MPEP § 609.02 — Information Disclosure Statements in Continued Examinations or Continuing Applications (Annotated Rules)

§609.02 Information Disclosure Statements in Continued Examinations or Continuing Applications

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

This page consolidates and annotates all enforceable requirements under MPEP § 609.02, 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.

Information Disclosure Statements in Continued Examinations or Continuing Applications

This section addresses Information Disclosure Statements in Continued Examinations or Continuing Applications. Primary authority: 37 CFR 1.98(a)(1), 37 CFR 1.97, and 37 CFR 1.98. Contains: 1 requirement, 2 guidance statements, 3 permissions, and 4 other statements.

Key Rules

Topic

Sequence Listing Format

8 rules
StatutoryRecommendedAlways
[mpep-609-02-01040a93e2356771fb5e0d36]
Resubmission of Sequence Listing Must Comply with Format and Timing Requirements
Note:
Applicants must submit a new sequence listing that meets the format requirements in 37 CFR 1.98(a)(1) and the timing requirements of 37 CFR 1.97 when resubmitting information.

If resubmitting a listing of the information, applicant should submit a new listing that complies with the format requirements in 37 CFR 1.98(a)(1) and the timing requirements of 37 CFR 1.97. Applicants are strongly discouraged from submitting a list that includes copies of PTO/SB/08 or PTO-892 forms from other applications. A completed PTO/SB/08 form from another application may already have initials of an examiner and the application number of another application. This information will likely confuse the record. Furthermore, when the spaces provided on the form have initials of an examiner, there are no spaces available next to the documents listed for the examiner of the subsequent application to provide his or her initials, and the previously relevant initials may be erroneously construed as being applied for the current application.

Jump to MPEP Source · 37 CFR 1.98(a)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryInformativeAlways
[mpep-609-02-b3e0ac33733596b2ded9fb17]
Submit New Listing Compliant with Format Requirements
Note:
Applicants should submit a new listing that meets the format requirements instead of resubmitting a list including copies of PTO/SB/08 or PTO-892 forms from other applications.

If resubmitting a listing of the information, applicant should submit a new listing that complies with the format requirements in 37 CFR 1.98(a)(1) and the timing requirements of 37 CFR 1.97. Applicants are strongly discouraged from submitting a list that includes copies of PTO/SB/08 or PTO-892 forms from other applications. A completed PTO/SB/08 form from another application may already have initials of an examiner and the application number of another application. This information will likely confuse the record. Furthermore, when the spaces provided on the form have initials of an examiner, there are no spaces available next to the documents listed for the examiner of the subsequent application to provide his or her initials, and the previously relevant initials may be erroneously construed as being applied for the current application.

Jump to MPEP Source · 37 CFR 1.98(a)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryPermittedAlways
[mpep-609-02-eb9024ee28df28bc0966622e]
PTO/SB/08 Form May Contain Examiner Initials from Another Application
Note:
A PTO/SB/08 form submitted for a new application may already include initials of an examiner and the application number from another application, which can cause confusion.

If resubmitting a listing of the information, applicant should submit a new listing that complies with the format requirements in 37 CFR 1.98(a)(1) and the timing requirements of 37 CFR 1.97. Applicants are strongly discouraged from submitting a list that includes copies of PTO/SB/08 or PTO-892 forms from other applications. A completed PTO/SB/08 form from another application may already have initials of an examiner and the application number of another application. This information will likely confuse the record. Furthermore, when the spaces provided on the form have initials of an examiner, there are no spaces available next to the documents listed for the examiner of the subsequent application to provide his or her initials, and the previously relevant initials may be erroneously construed as being applied for the current application.

Jump to MPEP Source · 37 CFR 1.98(a)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryPermittedAlways
[mpep-609-02-e6aace3cd589b6677d1db0e8]
Initials May Be Misattributed In Sequence Listings
Note:
Applicants must ensure that initials of examiners from previous applications are not mistakenly applied to current listings due to lack of space.

If resubmitting a listing of the information, applicant should submit a new listing that complies with the format requirements in 37 CFR 1.98(a)(1) and the timing requirements of 37 CFR 1.97. Applicants are strongly discouraged from submitting a list that includes copies of PTO/SB/08 or PTO-892 forms from other applications. A completed PTO/SB/08 form from another application may already have initials of an examiner and the application number of another application. This information will likely confuse the record. Furthermore, when the spaces provided on the form have initials of an examiner, there are no spaces available next to the documents listed for the examiner of the subsequent application to provide his or her initials, and the previously relevant initials may be erroneously construed as being applied for the current application.

Jump to MPEP Source · 37 CFR 1.98(a)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryRecommendedAlways
[mpep-609-02-d708ee138f57a1b7d2a8a841]
New Listing Must Comply with Format Requirements
Note:
Applicants must resubmit a new sequence listing that adheres to the specified format requirements when updating an existing application.

When resubmitting a listing of the information, applicant should submit a new listing that complies with the format requirements in 37 CFR 1.98(a)(1). Applicants are strongly discouraged from submitting a list that includes copies of PTO/SB/08 or PTO-892 forms from other applications. A PTO/SB/08 form from another application may already have the application number of another application. This information will likely confuse the record.

Jump to MPEP Source · 37 CFR 1.98(a)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryInformativeAlways
[mpep-609-02-c8236c697bd6cb992940f087]
Do Not Include PTO/SB/08 or PTO-892 Copies
Note:
Applicants should not include copies of PTO/SB/08 or PTO-892 forms from other applications in their resubmitted list.

When resubmitting a listing of the information, applicant should submit a new listing that complies with the format requirements in 37 CFR 1.98(a)(1). Applicants are strongly discouraged from submitting a list that includes copies of PTO/SB/08 or PTO-892 forms from other applications. A PTO/SB/08 form from another application may already have the application number of another application. This information will likely confuse the record.

Jump to MPEP Source · 37 CFR 1.98(a)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryPermittedAlways
[mpep-609-02-a5f6c86ffee75a0cd9895529]
PTO/SB/08 Form May Include Another Application Number
Note:
A PTO/SB/08 form from another application may already contain the application number of a different application, which can confuse the record.

When resubmitting a listing of the information, applicant should submit a new listing that complies with the format requirements in 37 CFR 1.98(a)(1). Applicants are strongly discouraged from submitting a list that includes copies of PTO/SB/08 or PTO-892 forms from other applications. A PTO/SB/08 form from another application may already have the application number of another application. This information will likely confuse the record.

Jump to MPEP Source · 37 CFR 1.98(a)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryInformativeAlways
[mpep-609-02-c351c92090bdddeca17a6ad5]
New Sequence Listing Required for Resubmission
Note:
Applicants must submit a new sequence listing that complies with the format requirements when resubmitting information.

When resubmitting a listing of the information, applicant should submit a new listing that complies with the format requirements in 37 CFR 1.98(a)(1). Applicants are strongly discouraged from submitting a list that includes copies of PTO/SB/08 or PTO-892 forms from other applications. A PTO/SB/08 form from another application may already have the application number of another application. This information will likely confuse the record.

Jump to MPEP Source · 37 CFR 1.98(a)(1)Sequence Listing FormatSequence Listing Requirements
Topic

RCE Filing Requirements

3 rules
StatutoryInformativeAlways
[mpep-609-02-e703ebcb30147ad8cf5127da]
IDS Considered After RCE
Note:
Information filed in compliance with 37 CFR 1.98 before filing a RCE will be considered by the examiner after the RCE is filed.

Information filed in the application in compliance with the content requirements of 37 CFR 1.98 before the filing of a RCE will be considered by the examiner after the filing of the RCE. For example, an applicant filed an IDS in compliance with 37 CFR 1.98 after the mailing of a final Office action, but the IDS did not comply with the requirements of 37 CFR 1.97(d)(1) and (d)(2) and therefore, the IDS was not considered by the examiner. After applicant files a RCE, the examiner will consider the IDS filed prior to the filing of the RCE. For more details on RCE, see MPEP § 706.07(h).

Jump to MPEP Source · 37 CFR 1.98RCE Filing RequirementsRCE vs Continuation ApplicationRequest for Continued Examination
StatutoryInformativeAlways
[mpep-609-02-0b9360dd74441ca8e928ba2b]
IDS Filed Before RCE Must Be Considered
Note:
An IDS filed prior to the filing of a RCE will be considered by the examiner after the RCE is filed.

Information filed in the application in compliance with the content requirements of 37 CFR 1.98 before the filing of a RCE will be considered by the examiner after the filing of the RCE. For example, an applicant filed an IDS in compliance with 37 CFR 1.98 after the mailing of a final Office action, but the IDS did not comply with the requirements of 37 CFR 1.97(d)(1) and (d)(2) and therefore, the IDS was not considered by the examiner. After applicant files a RCE, the examiner will consider the IDS filed prior to the filing of the RCE. For more details on RCE, see MPEP § 706.07(h).

Jump to MPEP Source · 37 CFR 1.98RCE Filing RequirementsSubmission with RCERCE vs Continuation Application
StatutoryInformativeAlways
[mpep-609-02-22e29b8286b4ab5ac1ba940d]
IDS Considered After RCE
Note:
An IDS filed in compliance with 37 CFR 1.98 before a RCE will be considered by the examiner after filing the RCE.

Information filed in the application in compliance with the content requirements of 37 CFR 1.98 before the filing of a RCE will be considered by the examiner after the filing of the RCE. For example, an applicant filed an IDS in compliance with 37 CFR 1.98 after the mailing of a final Office action, but the IDS did not comply with the requirements of 37 CFR 1.97(d)(1) and (d)(2) and therefore, the IDS was not considered by the examiner. After applicant files a RCE, the examiner will consider the IDS filed prior to the filing of the RCE. For more details on RCE, see MPEP § 706.07(h).

Jump to MPEP Source · 37 CFR 1.98RCE Filing RequirementsRCE vs Continuation ApplicationRequest for Continued Examination
Topic

Article 19 Amendment Scope

2 rules
StatutoryInformativeAlways
[mpep-609-02-b8bdf01c8ab773e9fa79fbab]
No Need to Submit IDS for Parent Art Cited in Parent App
Note:
Applicants do not need to submit an information disclosure statement listing prior art cited by the examiner in a parent application when filing a continuing application claiming benefit under 35 U.S.C. 120, unless they want the information printed on the patent.

When filing a continuing application that claims benefit under 35 U.S.C. 120 to a parent application (other than an international application that designated the U.S.), it will not be necessary for the applicant to submit an information disclosure statement in the continuing application that lists the prior art cited by the examiner in the parent application unless the applicant desires the information to be printed on the patent issuing from the continuing application (for continued prosecution applications filed under 37 CFR 1.53(d), see subsection A.1. below). The examiner of the continuing application will consider information which has been considered by the Office in the parent application.

Jump to MPEP Source · 37 CFR 1.53(d)Article 19 Amendment ScopeStatement Under Article 19PCT Description Requirements
StatutoryInformativeAlways
[mpep-609-02-9370c77b2f8d020f14adaf69]
Information Disclosure Statement Required for International Applications
Note:
Applicants must submit an information disclosure statement listing cited documents from the international search report and/or preliminary examination report when filing a continuing application claiming benefit under 35 U.S.C. 120.

When filing a continuing application that claims benefit under 35 U.S.C. 120 to an international application that designated the U.S. (see MPEP § 1895), it will be necessary for the applicant to submit an information disclosure statement complying with 37 CFR 1.97 and 1.98 in the continuing application listing the documents cited in the international search report and/or the international preliminary examination report of the international application if applicant wishes to ensure that the information is considered by the examiner in the continuing application.

Jump to MPEP Source · 37 CFR 1.97Article 19 Amendment ScopeStatement Under Article 19Article 19 Amendment Timing
Topic

CIP Filing Requirements

2 rules
StatutoryInformativeAlways
[mpep-609-02-fc9eaec828d8fca6c8bb756e]
Information from Parent App Considered in Continuation
Note:
The examiner will consider information previously considered by the Office in a parent application when examining a continuation, divisional, or continuation-in-part application.

The examiner will consider information which has been considered by the Office in a parent application (other than an international application; see subsection I., above) when examining: (A) a continuation application filed under 37 CFR 1.53(b), (B) a divisional application filed under 37 CFR 1.53(b), or (C) a continuation-in-part application filed under 37 CFR 1.53(b). A listing of the information need not be resubmitted in the continuing application unless the applicant desires the information to be printed on the patent.

Jump to MPEP Source · 37 CFR 1.53(b)CIP Filing RequirementsContinuation-in-Part ApplicationsPCT International Applications
StatutoryInformativeAlways
[mpep-609-02-eb23bdc44e19c5db5e33736b]
Information Not Required to be Resubmitted in Continuing Applications
Note:
Applicants do not need to resubmit information from the parent application unless they want it printed on the patent.

The examiner will consider information which has been considered by the Office in a parent application (other than an international application; see subsection I., above) when examining: (A) a continuation application filed under 37 CFR 1.53(b), (B) a divisional application filed under 37 CFR 1.53(b), or (C) a continuation-in-part application filed under 37 CFR 1.53(b). A listing of the information need not be resubmitted in the continuing application unless the applicant desires the information to be printed on the patent.

Jump to MPEP Source · 37 CFR 1.53(b)CIP Filing RequirementsContinuation-in-Part ApplicationsPCT International Applications
Topic

Application Types and Filing

2 rules
StatutoryRequiredAlways
[mpep-609-02-f845c32baff4cbc52397f81a]
Resubmit Information Not Considered In Parent Application
Note:
Applicant must resubmit information from the parent application that was not considered in the continuing application, following specific compliance requirements.

For these types of applications, in order to ensure consideration of information previously submitted, but not considered, in a parent application, applicant must resubmit the information in the continuing application in compliance with 37 CFR 1.97 and 37 CFR 1.98. Pursuant to 37 CFR 1.98(d), if the IDS submitted in the parent application complies with 37 CFR 1.98(a) to (c), copies of the patents, publications, pending U.S. applications, or other information submitted in the parent application need not be resubmitted in the continuing application.

Jump to MPEP Source · 37 CFR 1.97Application Types and Filing
StatutoryInformativeAlways
[mpep-609-02-20dbbb3cb8b27d378e9d6630]
Parent IDS Compliance Not Requiring Resubmission
Note:
If the IDS in the parent application complies with specific requirements, no need to resubmit copies of patents, publications, or other information in the continuing application.

For these types of applications, in order to ensure consideration of information previously submitted, but not considered, in a parent application, applicant must resubmit the information in the continuing application in compliance with 37 CFR 1.97 and 37 CFR 1.98. Pursuant to 37 CFR 1.98(d), if the IDS submitted in the parent application complies with 37 CFR 1.98(a) to (c), copies of the patents, publications, pending U.S. applications, or other information submitted in the parent application need not be resubmitted in the continuing application.

Jump to MPEP Source · 37 CFR 1.97Application Types and Filing
Topic

Interviews in National Stage

1 rules
StatutoryInformativeAlways
[mpep-609-02-64662fc1b09eee65e133055c]
Examiner of Continuing Application Considers Parent Examined Information
Note:
The examiner reviewing a continuing application will consider information previously examined in the parent application, unless otherwise specified.

When filing a continuing application that claims benefit under 35 U.S.C. 120 to a parent application (other than an international application that designated the U.S.), it will not be necessary for the applicant to submit an information disclosure statement in the continuing application that lists the prior art cited by the examiner in the parent application unless the applicant desires the information to be printed on the patent issuing from the continuing application (for continued prosecution applications filed under 37 CFR 1.53(d), see subsection A.1. below). The examiner of the continuing application will consider information which has been considered by the Office in the parent application.

Jump to MPEP Source · 37 CFR 1.53(d)Interviews in National StageArticle 19 Amendment ScopeStatement Under Article 19
Topic

International Searching Authority (ISA)

1 rules
StatutoryInformativeAlways
[mpep-609-02-cf069ea603548cf582666cb3]
Documents Cited in International Search Report Must Be Considered
Note:
The rule requires that documents cited in the international search report must be considered during a PCT national stage application.

See MPEP § 609.03 for consideration of documents cited in the international search report in a PCT national stage application.

Jump to MPEP SourceInternational Searching Authority (ISA)International Search ReportAmendments in National Stage
Topic

Continued Prosecution Applications

1 rules
StatutoryInformativeAlways
[mpep-609-02-d78dcc274ebe3577b2e35ef7]
Information from Parent App Included in CPA
Note:
Information considered by the Office in the parent application of a continued prosecution application does not need to be resubmitted and will be part of the file before the examiner.

Information which has been considered by the Office in the parent application of a continued prosecution application (CPA) filed under 37 CFR 1.53(d) will be part of the file before the examiner and need not be resubmitted in the continuing application to have the information considered and listed on the patent.

Jump to MPEP Source · 37 CFR 1.53(d)Continued Prosecution ApplicationsApplication Types and Filing
Topic

Submission with RCE

1 rules
StatutoryInformativeAlways
[mpep-609-02-1c7d67002b799901e327f29e]
IDS Not Considered Without Proper Format After RCE
Note:
An IDS filed after a final Office action but not complying with specific requirements cannot be considered by the examiner until an RCE is filed.

Information filed in the application in compliance with the content requirements of 37 CFR 1.98 before the filing of a RCE will be considered by the examiner after the filing of the RCE. For example, an applicant filed an IDS in compliance with 37 CFR 1.98 after the mailing of a final Office action, but the IDS did not comply with the requirements of 37 CFR 1.97(d)(1) and (d)(2) and therefore, the IDS was not considered by the examiner. After applicant files a RCE, the examiner will consider the IDS filed prior to the filing of the RCE. For more details on RCE, see MPEP § 706.07(h).

Jump to MPEP Source · 37 CFR 1.98Submission with RCEExamination ProceduresRCE Filing Requirements

Citations

Primary topicCitation
Article 19 Amendment Scope
Interviews in National Stage
35 U.S.C. § 120
CIP Filing Requirements37 CFR § 1.53(b)
Article 19 Amendment Scope
Continued Prosecution Applications
Interviews in National Stage
37 CFR § 1.53(d)
Application Types and Filing
Article 19 Amendment Scope
Sequence Listing Format
37 CFR § 1.97
RCE Filing Requirements
Submission with RCE
37 CFR § 1.97(d)(1)
Application Types and Filing
RCE Filing Requirements
Submission with RCE
37 CFR § 1.98
Application Types and Filing37 CFR § 1.98(a)
Sequence Listing Format37 CFR § 1.98(a)(1)
Application Types and Filing37 CFR § 1.98(d)
Article 19 Amendment ScopeMPEP § 1895
International Searching Authority (ISA)MPEP § 609.03
RCE Filing Requirements
Submission with RCE
MPEP § 706.07(h)

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