MPEP § 2806 — MPEP § 2806
Current through: 2022-07-01

2806-How to File Papers in a Supplemental Examination Proceeding and in Any Resulting Ex Parte Reexamination Proceeding 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 2800 

 Section 2806 
 

 
 
 
 
 
 2806 How to File Papers in a Supplemental Examination
 Proceeding and in Any Resulting Ex Parte Reexamination
 Proceeding [R-01.2024]
 

 A request for supplemental examination should be deposited
 as a new, separate, and independent submission, and should not be
 deposited in the file of the patent for which supplemental examination is requested, or in
 the file of any other application, patent, or proceeding. The request should be clearly
 identified by, for example, providing a heading such as “REQUEST FOR SUPPLEMENTAL
 EXAMINATION” prominently at the top of the first page of the paper. Use of the form
 PTO/SB/59 titled “Request for Supplemental Examination Transmittal Form,” which is
 available on the Office’s website www.uspto.gov , is also recommended. Requests for supplemental
 examination, any paper(s) other than a request submission that are to be filed in a
 supplemental examination proceeding, and any paper(s) to be filed in a reexamination
 proceeding ordered as a result of a supplemental examination proceeding, should be
 addressed to the Office as set forth below.
 

 The filing of any papers other than those forming part of a
 request for supplemental examination in the supplemental examination proceeding submission
 should be rare.
 

 A supplemental examination proceeding is separate and
 distinct from any ex parte reexamination proceeding that may later
 result from it. A supplemental examination proceeding concludes with the electronic
 issuance of a supplemental examination certificate. 35 U.S.C.
 257(a) and 37 CFR 1.625(a) . Any reexamination
 resulting from a supplemental examination proceeding will be ordered after the conclusion
 of the supplemental examination proceeding. See 35 U.S.C.
 257(b) and 37 CFR 1.625(b) . The ex
 parte reexamination is a distinct proceeding initiated by its own order. If
 reexamination is ordered as a result of a supplemental examination proceeding, any papers
 submitted subsequent to the order should be filed in the resulting reexamination
 proceeding.
 

 Supplemental examination proceedings will be assigned a
 “series 96” control number, such as, for example, 96/999,999. Any ex
 parte reexamination resulting from a concluded supplemental examination
 proceeding will retain the same control number, even though the two proceedings are
 separate and distinct. After the filing of the request, any correspondence sent to the
 Office relating to the supplemental examination proceeding or to the resulting ex
 parte reexamination proceeding should identify the proceeding by the number of
 the patent, the control number assigned to the proceeding, the art unit, and the name of
 the examiner.
 

 The certificate of mailing and transmission procedures
 ( 37 CFR
 1.8 ) may be used to file any paper in a supplemental examination
 proceeding, except for a request or corrected request . See
 MPEP §
 512 regarding the use of the certificate of mailing and
 transmission procedures. The Priority Mail Express ® mailing
 procedure ( 37 CFR
 1.10 ) may be used to file any paper, including a request or corrected
 request, in a supplemental examination proceeding. See MPEP § 513 as to the use
 of the Priority Mail Express ® mailing procedure. 
 

 I. ELECTRONIC SUBMISSION Patent owners may submit papers in a supplemental
 examination proceeding via the USPTO patent electronic filing system, available by
 accessing the Office's website, www.uspto.gov . The electronic submission of requests for
 supplemental examination and “follow-on” papers (i.e., subsequent correspondence in the
 proceedings) is encouraged. An initial supplemental examination request may be filed
 electronically by patent owners or legal representatives of patent owners, even if they
 are not registered users of the USPTO patent electronic filing system. However, only
 registered users can file “follow-on” papers using the USPTO patent electronic filing
 system. For information regarding how to electronically file requests for supplemental
 examination and “follow-on” papers, see the “Patent Center User Guide,” available at
 www.uspto.gov/PatentCenter . For questions regarding how to
 electronically file using the USPTO patent electronic filing system or how to become a
 registered user, contact the Patent Electronic Business Center (EBC) at 866-217-9197
 (toll free) or via email at ebc@uspto.gov.
 

 It is noted that a corrected request that is filed in
 response to a Notice of Noncompliant Supplemental Examination Request should be filed as
 “follow-on” paper(s) in an existing proceeding. Also, even though a concluded
 supplemental examination proceeding is separate and distinct from the resulting
 ex parte reexamination, the resulting reexamination retains the
 same control number as the concluded supplemental examination proceeding to simplify
 tracking and processing. Therefore, any paper to be submitted in the resulting
 reexamination proceeding is to be filed as “follow-on” paper(s) using the same control
 number as was used in the now concluded supplemental examination proceeding.
 

 II. PAPER FORM (HARD COPY) SUBMISSIONS The Office accepts paper form (hard copy) requests for
 supplemental examination (i.e., request submissions), and any paper(s) other than
 request submissions that are filed in a supplemental examination proceeding. These
 papers should be addressed to “Mail Stop Supplemental Examination” at the appropriate
 address provided below. 
 

 Any papers to be submitted in paper form (hard copy) in a
 reexamination proceeding ordered as a result of a supplemental examination, other than
 correspondence to the Office of the General Counsel pursuant to 37 CFR 1.1(a)(3) 
 and 37 CFR
 102.4 , should be addressed to “Mail Stop Ex
 Parte Reexam” at the appropriate address provided below. 
 

 Mail to be delivered by the United States Postal Service
 (USPS) should be addressed as:
 

 Mail Stop ______________
Central Reexamination Unit
Commissioner for Patents
P.O. Box 1450
Alexandria, VA 22313-1450 
 

 Correspondence to be hand-carried or delivered by other
 delivery services (Federal Express (Fed Ex), UPS, DHL, Laser, Action, Purolator, etc.)
 should be addressed to the Customer Service Window (see MPEP § 501 , subsection
 III) with the appropriate Mail Stop information included in the address.
 

 Whether the correspondence is mailed, delivered, or
 hand-carried to the Office, it is strongly recommended that the Mail Stop information be
 placed in a prominent position on the first page of each paper filed, utilizing a large
 font size to direct attention to it.
 

 III. FACSIMILE TRANSMISSION Requests for supplemental examination may not be facsimile-transmitted .
 This is also true for a corrected request that is filed in response to a Notice of
 Noncompliant Supplemental Examination Request (see MPEP §§
 2812.02 - 2812.03 ), since the corrected request stands in place of the
 original request. Papers to be filed in a supplemental examination proceeding, other
 than a request or a corrected request for supplemental examination, and any papers to be
 filed in a reexamination proceeding resulting from a supplemental examination
 proceeding, if the papers to be filed in the reexamination proceeding may be properly
 filed via facsimile transmission in accordance with reexamination practice, may be
 facsimile-transmitted to the Central Reexamination Unit at (571) 273-9900. See
 MPEP §
 2224 .
 

 [top] 

 

 

 
 

 
 

 

 

 

 
 
 
 2801-Introduction 

 2802-Supplemental Examination 

 2803-Persons Who May File a Request for Supplemental Examination 
 2803.01-Inquiries from Persons Other Than the Patent Owner 

 2803.02-Public Access 

 
 

 2804-Representative of Patent Owner 
 2804.01-Withdrawal of Attorney or Agent 

 
 

 2805-Correspondence with Patent Owner; Patent Owner Address 

 2806-How to File Papers in a Supplemental Examination Proceeding and in Any Resulting Ex Parte Reexamination Proceeding 

 2807-Format of Papers Filed in a Supplemental Examination Proceeding 

 2808-Time for Requesting Supplemental Examination 

 2809-Items of Information 
 2809.01-Information Relating to the Correction of Factual Information 

 
 

 2810-Fees Due on Filing a Supplemental Examination Request 
 2810.01-Document Size Fees 

 
 

 2811-Content of Request for Supplemental Examination 
 2811.01 -Detailed Explanation of the Relevance and Manner of Applying Each Item of Information 

 2811.02 -Optional Content 

 
 

 2812-Initial Processing of a Request for Supplemental Examination 
 2812.01 -Filing Date of the Request 

 2812.02-Noncompliant Request for Supplemental Examination 

 2812.03 -Corrected Request 

 2812.04 -Termination Due to Defective/Improper Request or Corrected Request 

 
 

 2813-Handling of Papers, Other Than a Request, in a Supplemental Examination Proceeding 
 2813.01 -Amendments 

 
 

 2814-Interviews Are Prohibited 

 2815-Time for Deciding Request 

 2816-Determination on the Request 
 2816.01 -Claims Considered in Making the Determination 

 2816.02 -Criteria for Making the Determination 

 2816.03 -Content of the Determination 

 2816.04 -Effect of the Determination 

 
 

 2817-Conclusion of Supplemental Examination 
 2817.01 -Processing and Electronic Issuance of Supplemental Examination Certificate 

 
 

 2818-Procedure after Conclusion of Supplemental Examination 
 2818.01 -After Determination Finding a Substantial New Question of Patentability 

 2818.02 -After Determination Finding No Substantial New Question of Patentability 

 
 

 2819-Discovery of Possible Material Fraud 

 2820-Submission of Notification of Other Prior or Concurrent Post-Patent Office Proceedings 

 2821-Multiple Post-Patent Office Proceedings 

 2822-Assignment of the Supplemental Examination Proceeding 

 2823-Differences Between an Ex Parte Reexamination Proceeding Ordered Pursuant to 35 U.S.C. 257 and an Ex Parte Reexamination Proceeding
 Ordered Pursuant to 35 U.S.C. 302 

 

 

 
 

 
 
 

 
 

 

 
 
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 Last Modified: 
 
 03/09/2026 20:49:41