MPEP § 2014 — MPEP § 2014
Current through: 2022-07-01

2014-Duty of Disclosure in Reexamination Proceedings and Supplemental Examination 
 
 

 
 
 
 
 
 
 
 

 

 
 
 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
 
 
 

 
 
 
 
 
 
 
 
 
 
 

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 Manual of Patent Examining Procedure 

 Chapter 2000 

 Section 2014 
 

 
 
 
 
 
 2014 Duty of Disclosure in Reexamination Proceedings and Supplemental
 Examination [R-08.2017]
 

 
 37 CFR 1.555 Information material to patentability in ex
 parte reexamination and inter partes reexamination proceedings. 

 
 (a) A patent by its very nature is affected with a
 public interest. The public interest is best served, and the most effective
 reexamination occurs when, at the time a reexamination proceeding is being
 conducted, the Office is aware of and evaluates the teachings of all information
 material to patentability in a reexamination proceeding. Each individual
 associated with the patent owner in a reexamination proceeding has a duty of
 candor and good faith in dealing with the Office, which includes a duty to
 disclose to the Office all information known to that individual to be material to
 patentability in a reexamination proceeding. The individuals who have a duty to
 disclose to the Office all information known to them to be material to
 patentability in a reexamination proceeding are the patent owner, each attorney or
 agent who represents the patent owner, and every other individual who is
 substantively involved on behalf of the patent owner in a reexamination
 proceeding. The duty to disclose the information exists with respect to each claim
 pending in the reexamination proceeding until the claim is cancelled. Information
 material to the patentability the patentability of a cancelled claim need not be
 submitted if the information is not material to patentability of any claim
 remaining under consideration in the reexamination proceeding. The duty to
 disclose all information known to be material to patentability in a reexamination
 proceeding is deemed to be satisfied if all information known to be material to
 patentability of any claim in the patent after issuance of the reexamination
 certificate was cited by the Office or submitted to the Office in an information
 disclosure statement. However, the duties of candor, good faith, and disclosure
 have not been complied with if any fraud on the Office was practiced or attempted
 or the duty of disclosure was violated through bad faith or intentional misconduct
 by, or on behalf of, the patent owner in the reexamination proceeding. Any
 information disclosure statement must be filed with the items listed in § 1.98(a)
 as applied to individuals associated with the patent owner in a reexamination
 proceeding, and should be filed within two months of the date of the order for
 reexamination, or as soon thereafter as possible.
 

 *****

 
 
 (c) The responsibility for compliance with this
 section rests upon the individuals designated in paragraph (a) of this section and
 no evaluation will be made by the Office in the reexamination proceeding as to
 compliance with this section. If questions of compliance with this section are
 raised by the patent owner or the third party requester during a reexamination
 proceeding, they will be noted as unresolved questions in accordance with §
 1.552(c).
 

 
 

 As provided in 37 CFR 1.555 , the duty of disclosure in
 reexamination proceedings applies to the patent owner and individuals associated with the
 patent owner. That duty is a continuing obligation on the part of the patent owner
 throughout the proceedings. Any fraud practiced or attempted on the Office or any violation
 of the duty of disclosure through bad faith or intentional misconduct by any such
 individual results in noncompliance with 37 CFR 1.555(a) . Any such issues raised
 by the patent owner or the third party requester during a reexamination proceeding will
 merely be noted as unresolved questions under 37 CFR 1.552(c) . See
 MPEP
 § 2258 for information material to patentability in ex
 parte reexamination proceedings and MPEP § 2658 for inter
 partes reexamination proceedings.
 

 For the patent owner’s duty to disclose prior or concurrent proceedings in
 which the patent is or was involved, see MPEP § 2282 (for ex
 parte reexamination), § 2686 (for inter
 partes reexamination), and § 2001.06(c) .
 

 In supplemental examination, the duty of disclosure applies
 to the patent owner and individuals associated with the patent owner as defined in
 37 CFR
 1.555 . However, as provided by 37 CFR
 1.625(d)(4) , information material to patentability is defined by
 37 CFR
 1.56 in supplemental examination and any ex parte 
 reexamination proceeding ordered under 35 U.S.C. 257 . Furthermore,
 37 CFR
 1.620(g) provides that, if the Office becomes aware, during the
 course of a supplemental examination or of any ex parte reexamination
 ordered under 35 U.S.C. 257 as a result of the supplemental examination
 proceeding, that a material fraud on the Office may have been committed in connection with
 the patent requested to be examined, the supplemental examination proceeding or any
 ex parte reexamination proceeding ordered under 35 U.S.C.
 257 will continue. The matter will be referred to the U.S. Attorney
 General in accordance with 35 U.S.C. 257(e) .
 

 For the patent owner’s duty to disclose prior or concurrent
 proceedings in which the patent is or was involved in supplemental examination, see
 MPEP §
 2820 .
 

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 2000-Duty of Disclosure 
 2000.01-Introduction 

 
 

 2001-Duty of Disclosure, Candor, and Good Faith 
 2001.01-Who Has Duty To Disclose 

 2001.02-[Reserved] 

 2001.03-To Whom Duty of Disclosure Is Owed 

 2001.04-Information Under 37 CFR 1.56(a) 

 2001.05-Materiality Under 37 CFR 1.56(b) 

 2001.06-Sources of Information under 37 CFR 1.56 
 2001.06(a)-Prior Art Cited in Related Foreign Applications 

 2001.06(b)-Information Relating to or From Copending United States Patent Applications 

 2001.06(c)-Information From Related Litigation and/or Trial Proceedings 

 2001.06(d)-Information Relating to Claims Copied From a Patent 

 2001.06(e)-Information Relating to Regulatory Review 

 
 

 
 

 2002-Disclosure — By Whom and How Made 
 2002.01-By Whom Made 

 2002.02-Must be in Writing 

 
 

 2003-Disclosure __ When Made 
 2003.01-Disclosure After Patent Is Granted 

 
 

 2004-Aids to Compliance With Duty of Disclosure 

 2005-Comparison to Requirements for Information 

 2006‑2009-[Reserved] 

 2010-Office Handling of Duty of Disclosure/Inequitable Conduct Issues 

 2011-Correction of Errors in Application 

 2012-Reissue Applications Involving Issues of Fraud, Inequitable Conduct, and/or Violation of Duty of Disclosure 
 2012.01-Collateral Estoppel 

 
 

 2013-Protests Involving Issues of Fraud, Inequitable Conduct, and/or Violation of Duty of Disclosure 

 2014-Duty of Disclosure in Reexamination Proceedings and Supplemental Examination 

 2015-Duties of Disclosure and Reasonable Inquiry Arise in Dealings With Other Government Agencies 

 2016-Fraud, Inequitable Conduct, or Violation of Duty of Disclosure Affects All Claims 

 2017‑2022-[Reserved] 

 

 

 
 

 
 
 

 
 

 

 
 
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 Last Modified: 
 
 03/09/2026 20:50:39