MPEP 706.02(j)
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This is the Ninth Edition of the MPEP, Revision 08.2017, Last Revised in January 2018

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706.02(j)    Contents of a 35 U.S.C. 103 Rejection [R-11.2013]

35 U.S.C. 103 authorizes a rejection where, to meet the claim, it is necessary to modify a single reference or to combine it with one or more other references. After indicating that the rejection is under 35 U.S.C. 103, the examiner should set forth in the Office action:

  • (A) the relevant teachings of the prior art relied upon, preferably with reference to the relevant column or page number(s) and line number(s) where appropriate,
  • (B) the difference or differences in the claim over the applied reference(s),
  • (C) the proposed modification of the applied reference(s) necessary to arrive at the claimed subject matter, and
  • (D) an explanation as to why the claimed invention would have been obvious to one of ordinary skill in the art at the time the invention was made.

"To support the conclusion that the claimed invention is directed to obvious subject matter, either the references must expressly or impliedly suggest the claimed invention or the examiner must present a convincing line of reasoning as to why the artisan would have found the claimed invention to have been obvious in light of the teachings of the references." Ex parte Clapp, 227 USPQ 972, 973 (Bd. Pat. App. & Inter. 1985).

Where a reference is relied on to support a rejection, whether or not in a minor capacity, that reference should be positively included in the statement of the rejection. See In re Hoch, 428 F.2d 1341, 1342 n.3 166 USPQ 406, 407 n. 3 (CCPA 1970).

It is important for an examiner to properly communicate the basis for a rejection so that the issues can be identified early and the applicant can be given fair opportunity to reply. Furthermore, if an initially rejected application issues as a patent, the rationale behind an earlier rejection may be important in interpreting the scope of the patent claims. Since issued patents are presumed valid (35 U.S.C. 282 ) and constitute a property right (35 U.S.C. 261 ), the written record must be clear as to the basis for the grant. Since patent examiners cannot normally be compelled to testify in legal proceedings regarding their mental processes (see MPEP § 1701.01), it is important that the written record clearly explain the rationale for decisions made during prosecution of the application.

See MPEP §§ 2141 - 2144.09 generally for guidance on patentability determinations under 35 U.S.C. 103, including a discussion of the requirements of Graham v. John Deere, 383 U.S. 1, 148 USPQ 459 (1966). See MPEP § 2145 for consideration of applicant’s rebuttal arguments. See MPEP §§ 2154 and 2154.02 for a discussion of exceptions to prior art under 35 U.S.C. 102(b). See MPEP § 2156 for a discussion of 35 U.S.C. 102(c) and references of joint researchers. See MPEP §§ 706.02(l) - 706.02(l)(3) for a discussion of prior art disqualified under pre-AIA 35 U.S.C. 103(a).