MPEP § 804.04 — Submission to Technology Center Director (Annotated Rules)

§804.04 Submission to Technology Center Director

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

This page consolidates and annotates all enforceable requirements under MPEP § 804.04, 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.

Submission to Technology Center Director

This section addresses Submission to Technology Center Director. Primary authority: 35 U.S.C. 121 and 37 CFR 121. Contains: 1 requirement, 3 prohibitions, 2 permissions, and 5 other statements.

Key Rules

Topic

Restriction Requirement (MPEP 802-803)

8 rules
StatutoryProhibitedAlways
[mpep-804-04-a7ca891ac23ee4927cb1612d]
Claim from Restriction Not Subject to Double Patenting
Note:
A claimed invention from a divisional application that was subject to a restriction requirement in the original application cannot be rejected under nonstatutory double patenting unless the restriction requirement was withdrawn.

When a claimed invention that was the subject of a restriction requirement in one application is presented in a divisional application, a nonstatutory double patenting rejection cannot be applied to that claimed invention unless the restriction requirement was withdrawn. A nonstatutory double patenting rejection may be appropriate in situations in which the invention presented in the divisional is not the same invention that was the subject of the restriction requirement. “When the PTO requires an applicant to withdraw claims to a patentably distinct invention (a restriction requirement), § 121 shields those withdrawn claims in a later divisional application against rejection over a patent that issues from the original application…. [I]f an examiner issues a restriction requirement between patentably indistinct claims, two patents may issue and prolong patent protection beyond the statutory term on obvious variants of the same invention. This prolongation would occur because section 121 would immunize the restricted application against nonstatutory double patenting rejections.” Geneva Pharmaceuticals Inc. v. GlaxoSmithKline PLC, 349 F.3d 1373, 1381, 68 USPQ2d 1865, 1869 (Fed. Cir. 2003).

Jump to MPEP Source · 37 CFR 121Restriction Requirement (MPEP 802-803)Restriction and Election Practice (MPEP Chapter 800)Distinct Inventions (MPEP 802.01)
StatutoryPermittedAlways
[mpep-804-04-7456c2e952d2294ae31f6faf]
Nonstatutory Double Patenting Rejection Not Applicable for Same Invention in Divisional
Note:
A nonstatutory double patenting rejection cannot be applied to a claimed invention that is the same as the one subject to a restriction requirement unless the restriction requirement was withdrawn.

When a claimed invention that was the subject of a restriction requirement in one application is presented in a divisional application, a nonstatutory double patenting rejection cannot be applied to that claimed invention unless the restriction requirement was withdrawn. A nonstatutory double patenting rejection may be appropriate in situations in which the invention presented in the divisional is not the same invention that was the subject of the restriction requirement. “When the PTO requires an applicant to withdraw claims to a patentably distinct invention (a restriction requirement), § 121 shields those withdrawn claims in a later divisional application against rejection over a patent that issues from the original application…. [I]f an examiner issues a restriction requirement between patentably indistinct claims, two patents may issue and prolong patent protection beyond the statutory term on obvious variants of the same invention. This prolongation would occur because section 121 would immunize the restricted application against nonstatutory double patenting rejections.” Geneva Pharmaceuticals Inc. v. GlaxoSmithKline PLC, 349 F.3d 1373, 1381, 68 USPQ2d 1865, 1869 (Fed. Cir. 2003).

Jump to MPEP Source · 37 CFR 121Restriction Requirement (MPEP 802-803)Restriction and Election Practice (MPEP Chapter 800)Distinct Inventions (MPEP 802.01)
StatutoryPermittedAlways
[mpep-804-04-2d7e9f7483b2fdaa2c29d769]
Patentably Indistinct Claims May Issue as Separate Patents
Note:
If an examiner issues a restriction requirement between patentably indistinct claims, two patents may issue and extend protection beyond the statutory term on obvious variants of the same invention.

When a claimed invention that was the subject of a restriction requirement in one application is presented in a divisional application, a nonstatutory double patenting rejection cannot be applied to that claimed invention unless the restriction requirement was withdrawn. A nonstatutory double patenting rejection may be appropriate in situations in which the invention presented in the divisional is not the same invention that was the subject of the restriction requirement. “When the PTO requires an applicant to withdraw claims to a patentably distinct invention (a restriction requirement), § 121 shields those withdrawn claims in a later divisional application against rejection over a patent that issues from the original application…. [I]f an examiner issues a restriction requirement between patentably indistinct claims, two patents may issue and prolong patent protection beyond the statutory term on obvious variants of the same invention. This prolongation would occur because section 121 would immunize the restricted application against nonstatutory double patenting rejections.” Geneva Pharmaceuticals Inc. v. GlaxoSmithKline PLC, 349 F.3d 1373, 1381, 68 USPQ2d 1865, 1869 (Fed. Cir. 2003).

Jump to MPEP Source · 37 CFR 121Restriction Requirement (MPEP 802-803)Restriction and Election Practice (MPEP Chapter 800)Distinct Inventions (MPEP 802.01)
StatutoryInformativeAlways
[mpep-804-04-10b8c95603dfa1623a2dc9b1]
Section 121 Immunes Restricted Application Against Nonstatutory Double Patenting Rejections
Note:
This rule states that a restricted application, when presented in a divisional application, is protected from nonstatutory double patenting rejections unless the restriction requirement was withdrawn.

When a claimed invention that was the subject of a restriction requirement in one application is presented in a divisional application, a nonstatutory double patenting rejection cannot be applied to that claimed invention unless the restriction requirement was withdrawn. A nonstatutory double patenting rejection may be appropriate in situations in which the invention presented in the divisional is not the same invention that was the subject of the restriction requirement. “When the PTO requires an applicant to withdraw claims to a patentably distinct invention (a restriction requirement), § 121 shields those withdrawn claims in a later divisional application against rejection over a patent that issues from the original application…. [I]f an examiner issues a restriction requirement between patentably indistinct claims, two patents may issue and prolong patent protection beyond the statutory term on obvious variants of the same invention. This prolongation would occur because section 121 would immunize the restricted application against nonstatutory double patenting rejections.” Geneva Pharmaceuticals Inc. v. GlaxoSmithKline PLC, 349 F.3d 1373, 1381, 68 USPQ2d 1865, 1869 (Fed. Cir. 2003).

Jump to MPEP Source · 37 CFR 121Restriction Requirement (MPEP 802-803)Restriction and Election Practice (MPEP Chapter 800)Distinct Inventions (MPEP 802.01)
StatutoryProhibitedAlways
[mpep-804-04-9a79fe75efc94a81f9190f3f]
Section 121 Insulates Patents from Double Patenting
Note:
When multiple patents result from a PTO restriction requirement, Section 121 protects inventors from double patenting charges.

“[W]hen the existence of multiple patents is due to the administrative requirements imposed by the Patent and Trademark Office, 35 U.S.C. Section 121 provides that the inventor shall not be prejudiced by having complied with those requirements. Thus when two or more patents result from a PTO restriction requirement, whereby aspects of the original application must be divided into separate applications, Section 121 insulates the ensuing patents from the charge of double patenting.” Applied Materials Inc. v. Advanced Semiconductor Materials, 98 F.3d 1563, 1568, 40 USPQ2d 1481, 1484 (Fed. Cir. 1996) (citing Studiengesellschaft Kohle mbH v. Northern Petrochemical Co., 784 F.2d 351, 354, 228 USPQ 837, 840 (Fed. Cir. 1986)).

Jump to MPEP SourceRestriction Requirement (MPEP 802-803)Maintenance Fee PaymentRestriction and Election Practice (MPEP Chapter 800)
StatutoryInformativeAlways
[mpep-804-04-5e9e1b1f3aa40195abdd165b]
Patents from Restriction Requirement Not Subject to Double Patenting
Note:
When multiple patents result from a PTO restriction requirement, Section 121 insulates them from double patenting charges.

“[W]hen the existence of multiple patents is due to the administrative requirements imposed by the Patent and Trademark Office, 35 U.S.C. Section 121 provides that the inventor shall not be prejudiced by having complied with those requirements. Thus when two or more patents result from a PTO restriction requirement, whereby aspects of the original application must be divided into separate applications, Section 121 insulates the ensuing patents from the charge of double patenting.” Applied Materials Inc. v. Advanced Semiconductor Materials, 98 F.3d 1563, 1568, 40 USPQ2d 1481, 1484 (Fed. Cir. 1996) (citing Studiengesellschaft Kohle mbH v. Northern Petrochemical Co., 784 F.2d 351, 354, 228 USPQ 837, 840 (Fed. Cir. 1986)).

Jump to MPEP SourceRestriction Requirement (MPEP 802-803)Maintenance Fee PaymentRestriction and Election Practice (MPEP Chapter 800)
StatutoryInformativeAlways
[mpep-804-04-fcfa2f8f9c49d63752e9a19f]
Double Patenting Not Prohibited After Crossing Line
Note:
This rule states that once the line demarcating independent and distinct inventions is crossed, the prohibition against double patenting in the third sentence of Section 121 does not apply.

“Consonance requires that the line of demarcation between the ‘independent and distinct inventions’ that prompted the restriction requirement be maintained… Where that line is crossed the prohibition -[against double patenting in] the third sentence of Section 121 does not apply.” Symbol Techs, Inc. v. Opticon, Inc., 935 F.2d 1569, 1579, 19 USPQ2d 1241, 1249 (Fed. Cir. 1991) (quoting Gerber Garment Technology Inc. v. Lectra Systems Inc., 916 F.2d 683, 688, 16 USPQ2d 1436, 1440 (Fed. Cir. 1990)); see also MPEP § 804.01. “ However, even if such consonance is lost, double patenting does not follow if the requirements of Section 121 are met or if the claims are in fact patentably distinct.… The purpose of Section 121 is to accommodate administrative convenience and to protect the patentee from technical flaws based on this unappealable examination practice.” Applied Materials, 98 F.3d at 1568, 40 USPQ at 1484.

Jump to MPEP SourceRestriction Requirement (MPEP 802-803)Restriction and Election Practice (MPEP Chapter 800)Distinct Inventions (MPEP 802.01)
StatutoryInformativeAlways
[mpep-804-04-244ae0f60b946680b7c5264d]
Section 121 Accommodates Administrative Convenience and Protects Patentees
Note:
This rule ensures that the patent examination process is administratively convenient while protecting patentees from technical flaws in unappealable examination practices.

“Consonance requires that the line of demarcation between the ‘independent and distinct inventions’ that prompted the restriction requirement be maintained… Where that line is crossed the prohibition -[against double patenting in] the third sentence of Section 121 does not apply.” Symbol Techs, Inc. v. Opticon, Inc., 935 F.2d 1569, 1579, 19 USPQ2d 1241, 1249 (Fed. Cir. 1991) (quoting Gerber Garment Technology Inc. v. Lectra Systems Inc., 916 F.2d 683, 688, 16 USPQ2d 1436, 1440 (Fed. Cir. 1990)); see also MPEP § 804.01. “ However, even if such consonance is lost, double patenting does not follow if the requirements of Section 121 are met or if the claims are in fact patentably distinct.… The purpose of Section 121 is to accommodate administrative convenience and to protect the patentee from technical flaws based on this unappealable examination practice.” Applied Materials, 98 F.3d at 1568, 40 USPQ at 1484.

Jump to MPEP SourceRestriction Requirement (MPEP 802-803)Restriction and Election Practice (MPEP Chapter 800)Distinct Inventions (MPEP 802.01)
Topic

Distinct Inventions (MPEP 802.01)

4 rules
StatutoryInformativeAlways
[mpep-804-04-67fad8a3b9d5a5c991652135]
Withdrawn Claims Shielded Against Double Patenting Rejections in Divisional Applications
Note:
When the PTO requires an applicant to withdraw claims to a patentably distinct invention, §121 shields those withdrawn claims in later divisional applications against rejection over a patent from the original application.

When a claimed invention that was the subject of a restriction requirement in one application is presented in a divisional application, a nonstatutory double patenting rejection cannot be applied to that claimed invention unless the restriction requirement was withdrawn. A nonstatutory double patenting rejection may be appropriate in situations in which the invention presented in the divisional is not the same invention that was the subject of the restriction requirement. “When the PTO requires an applicant to withdraw claims to a patentably distinct invention (a restriction requirement), § 121 shields those withdrawn claims in a later divisional application against rejection over a patent that issues from the original application…. [I]f an examiner issues a restriction requirement between patentably indistinct claims, two patents may issue and prolong patent protection beyond the statutory term on obvious variants of the same invention. This prolongation would occur because section 121 would immunize the restricted application against nonstatutory double patenting rejections.” Geneva Pharmaceuticals Inc. v. GlaxoSmithKline PLC, 349 F.3d 1373, 1381, 68 USPQ2d 1865, 1869 (Fed. Cir. 2003).

Jump to MPEP Source · 37 CFR 121Distinct Inventions (MPEP 802.01)Basis for Restriction (MPEP 802)Restriction Requirement (MPEP 802-803)
StatutoryInformativeAlways
[mpep-804-04-aff014dd833bc62265f21dee]
Withdrawn Claims Shielded from Nonstatutory Double Patenting
Note:
Claims withdrawn due to a restriction requirement cannot be rejected for nonstatutory double patenting in a divisional application unless the restriction was withdrawn.

When a claimed invention that was the subject of a restriction requirement in one application is presented in a divisional application, a nonstatutory double patenting rejection cannot be applied to that claimed invention unless the restriction requirement was withdrawn. A nonstatutory double patenting rejection may be appropriate in situations in which the invention presented in the divisional is not the same invention that was the subject of the restriction requirement. “When the PTO requires an applicant to withdraw claims to a patentably distinct invention (a restriction requirement), § 121 shields those withdrawn claims in a later divisional application against rejection over a patent that issues from the original application…. [I]f an examiner issues a restriction requirement between patentably indistinct claims, two patents may issue and prolong patent protection beyond the statutory term on obvious variants of the same invention. This prolongation would occur because section 121 would immunize the restricted application against nonstatutory double patenting rejections.” Geneva Pharmaceuticals Inc. v. GlaxoSmithKline PLC, 349 F.3d 1373, 1381, 68 USPQ2d 1865, 1869 (Fed. Cir. 2003).

Jump to MPEP Source · 37 CFR 121Distinct Inventions (MPEP 802.01)Basis for Restriction (MPEP 802)Restriction Requirement (MPEP 802-803)
StatutoryInformativeAlways
[mpep-804-04-741f70113dadd970a7411fc1]
Maintain Line of Demarcation Between Independent and Distinct Inventions
Note:
The rule requires maintaining the line between independent and distinct inventions to avoid double patenting, unless Section 121 requirements are met or claims are patentably distinct.

“Consonance requires that the line of demarcation between the ‘independent and distinct inventions’ that prompted the restriction requirement be maintained… Where that line is crossed the prohibition -[against double patenting in] the third sentence of Section 121 does not apply.” Symbol Techs, Inc. v. Opticon, Inc., 935 F.2d 1569, 1579, 19 USPQ2d 1241, 1249 (Fed. Cir. 1991) (quoting Gerber Garment Technology Inc. v. Lectra Systems Inc., 916 F.2d 683, 688, 16 USPQ2d 1436, 1440 (Fed. Cir. 1990)); see also MPEP § 804.01. “ However, even if such consonance is lost, double patenting does not follow if the requirements of Section 121 are met or if the claims are in fact patentably distinct.… The purpose of Section 121 is to accommodate administrative convenience and to protect the patentee from technical flaws based on this unappealable examination practice.” Applied Materials, 98 F.3d at 1568, 40 USPQ at 1484.

Jump to MPEP SourceDistinct Inventions (MPEP 802.01)Basis for Restriction (MPEP 802)Restriction Requirement (MPEP 802-803)
StatutoryInformativeAlways
[mpep-804-04-a36d6fd0c31096fe8ed8838c]
Requirement for Maintaining Line of Demarcation Between Independent and Distinct Inventions
Note:
The rule requires maintaining the line of demarcation between independent and distinct inventions to avoid double patenting, even if consonance is lost.

“Consonance requires that the line of demarcation between the ‘independent and distinct inventions’ that prompted the restriction requirement be maintained… Where that line is crossed the prohibition -[against double patenting in] the third sentence of Section 121 does not apply.” Symbol Techs, Inc. v. Opticon, Inc., 935 F.2d 1569, 1579, 19 USPQ2d 1241, 1249 (Fed. Cir. 1991) (quoting Gerber Garment Technology Inc. v. Lectra Systems Inc., 916 F.2d 683, 688, 16 USPQ2d 1436, 1440 (Fed. Cir. 1990)); see also MPEP § 804.01. “ However, even if such consonance is lost, double patenting does not follow if the requirements of Section 121 are met or if the claims are in fact patentably distinct.… The purpose of Section 121 is to accommodate administrative convenience and to protect the patentee from technical flaws based on this unappealable examination practice.” Applied Materials, 98 F.3d at 1568, 40 USPQ at 1484.

Jump to MPEP SourceDistinct Inventions (MPEP 802.01)Basis for Restriction (MPEP 802)Restriction Requirement (MPEP 802-803)
Topic

Safe Harbor for Divisional

3 rules
StatutoryRequiredAlways
[mpep-804-04-c2234a3d2daad74c2ea55f69]
Requirement for Office Action Review Before Mailing
Note:
Office actions containing rejections on nonstatutory double patenting that rely on the parent application in divisional applications must be approved by the Technology Center Director before mailing.

In order to promote uniform practice, every Office action containing a rejection on the ground of nonstatutory double patenting which relies on the parent application to reject the claims in a divisional application where the divisional application was filed because of a requirement to restrict made by the examiner under 35 U.S.C. 121, including a requirement to elect species, must be submitted to the Technology Center Director for approval prior to mailing. If the rejection on the ground of double patenting is disapproved, it shall not be mailed but other appropriate action shall be taken. Note MPEP § 1003.

Jump to MPEP SourceSafe Harbor for DivisionalDivisional Applications (MPEP 201.06)Restriction and Election Practice (MPEP Chapter 800)
StatutoryProhibitedAlways
[mpep-804-04-c971cf011c854560140e1055]
Disapproved Double Patenting Rejection Not to be Mailed
Note:
If a rejection on double patenting is disapproved, it shall not be mailed but other appropriate action will be taken.

In order to promote uniform practice, every Office action containing a rejection on the ground of nonstatutory double patenting which relies on the parent application to reject the claims in a divisional application where the divisional application was filed because of a requirement to restrict made by the examiner under 35 U.S.C. 121, including a requirement to elect species, must be submitted to the Technology Center Director for approval prior to mailing. If the rejection on the ground of double patenting is disapproved, it shall not be mailed but other appropriate action shall be taken. Note MPEP § 1003.

Jump to MPEP SourceSafe Harbor for DivisionalDivisional Applications (MPEP 201.06)Restriction and Election Practice (MPEP Chapter 800)
StatutoryInformativeAlways
[mpep-804-04-7474c0814b570490d4db67aa]
Requirement for Pre-Mailing Office Action on Divisional Nonstatutory Double Patenting
Note:
Office actions rejecting divisional claims based on nonstatutory double patenting over the parent application must be approved by the Technology Center Director before mailing.

In order to promote uniform practice, every Office action containing a rejection on the ground of nonstatutory double patenting which relies on the parent application to reject the claims in a divisional application where the divisional application was filed because of a requirement to restrict made by the examiner under 35 U.S.C. 121, including a requirement to elect species, must be submitted to the Technology Center Director for approval prior to mailing. If the rejection on the ground of double patenting is disapproved, it shall not be mailed but other appropriate action shall be taken. Note MPEP § 1003.

Jump to MPEP SourceSafe Harbor for DivisionalDivisional Applications (MPEP 201.06)Restriction and Election Practice (MPEP Chapter 800)
Topic

Basis for Restriction (MPEP 802)

1 rules
StatutoryInformativeAlways
[mpep-804-04-03c90ca3115f1abf156f391f]
Line of Demarcation Must Be Maintained for Independent Inventions
Note:
The rule requires that the distinction between independent inventions prompting a restriction requirement be preserved to avoid double patenting, even if the line is crossed.

“Consonance requires that the line of demarcation between the ‘independent and distinct inventions’ that prompted the restriction requirement be maintained… Where that line is crossed the prohibition -[against double patenting in] the third sentence of Section 121 does not apply.” Symbol Techs, Inc. v. Opticon, Inc., 935 F.2d 1569, 1579, 19 USPQ2d 1241, 1249 (Fed. Cir. 1991) (quoting Gerber Garment Technology Inc. v. Lectra Systems Inc., 916 F.2d 683, 688, 16 USPQ2d 1436, 1440 (Fed. Cir. 1990)); see also MPEP § 804.01. “ However, even if such consonance is lost, double patenting does not follow if the requirements of Section 121 are met or if the claims are in fact patentably distinct.… The purpose of Section 121 is to accommodate administrative convenience and to protect the patentee from technical flaws based on this unappealable examination practice.” Applied Materials, 98 F.3d at 1568, 40 USPQ at 1484.

Jump to MPEP SourceBasis for Restriction (MPEP 802)Restriction Requirement (MPEP 802-803)Restriction and Election Practice (MPEP Chapter 800)

Citations

Primary topicCitation
Distinct Inventions (MPEP 802.01)
Restriction Requirement (MPEP 802-803)
Safe Harbor for Divisional
35 U.S.C. § 121
Safe Harbor for DivisionalMPEP § 1003
Basis for Restriction (MPEP 802)
Distinct Inventions (MPEP 802.01)
Restriction Requirement (MPEP 802-803)
MPEP § 804.01
Restriction Requirement (MPEP 802-803)Applied Materials Inc. v. Advanced Semiconductor Materials, 98 F.3d 1563, 1568, 40 USPQ2d 1481, 1484 (Fed. Cir. 1996)
Distinct Inventions (MPEP 802.01)
Restriction Requirement (MPEP 802-803)
Geneva Pharmaceuticals Inc. v. GlaxoSmithKline PLC, 349 F.3d 1373, 1381, 68 USPQ2d 1865, 1869 (Fed. Cir. 2003)
Basis for Restriction (MPEP 802)
Distinct Inventions (MPEP 802.01)
Restriction Requirement (MPEP 802-803)
Symbol Techs, Inc. v. Opticon, Inc., 935 F.2d 1569, 1579, 19 USPQ2d 1241, 1249 (Fed. Cir. 1991)
Restriction Requirement (MPEP 802-803)citing Studiengesellschaft Kohle mbH v. Northern Petrochemical Co., 784 F.2d 351, 354, 228 USPQ 837, 840 (Fed. Cir. 1986)
Basis for Restriction (MPEP 802)
Distinct Inventions (MPEP 802.01)
Restriction Requirement (MPEP 802-803)
quoting Gerber Garment Technology Inc. v. Lectra Systems Inc., 916 F.2d 683, 688, 16 USPQ2d 1436, 1440 (Fed. Cir. 1990)

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