Patent Prosecution Checklist: Filing Papers, Deadlines, Continuations, and the Issue Fee

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Patent rights are lost to calendars far more often than to doctrine, and this checklist is built around that fact. It runs twelve phases: verify the filing papers, set the docket including the deadlines with no prompt, research the examiner, handle a restriction, work the office action cycle, manage the final rejection, escalate, review the allowance, file the continuation before paying, and then handle marking, maintenance, and the annual family review. Each box gives the reason, the authority, and the trap. It flags the four unforgiving deadlines - the statutory six-month reply limit, the non-extendable issue fee, the continuation co-pendency requirement, and the divisional window - because those are where applications die. The companion article explains the machinery and the companion guide walks the strategy.

IP and Technology > Patent Counseling Transactions | Checklist | Published 13 February 2026 - Updated 1 July 2026 | Casey Scott McKay - marksy.us

Summary. Patent rights are lost to calendars far more often than to doctrine, and this checklist is built around that fact. It runs twelve phases: verify the filing papers, set the docket including the deadlines with no prompt, research the examiner, handle a restriction, work the office action cycle, manage the final rejection, escalate, review the allowance, file the continuation before paying, and then handle marking, maintenance, and the annual family review. Each box gives the reason, the authority, and the trap. It flags the four unforgiving deadlines — the statutory six-month reply limit, the non-extendable issue fee, the continuation co-pendency requirement, and the divisional window — because those are where applications die. The companion article explains the machinery and the companion guide walks the strategy.

Keywords: prosecution checklist, filing papers, inventor declaration, assignment recordation, entity status, information disclosure statement, docketing, restriction election, office action response, examiner interview, final rejection, request for continued examination, appeal, notice of allowance, issue fee, continuation, maintenance fees, patent marking, patent term adjustment, foreign filing license


How to use this checklist

| Phase | What it covers | When | |---|---|---| | 1 | Verify the filing papers | At filing receipt | | 2 | Set the docket | Same day | | 3 | Research the examiner | Before the first action | | 4 | Handle a restriction | On restriction | | 5 | Read the office action | On each action | | 6 | Interview | Before each response | | 7 | Respond | Within the period | | 8 | Manage the final rejection | After final | | 9 | Escalate | As needed | | 10 | Review the allowance | On notice | | 11 | File the continuation, then pay | Before the issue fee | | 12 | Post-issuance and annual review | Ongoing |

The four deadlines that end applications: the six-month statutory reply limit, the three-month non-extendable issue fee, continuation co-pendency, and the divisional window. Boxes touching them are marked [Gate].

The matter. Thackeray Dynamics filed on a sensor calibration method. The application was restricted, prosecuted through two actions and a final rejection, allowed on a narrowed claim, and issued. Nobody filed a continuation or a divisional. Three years later a competitor shipped a product covered by the non-elected claims, and the family had been closed since the day the issue fee was paid.


Phase 1. Verify the filing papers


Phase 2. Set the docket


Phase 3. Research the examiner


Phase 4. Handle a restriction


Phase 5. Read the office action


Phase 6. Interview


Phase 7. Respond


Phase 8. Manage the final rejection


Phase 9. Escalate


Phase 10. Review the allowance


Phase 11. File the continuation, then pay


Phase 12. Post-issuance and annual review


Phase 13. The deadline reference

Every deadline in U.S. prosecution, what it does, and whether it can be saved.

| Deadline | Length | Extendable? | Consequence of missing | |---|---|---|---| | Reply to an office action | 3 months shortened | To 6 months for fees | Abandonment | | Statutory maximum reply | 6 months | No | Abandonment | | Issue fee | 3 months | No | Abandonment of an allowed application | | Continuation co-pendency | Until parent issues or abandons | No | Family closed permanently | | Divisional filing | Until parent issues or abandons | No | Non-elected claims unrecoverable | | Provisional conversion | 12 months | No | Priority date lost | | Paris Convention priority | 12 months | No | Foreign priority lost | | PCT national stage entry | 30 months typically | Limited, per office | National rights lost | | Notice of appeal | Reply period | With the reply period | Loss of appeal right | | Appeal brief | 2 months from notice | Yes, for fees | Appeal dismissed | | Maintenance fees | Set intervals post-issuance | Surcharge window, then lapse | Patent lapses | | Patent term adjustment challenge | Short window from grant | No | Term error becomes permanent |

Phase 14. Special prosecution tracks

Phase 15. Coordinating with the rest of the portfolio

Phase 16. Entity status and fees

Fee errors are quiet, cumulative, and occasionally serious.

Phase 17. Handling a transaction mid-prosecution

Applications change hands, and prosecution continuity is where value leaks.

Phase 18. The prosecution file, and what belongs in it

The file wrapper is public and the internal file is not, and both matter. This is what the internal file should hold when the matter is handed to someone else.

A closing note on ownership of this checklist. Phases 1 and 2 belong to whoever opens the file, and they should be a template rather than a judgment call. Phases 3 through 9 belong to the prosecutor. Phases 10 and 11 are the ones that need a second pair of eyes, because they are irreversible and they arrive at the moment everyone believes the work is done. Phase 12 belongs to whoever owns the maintenance budget. And the deadline table at Phase 13 belongs on a wall, because the four unforgiving rows in it account for nearly every patent right lost to something other than the merits.

Phase 19. The abandonment recovery path

It happens, and knowing the route matters more than pretending it does not.

A note on why this phase exists at all. Most checklists omit the recovery path, on the theory that a well-run practice will not need it. Every well-run practice eventually does — through a docketing transition, a departure, a system migration, or a client who did not forward a notice. Having the sequence written down turns a bad week into a procedure, and it makes the difference between a matter that is recovered promptly and one where the delay in acting becomes its own problem.

Key Authorities at a Glance

| Authority | Proposition | Phase | |---|---|---| | 35 U.S.C. § 111 | Application requirements | 1 | | 35 U.S.C. § 115 | Inventor's oath or declaration | 1 | | 35 U.S.C. § 116 | Joint inventors | 1 | | 35 U.S.C. § 119(e) | Benefit of a provisional | 1, 2 | | 35 U.S.C. § 120 | Continuations; co-pendency | 2, 9, 11 | | 35 U.S.C. § 121 | Restriction, divisionals, safe harbor | 4, 11 | | 35 U.S.C. § 122(b) | Publication | 2 | | 35 U.S.C. § 132(a) | No new matter | 7 | | 35 U.S.C. § 133 | Reply period; abandonment | 2 | | 35 U.S.C. § 134 | Appeal to the Board | 9 | | 35 U.S.C. § 151 | Issue fee; not extendable | 10 | | 35 U.S.C. § 154(b) | Patent term adjustment | 7, 10 | | 35 U.S.C. § 154(d) | Provisional rights | 12 | | 35 U.S.C. § 184 | Foreign filing license | 1 | | 35 U.S.C. § 251 | Reissue | 12 | | 35 U.S.C. § 261 | Assignment in writing | 1 | | 35 U.S.C. § 287 | Marking and notice | 12 | | 35 U.S.C. § 41(b) | Maintenance fees | 12 | | 37 C.F.R. § 1.56 | Duty of disclosure | 1, 10 | | 37 C.F.R. § 1.111 | Responsive reply | 7 | | 37 C.F.R. § 1.114 | Request for continued examination | 8 | | 37 C.F.R. § 1.133 | Interviews | 6 | | 37 C.F.R. § 1.136 | Extensions of time | 2 | | 37 C.F.R. § 1.321 | Terminal disclaimers | 11 |


The five things people get wrong

One: they let the family close. The continuation deadline has no notice, nothing prompts it, and it arrives at the moment everyone believes the matter is finished. It is the single most common permanent loss in patent practice and it is purely a calendaring failure.

Two: they forget the divisional. Non-elected subject matter is unrecoverable once the parent issues, and restrictions are common enough that this happens constantly.

Three: they never research the examiner. One publicly available hour tells you the allowance rate, the average action count, the interview receptiveness, and the appeal reversal rate — which together determine the entire strategy. Almost nobody looks.

Four: they skip the interview. It is free, it is fast, it resolves in thirty minutes what two written rounds do not, and practitioners avoid it out of habit rather than reason.

Five: they take extensions without counting the cost. Extensions cost fees and reduce patent term adjustment, and for anything whose value sits at the end of its term that is real money quietly spent. See Prosecuting a Patent Application from Filing to Issue.


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This document is general information about the law, not legal advice, and does not create an attorney-client relationship. Patent outcomes turn on specific claims, records, and dates. Marksy is not a law firm.

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