37 CFR § 11.55 — Appeal to the USPTO Director. (MPEP Coverage Index) – BlueIron IP
37 CFR § 11.55 Appeal to the USPTO Director.
Source: Patent Rule (37 CFR)BlueIron Update:
This page consolidates MPEP guidance interpreting 37 CFR § 11.55, including 1 rules from the Manual of Patent Examining Procedure. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.
Summary
The Appeal to the USPTO Director provides a formal mechanism for challenging initial disciplinary decisions made by hearing officers in patent practitioner conduct proceedings.
What this section covers
- Outlines the procedural mechanism for appealing initial disciplinary decisions within the USPTO's practitioner oversight system.
- Defines the procedural framework for appeals in practitioner disciplinary proceedings.
Key obligations
- Ensure appeals are filed within prescribed timeframes and follow specific procedural requirements.
- Provide substantive legal grounds for challenging the hearing officer's initial decision.
Practice notes
- Carefully document and articulate specific legal or procedural grounds for the appeal.
- Recognize that the USPTO Director's review focuses on procedural correctness and legal interpretation.
Official MPEP § 11.55 — Appeal to the USPTO Director.
Source: USPTOLast Modified: 10/30/2024 08:50:22
11.55 Appeal to the USPTO Director.
- (a) Within 14 days after the date of the initial decision of the hearing officer under §§ 11.25 or 11.54 , either party may appeal to the USPTO Director by filing a notice of appeal. The notice shall be filed with the General Counsel for the USPTO Director at the address set forth in § 1.1(a)(3)(iv) of this chapter and served on the opposing party. If both parties file notices of appeal, the first to file is deemed the appellant for purposes of this rule. If both file on the same day, the respondent is deemed the appellant.
- (b) Any notice of cross-appeal shall be filed within 14 days after the date of service of the notice of appeal.
- (c) After a notice of appeal is filed, the OED Director shall transmit the entire record to the USPTO Director and provide a copy to the respondent.
- (d) The appellant’s brief shall be filed within 30 days after the date of service of the record.
- (e) Any appellee’s brief shall be filed within 30 days after the date of service of the appellant’s brief.
- (f) The appellant’s and appellee’s briefs shall comply with the Federal Rules of Appellate Procedure 28(a)(2), (3), (5), (10), and 32(a)(4)–(7) unless otherwise ordered by the USPTO Director.
- (g) Any reply brief shall be filed within 14 days after the date of service of the appellee’s brief and, unless otherwise ordered by the USPTO Director, shall comply with Rules 28(c) and 32(a)(4)–(7) of the Federal Rules of Appellate Procedure.
- (h) If a cross-appeal has been filed, the parties shall comply with Rules 28.1(c), (e), and (f) of the Federal Rules of Appellate Procedure unless otherwise ordered by the USPTO Director.
- (i) References to the record in the briefs must be to the pages of the certified record.
- (j) An appeal or cross-appeal must include exceptions to the decisions of the hearing officer and supporting reasons for those exceptions. Any exception not raised will be deemed to have been waived and will be disregarded by the USPTO Director in reviewing the initial decision.
- (k) The USPTO Director may refuse entry of a nonconforming brief.
- (l) The USPTO Director will decide the appeal on the record made before the hearing officer.
- (m) Unless the USPTO Director permits, no further briefs or motions shall be filed.
- (n) The USPTO Director may order reopening of a disciplinary proceeding in accordance with the principles that govern the granting of new trials. Any request to reopen a disciplinary proceeding on the basis of newly discovered evidence must demonstrate that the newly discovered evidence could not have been discovered any earlier by due diligence.
- (o) Motions shall be served on the opposing party and filed with the USPTO Director. Each motion shall be accompanied by a written memorandum setting forth a concise statement of the facts and supporting reasons, along with a citation of the authorities upon which the movant relies. Unless extended by the USPTO Director for good cause, within 21 days of the date of service of the motion, an opposing party shall serve and file a response to the motion, and the moving party may file a reply within 14 days after service of the opposing party’s responsive memorandum. All memoranda shall comply with Rules 32(a)(4)–(6) of the Federal Rules of Appellate Procedure unless otherwise ordered by the USPTO Director. Every motion must include a statement that the moving party or attorney for the moving party has conferred with the opposing party or attorney for the opposing party in a good faith effort to resolve the issues raised by the motion and whether the motion is opposed. If, prior to a decision on the motion, the parties resolve issues raised by a motion presented to the USPTO Director, the parties shall promptly notify the USPTO Director.
- (p) The USPTO Director may extend the time for filing a brief upon the granting of a motion setting forth good cause warranting the extension.
[Added, 73 FR 47650, Aug. 14, 2008, effective Sept. 15, 2008; revised, 86 FR 28442, May 26, 2021, effective June 25, 2021; para. (m) revised and para. (p) added, 88 FR 45078, July 14, 2023, effective Aug. 14, 2023]
- Practitioner Recognition