 1.63. For reissue applications filed before September 16, 2012, the provisions of pre-AIA 37 CFR 1.63 require acknowledgment of this duty of disclosure in the reissue oath or declaration. Note that the Office imposes no responsibility on a reissue applicant to resubmit, in a reissue application, all the "References Cited" in the patent for which reissue is sought. Rather, applicant has a continuing duty under 37 CFR 1.56 to timely apprise the Office of any information which is material to the patentability of the claims under consideration in the reissue application.

Jump to MPEP Source · 37 CFR 1.56Duty of Disclosure in ReissueDuty of Disclosure FundamentalsReissue Examination
StatutoryRequiredAlways
[mpep-1418-0f7be60762ce15e61d1a8cdb]
Disclosure Requirement for Reissue Applicants
Note:
Reissue applicants must still comply with the duty to disclose material information under 37 CFR 1.175 even if they use 37 CFR 1.97 and 37 CFR 1.98.

37 CFR 1.97 and 37 CFR 1.98 provide a mechanism to submit information known to applicants to be material to patentability. Information submitted in compliance with 37 CFR 1.97 and 37 CFR 1.98 will be considered by the Office. See MPEP § 609. Although a reissue applicant may utilize 37 CFR 1.97 and 37 CFR 1.98 to comply with the duty of disclosure required by 37 CFR 1.56, this does not relieve applicant of the duties under 37 CFR 1.175 of, for example, stating "at least one error being relied upon."

Jump to MPEP Source · 37 CFR 1.97Duty of Disclosure in ReissueReissue Oath/Declaration ContentError Identification in Oath
Topic

Scope of Duty

2 rules
StatutoryProhibitedAlways
[mpep-1418-7ae8a1f1ac106dbed573d841]
Oath/Declaration Requires Disclosure of Material Information
Note:
A person must disclose to the Office all information known to be material to patentability when executing an oath or declaration.

In addition, a reissue application is subject to the same duty of disclosure requirements as is any other nonprovisional application. A person may not execute an oath or declaration unless that person is "aware of the duty to disclose to the Office all information known to the person to be material to patentability as defined in § 1.56." 37 CFR 1.63. For reissue applications filed before September 16, 2012, the provisions of pre-AIA 37 CFR 1.63 require acknowledgment of this duty of disclosure in the reissue oath or declaration. Note that the Office imposes no responsibility on a reissue applicant to resubmit, in a reissue application, all the "References Cited" in the patent for which reissue is sought. Rather, applicant has a continuing duty under 37 CFR 1.56 to timely apprise the Office of any information which is material to the patentability of the claims under consideration in the reissue application.

Jump to MPEP Source · 37 CFR 1.56Scope of DutyMaterial Information DefinitionDuty of Disclosure in Reissue
StatutoryInformativeAlways
[mpep-1418-9a5dee47c770eb4499cf0df1]
Requirement for Submitting Material Information to Patent Office
Note:
Applicants must submit information known to be material to patentability as required by 37 CFR 1.97 and 1.98.

37 CFR 1.97 and 37 CFR 1.98 provide a mechanism to submit information known to applicants to be material to patentability. Information submitted in compliance with 37 CFR 1.97 and 37 CFR 1.98 will be considered by the Office. See MPEP § 609. Although a reissue applicant may utilize 37 CFR 1.97 and 37 CFR 1.98 to comply with the duty of disclosure required by 37 CFR 1.56, this does not relieve applicant of the duties under 37 CFR 1.175 of, for example, stating "at least one error being relied upon."

Jump to MPEP Source · 37 CFR 1.97Scope of DutyMaterial Information DefinitionDuty of Disclosure in Reissue
Topic

Reissue and PTAB Proceedings

1 rules
StatutoryInformativeAlways
[mpep-1418-0ee1741d13c8fc16ec9eb5fa]
Reissue Applicants Must Disclose Concurrent Proceedings
Note:
Reissue applicants must disclose any prior or concurrent proceedings involving the patent, including interferences, trials before PTAB, reissues, reexaminations, and litigations, from application filing until abandonment.

37 CFR 1.178(b) requires reissue applicants to call to the attention of the Office any prior or concurrent proceeding in which the patent (for which reissue is requested) is or was involved and the results of such proceedings. These proceedings would include interferences or trials before the Patent Trial and Appeal Board, reissues, reexaminations, and litigations. Litigation would encompass any papers filed in the court or issued by the court, which may include, for example, motions, pleadings, and court decisions. This duty to submit information is continuing, and runs from the time the reissue application is filed until the reissue application is abandoned or issues as a reissue patent.

Jump to MPEP Source · 37 CFR 1.178(b)Reissue and PTAB ProceedingsPTAB JurisdictionPTAB Contested Case Procedures
Topic

Reissue Patent Practice

1 rules
StatutoryInformativeAlways
[mpep-1418-d6fedcdc439e278814e8d740]
Continuing Duty to Submit Information for Reissue Patent
Note:
Reissue applicants must continually inform the Office about prior or concurrent proceedings involving the patent until the reissue application is abandoned or issued.

37 CFR 1.178(b) requires reissue applicants to call to the attention of the Office any prior or concurrent proceeding in which the patent (for which reissue is requested) is or was involved and the results of such proceedings. These proceedings would include interferences or trials before the Patent Trial and Appeal Board, reissues, reexaminations, and litigations. Litigation would encompass any papers filed in the court or issued by the court, which may include, for example, motions, pleadings, and court decisions. This duty to submit information is continuing, and runs from the time the reissue application is filed until the reissue application is abandoned or issues as a reissue patent.

Jump to MPEP Source · 37 CFR 1.178(b)Reissue Patent PracticeReissue and PTAB ProceedingsDisclosure of Litigation
Topic

AIA Effective Dates

1 rules
StatutoryInformativeAlways
[mpep-1418-af8af10a7fd6e0fa03bf01a5]
Duty of Disclosure for Reissue Applications Before September 16, 2012
Note:
For reissue applications filed before September 16, 2012, applicants must acknowledge the duty to disclose all material information known to them regarding patentability in the oath or declaration.

In addition, a reissue application is subject to the same duty of disclosure requirements as is any other nonprovisional application. A person may not execute an oath or declaration unless that person is "aware of the duty to disclose to the Office all information known to the person to be material to patentability as defined in § 1.56." 37 CFR 1.63. For reissue applications filed before September 16, 2012, the provisions of pre-AIA 37 CFR 1.63 require acknowledgment of this duty of disclosure in the reissue oath or declaration. Note that the Office imposes no responsibility on a reissue applicant to resubmit, in a reissue application, all the "References Cited" in the patent for which reissue is sought. Rather, applicant has a continuing duty under 37 CFR 1.56 to timely apprise the Office of any information which is material to the patentability of the claims under consideration in the reissue application.

Jump to MPEP Source · 37 CFR 1.56AIA Effective DatesAIA Oath/Declaration Requirements (37 CFR 1.63)Pre-AIA Oath/Declaration Requirements
Topic

Assignee as Applicant Signature

1 rules
StatutoryInformativeAlways
[mpep-1418-78766770b6adcf428a9d0fd0]
No Duty to Resubmit References in Reissue Application
Note:
The Office does not require reissue applicants to resubmit all 'References Cited' from the original patent, but maintains a continuing duty to disclose material information.

In addition, a reissue application is subject to the same duty of disclosure requirements as is any other nonprovisional application. A person may not execute an oath or declaration unless that person is "aware of the duty to disclose to the Office all information known to the person to be material to patentability as defined in § 1.56." 37 CFR 1.63. For reissue applications filed before September 16, 2012, the provisions of pre-AIA 37 CFR 1.63 require acknowledgment of this duty of disclosure in the reissue oath or declaration. Note that the Office imposes no responsibility on a reissue applicant to resubmit, in a reissue application, all the "References Cited" in the patent for which reissue is sought. Rather, applicant has a continuing duty under 37 CFR 1.56 to timely apprise the Office of any information which is material to the patentability of the claims under consideration in the reissue application.

Jump to MPEP Source · 37 CFR 1.56Assignee as Applicant SignatureApplicant and Assignee Filing Under AIAReissue Patent Practice
Topic

Material Information Definition

1 rules
StatutoryInformativeAlways
[mpep-1418-72c57951831f550a74309266]
Applicant Must Timely Disclose Material Information
Note:
The applicant has a continuing duty to promptly inform the Office about any information that is relevant to the patentability of claims in a reissue application.

In addition, a reissue application is subject to the same duty of disclosure requirements as is any other nonprovisional application. A person may not execute an oath or declaration unless that person is "aware of the duty to disclose to the Office all information known to the person to be material to patentability as defined in § 1.56." 37 CFR 1.63. For reissue applications filed before September 16, 2012, the provisions of pre-AIA 37 CFR 1.63 require acknowledgment of this duty of disclosure in the reissue oath or declaration. Note that the Office imposes no responsibility on a reissue applicant to resubmit, in a reissue application, all the "References Cited" in the patent for which reissue is sought. Rather, applicant has a continuing duty under 37 CFR 1.56 to timely apprise the Office of any information which is material to the patentability of the claims under consideration in the reissue application.

Jump to MPEP Source · 37 CFR 1.56Material Information DefinitionDuty of Disclosure in ReissueAssignee as Applicant Signature
Topic

Examiner Consideration of IDS

1 rules
StatutoryInformativeAlways
[mpep-1418-f7a85b8ffabc32b465968eeb]
Information Known to Be Material to Patentability Must be Submitted
Note:
Applicants must submit information known to be material to patentability in compliance with 37 CFR 1.97 and 37 CFR 1.98 for consideration by the Office.

37 CFR 1.97 and 37 CFR 1.98 provide a mechanism to submit information known to applicants to be material to patentability. Information submitted in compliance with 37 CFR 1.97 and 37 CFR 1.98 will be considered by the Office. See MPEP § 609. Although a reissue applicant may utilize 37 CFR 1.97 and 37 CFR 1.98 to comply with the duty of disclosure required by 37 CFR 1.56, this does not relieve applicant of the duties under 37 CFR 1.175 of, for example, stating "at least one error being relied upon."

Jump to MPEP Source · 37 CFR 1.97Examiner Consideration of IDSInformation Disclosure StatementReissue Oath/Declaration Content
Topic

Mailing Date Determination

1 rules
StatutoryInformativeAlways
[mpep-1418-3cf1eb8bd493c77803ce0337]
Reissue Applicants Must File Information Disclosure Statements at Filing
Note:
Reissue applicants are required to file information disclosure statements with their application so that such statements will be available during the public review period.

While 37 CFR 1.97(b) provides for the filing of an information disclosure statement within 3 months of the filing of an application or before the mailing date of a first Office action, reissue applicants are encouraged to file information disclosure statements at the time of filing of the reissue application so that such statements will be available to the public during the 2-month period provided in MPEP § 1441. Form paragraph 14.11.01 may be used to remind applicant of the duties to timely make the Office aware of (A) any prior or concurrent proceeding (e.g., litigation or Office proceedings) in which the patent to be reissued is or was involved, and (B) any information which is material to patentability of the claims in the reissue application.

Jump to MPEP Source · 37 CFR 1.97(b)Mailing Date DeterminationFirst Action on Merits (FAOM)Mailing of Office Actions
Topic

Form Paragraph Usage

1 rules
StatutoryPermittedAlways
[mpep-1418-c394fe809f9b94ed69c18c03]
Reminder of Duties for Reissue Application
Note:
Reminds applicants to inform the Office about prior or concurrent proceedings and material information regarding patentability.

While 37 CFR 1.97(b) provides for the filing of an information disclosure statement within 3 months of the filing of an application or before the mailing date of a first Office action, reissue applicants are encouraged to file information disclosure statements at the time of filing of the reissue application so that such statements will be available to the public during the 2-month period provided in MPEP § 1441. Form paragraph 14.11.01 may be used to remind applicant of the duties to timely make the Office aware of (A) any prior or concurrent proceeding (e.g., litigation or Office proceedings) in which the patent to be reissued is or was involved, and (B) any information which is material to patentability of the claims in the reissue application.

Jump to MPEP Source · 37 CFR 1.97(b)Form Paragraph UsageForm ParagraphsDisclosure of Litigation

Citations

Primary topicCitation
Duty of Disclosure in Reissue
Examiner Consideration of IDS
Scope of Duty
37 CFR § 1.175
Disclosure of Litigation
Reissue Patent Practice
Reissue and PTAB Proceedings
37 CFR § 1.178(b)
AIA Effective Dates
Assignee as Applicant Signature
Duty of Disclosure in Reissue
Examiner Consideration of IDS
Material Information Definition
Scope of Duty
37 CFR § 1.56
AIA Effective Dates
Assignee as Applicant Signature
Duty of Disclosure in Reissue
Material Information Definition
Scope of Duty
37 CFR § 1.63
Duty of Disclosure in Reissue
Examiner Consideration of IDS
Scope of Duty
37 CFR § 1.97
Form Paragraph Usage
Mailing Date Determination
37 CFR § 1.97(b)
Duty of Disclosure in Reissue
Examiner Consideration of IDS
Scope of Duty
37 CFR § 1.98
Form Paragraph Usage
Mailing Date Determination
MPEP § 1441
Duty of Disclosure in Reissue
Examiner Consideration of IDS
Scope of Duty
MPEP § 609
Form Paragraph Usage
Mailing Date Determination
Form Paragraph § 14.11.01

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