MPEP § 2144.03 — Reliance on Common Knowledge in the Art or “Well Known” Prior Art (Annotated Rules)

§2144.03 Reliance on Common Knowledge in the Art or “Well Known” Prior Art

USPTO MPEP version: BlueIron's Update: 2026-01-10

This page consolidates and annotates all enforceable requirements under MPEP § 2144.03, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Reliance on Common Knowledge in the Art or “Well Known” Prior Art

This section addresses Reliance on Common Knowledge in the Art or “Well Known” Prior Art. Primary authority: 37 CFR 1.113, 37 CFR 1.111(b), and 37 CFR 1.104(d)(2). Contains: 3 requirements, 2 prohibitions, 1 guidance statement, 1 permission, and 9 other statements.

Key Rules

Topic

Rejection on Prior Art

8 rules
StatutoryInformativeAlways
[mpep-2144-03-de1b7846a1d2b4038bb9d3eb]
Requirement for Verifying Common Knowledge Assertions
Note:
Examiners must provide specific factual findings to support assertions of common knowledge when no contradictory evidence exists.

In certain older cases, official notice has been taken of a fact that is asserted to be “common knowledge” without specific reliance on documentary evidence where the fact noticed was readily verifiable, such as when other references of record supported the noticed fact, or where there was nothing of record to contradict it. See In re Soli, 317 F.2d 941, 945-46, 137 USPQ 797, 800 (CCPA 1963) (accepting the examiner’s assertion that the use of “a control is standard procedure throughout the entire field of bacteriology” because it was readily verifiable and disclosed in references of record not cited by the Office); In re Chevenard, 139 F.2d 711, 713, 60 USPQ 239, 241 (CCPA 1943) (accepting the examiner’s finding that a brief heating at a higher temperature was the equivalent of a longer heating at a lower temperature where there was nothing in the record to indicate the contrary and where the applicant never demanded that the examiner produce evidence to support his statement). If such notice is taken, the basis for such reasoning must be set forth explicitly. The examiner must provide specific factual findings predicated on sound technical and scientific reasoning to support the conclusion of common knowledge. See Soli, 317 F.2d at 946, 37 USPQ at 801; Chevenard, 139 F.2d at 713, 60 USPQ at 241. The applicant should be presented with the explicit basis on which the examiner regards the matter as subject to official notice so as to allow the applicant an opportunity to adequately traverse the rejection in the next reply after the Office action in which the "common knowledge" statement was made.

Jump to MPEP SourceRejection on Prior ArtRejection of ClaimsExamination Procedures
StatutoryRequiredAlways
[mpep-2144-03-b71f842de81f19a53b0a8586]
Requirement for Explicit Basis of Common Knowledge Assertion
Note:
The examiner must provide specific factual findings to support assertions of common knowledge in the art, and inform the applicant of this basis.

In certain older cases, official notice has been taken of a fact that is asserted to be “common knowledge” without specific reliance on documentary evidence where the fact noticed was readily verifiable, such as when other references of record supported the noticed fact, or where there was nothing of record to contradict it. See In re Soli, 317 F.2d 941, 945-46, 137 USPQ 797, 800 (CCPA 1963) (accepting the examiner’s assertion that the use of “a control is standard procedure throughout the entire field of bacteriology” because it was readily verifiable and disclosed in references of record not cited by the Office); In re Chevenard, 139 F.2d 711, 713, 60 USPQ 239, 241 (CCPA 1943) (accepting the examiner’s finding that a brief heating at a higher temperature was the equivalent of a longer heating at a lower temperature where there was nothing in the record to indicate the contrary and where the applicant never demanded that the examiner produce evidence to support his statement). If such notice is taken, the basis for such reasoning must be set forth explicitly. The examiner must provide specific factual findings predicated on sound technical and scientific reasoning to support the conclusion of common knowledge. See Soli, 317 F.2d at 946, 37 USPQ at 801; Chevenard, 139 F.2d at 713, 60 USPQ at 241. The applicant should be presented with the explicit basis on which the examiner regards the matter as subject to official notice so as to allow the applicant an opportunity to adequately traverse the rejection in the next reply after the Office action in which the "common knowledge" statement was made.

Jump to MPEP SourceRejection on Prior ArtRejection of ClaimsExamination Procedures
StatutoryRequiredAlways
[mpep-2144-03-4b66c42adbf89b1012923724]
Examiner Must Provide Specific Factual Findings for Common Knowledge Assertions
Note:
The examiner must base common knowledge assertions on sound technical and scientific reasoning and provide explicit factual findings to support such conclusions.

In certain older cases, official notice has been taken of a fact that is asserted to be “common knowledge” without specific reliance on documentary evidence where the fact noticed was readily verifiable, such as when other references of record supported the noticed fact, or where there was nothing of record to contradict it. See In re Soli, 317 F.2d 941, 945-46, 137 USPQ 797, 800 (CCPA 1963) (accepting the examiner’s assertion that the use of “a control is standard procedure throughout the entire field of bacteriology” because it was readily verifiable and disclosed in references of record not cited by the Office); In re Chevenard, 139 F.2d 711, 713, 60 USPQ 239, 241 (CCPA 1943) (accepting the examiner’s finding that a brief heating at a higher temperature was the equivalent of a longer heating at a lower temperature where there was nothing in the record to indicate the contrary and where the applicant never demanded that the examiner produce evidence to support his statement). If such notice is taken, the basis for such reasoning must be set forth explicitly. The examiner must provide specific factual findings predicated on sound technical and scientific reasoning to support the conclusion of common knowledge. See Soli, 317 F.2d at 946, 37 USPQ at 801; Chevenard, 139 F.2d at 713, 60 USPQ at 241. The applicant should be presented with the explicit basis on which the examiner regards the matter as subject to official notice so as to allow the applicant an opportunity to adequately traverse the rejection in the next reply after the Office action in which the "common knowledge" statement was made.

Jump to MPEP SourceRejection on Prior ArtRejection of ClaimsExamination Procedures
StatutoryInformativeAlways
[mpep-2144-03-4b0f3479835a69d307254b40]
Official Notice of Common Knowledge Must Be Explicitly Supported
Note:
Examiners must provide specific factual findings to support assertions of common knowledge in prior art, and applicants should be informed of the basis for such official notice.

In certain older cases, official notice has been taken of a fact that is asserted to be “common knowledge” without specific reliance on documentary evidence where the fact noticed was readily verifiable, such as when other references of record supported the noticed fact, or where there was nothing of record to contradict it. See In re Soli, 317 F.2d 941, 945-46, 137 USPQ 797, 800 (CCPA 1963) (accepting the examiner’s assertion that the use of “a control is standard procedure throughout the entire field of bacteriology” because it was readily verifiable and disclosed in references of record not cited by the Office); In re Chevenard, 139 F.2d 711, 713, 60 USPQ 239, 241 (CCPA 1943) (accepting the examiner’s finding that a brief heating at a higher temperature was the equivalent of a longer heating at a lower temperature where there was nothing in the record to indicate the contrary and where the applicant never demanded that the examiner produce evidence to support his statement). If such notice is taken, the basis for such reasoning must be set forth explicitly. The examiner must provide specific factual findings predicated on sound technical and scientific reasoning to support the conclusion of common knowledge. See Soli, 317 F.2d at 946, 37 USPQ at 801; Chevenard, 139 F.2d at 713, 60 USPQ at 241. The applicant should be presented with the explicit basis on which the examiner regards the matter as subject to official notice so as to allow the applicant an opportunity to adequately traverse the rejection in the next reply after the Office action in which the "common knowledge" statement was made.

Jump to MPEP SourceRejection on Prior ArtRejection of ClaimsExamination Procedures
StatutoryRequiredAlways
[mpep-2144-03-e61a119a5e5d5d53ee45e5f6]
Requirement for Traversing Examiner’s Notice of Official Knowledge
Note:
An applicant must specifically point out errors in the examiner's notice and explain why a noticed fact is not common knowledge or well-known in the art.

To adequately traverse a finding based on official notice, an applicant must specifically point out the supposed errors in the examiner’s action, which would include stating why the noticed fact is not considered to be common knowledge or well-known in the art. A mere request by the applicant that the examiner provide documentary evidence in support of an officially-noticed fact is not a proper traversal. See 37 CFR 1.111(b). See also Chevenard, 139 F.2d at 713, 60 USPQ at 241. A general allegation that the claims define a patentable invention without any reference to the examiner’s assertion of official notice would be inadequate. If applicant adequately traverses the examiner’s assertion of official notice, the examiner must provide documentary evidence in the next Office action if the rejection is to be maintained. If the examiner is relying on personal knowledge to support the finding of what is known in the art, the examiner must provide an affidavit or declaration setting forth specific factual statements and explanation to support the finding. See 37 CFR 1.104(d)(2).

Jump to MPEP Source · 37 CFR 1.111(b)Rejection on Prior ArtRejection of ClaimsExamination Procedures
StatutoryInformativeAlways
[mpep-2144-03-91e8eb6c1e5473f3a5ab9bd7]
Proper Traversal of Official Notice Not Merely Requesting Evidence
Note:
An applicant must specifically point out errors in an examiner’s official notice, not merely request evidence to support it.

To adequately traverse a finding based on official notice, an applicant must specifically point out the supposed errors in the examiner’s action, which would include stating why the noticed fact is not considered to be common knowledge or well-known in the art. A mere request by the applicant that the examiner provide documentary evidence in support of an officially-noticed fact is not a proper traversal. See 37 CFR 1.111(b). See also Chevenard, 139 F.2d at 713, 60 USPQ at 241. A general allegation that the claims define a patentable invention without any reference to the examiner’s assertion of official notice would be inadequate. If applicant adequately traverses the examiner’s assertion of official notice, the examiner must provide documentary evidence in the next Office action if the rejection is to be maintained. If the examiner is relying on personal knowledge to support the finding of what is known in the art, the examiner must provide an affidavit or declaration setting forth specific factual statements and explanation to support the finding. See 37 CFR 1.104(d)(2).

Jump to MPEP Source · 37 CFR 1.111(b)Rejection on Prior ArtRejection of ClaimsExamination Procedures
StatutoryInformativeAlways
[mpep-2144-03-e013809546545322defe1a62]
Requirement to Adequately Traverse Examiner’s Assertion of Official Notice
Note:
An applicant must specifically point out errors in the examiner's official notice and provide evidence or reasons why the noticed fact is not common knowledge.

To adequately traverse a finding based on official notice, an applicant must specifically point out the supposed errors in the examiner’s action, which would include stating why the noticed fact is not considered to be common knowledge or well-known in the art. A mere request by the applicant that the examiner provide documentary evidence in support of an officially-noticed fact is not a proper traversal. See 37 CFR 1.111(b). See also Chevenard, 139 F.2d at 713, 60 USPQ at 241. A general allegation that the claims define a patentable invention without any reference to the examiner’s assertion of official notice would be inadequate. If applicant adequately traverses the examiner’s assertion of official notice, the examiner must provide documentary evidence in the next Office action if the rejection is to be maintained. If the examiner is relying on personal knowledge to support the finding of what is known in the art, the examiner must provide an affidavit or declaration setting forth specific factual statements and explanation to support the finding. See 37 CFR 1.104(d)(2).

Jump to MPEP Source · 37 CFR 1.111(b)Rejection on Prior ArtRejection of ClaimsExamination Procedures
StatutoryProhibitedAlways
[mpep-2144-03-b40f3f404ceabc2fd812c9a6]
Examiner Must Not Rely on Other Teachings in Final Rejection
Note:
If no claims are amended, the examiner may not use additional teachings from a reference to support a final rejection.

If the examiner adds a reference in the next Office action after applicant’s rebuttal, and the newly added reference is added only as directly corresponding evidence to support the prior common knowledge finding, and it does not result in a new issue or constitute a new ground of rejection, the Office action may be made final. If no amendments are made to the claims, the examiner must not rely on any other teachings in the reference if the rejection is made final. If the newly cited reference is added for reasons other than to support the prior common knowledge statement or a new ground of rejection is introduced by the examiner that is not necessitated by applicant’s amendment of the claims, the rejection may not be made final. See MPEP § 706.07(a).

Jump to MPEP SourceRejection on Prior ArtRejection of ClaimsAmendments Adding New Matter
Topic

Establishing Prima Facie Case

5 rules
StatutoryInformativeAlways
[mpep-2144-03-557e8f7675a1013b634f32e5]
Facts Not Beyond Dispute Require Prior Art Reference
Note:
Examiners must cite prior art references when asserting facts not beyond dispute for establishing a prima facie case of obviousness.

It would not be appropriate for the examiner to take official notice of facts without citing a prior art reference where the facts asserted to be well known are not beyond dispute, or are not capable of instant and unquestionable demonstration as being well-known. See Ahlert, 424 F.2d at 1091, 165 USPQ at 420. Even if the examiner appropriately believes such fact may be of beyond dispute, it is not advisable to rely on official notice when an examiner can find a prior art disclosure to support the fact at issue. Assertions of technical facts in the areas of esoteric technology or specific knowledge of the prior art must always be supported by citation to some reference work recognized as standard in the pertinent art. Ahlert, 424 F.2d at 1091, 165 USPQ at 420-21. See also In re Grose, 592 F.2d 1161, 1167-68, 201 USPQ 57, 63 (CCPA 1979) (“When the PTO seeks to rely upon a chemical theory, in establishing a prima facie case of obviousness, it must provide evidentiary support for the existence and meaning of that theory.”); In re Eynde, 480 F.2d 1364, 1370, 178 USPQ 470, 474 (CCPA 1973) (“[W]e reject the notion that judicial or administrative notice may be taken of the state of the art. The facts constituting the state of the art are normally subject to the possibility of rational disagreement among reasonable men and are not amenable to the taking of such notice.”).

Jump to MPEP SourceEstablishing Prima Facie CasePrima Facie Case of ObviousnessObviousness
StatutoryPermittedAlways
[mpep-2144-03-686c7c9082a81fddaeb528cf]
Examiner Must Cite Prior Art for Technical Facts
Note:
The examiner must cite prior art to support technical facts rather than relying on official notice, even if the fact seems undisputed.

It would not be appropriate for the examiner to take official notice of facts without citing a prior art reference where the facts asserted to be well known are not beyond dispute, or are not capable of instant and unquestionable demonstration as being well-known. See Ahlert, 424 F.2d at 1091, 165 USPQ at 420. Even if the examiner appropriately believes such fact may be of beyond dispute, it is not advisable to rely on official notice when an examiner can find a prior art disclosure to support the fact at issue. Assertions of technical facts in the areas of esoteric technology or specific knowledge of the prior art must always be supported by citation to some reference work recognized as standard in the pertinent art. Ahlert, 424 F.2d at 1091, 165 USPQ at 420-21. See also In re Grose, 592 F.2d 1161, 1167-68, 201 USPQ 57, 63 (CCPA 1979) (“When the PTO seeks to rely upon a chemical theory, in establishing a prima facie case of obviousness, it must provide evidentiary support for the existence and meaning of that theory.”); In re Eynde, 480 F.2d 1364, 1370, 178 USPQ 470, 474 (CCPA 1973) (“[W]e reject the notion that judicial or administrative notice may be taken of the state of the art. The facts constituting the state of the art are normally subject to the possibility of rational disagreement among reasonable men and are not amenable to the taking of such notice.”).

Jump to MPEP SourceEstablishing Prima Facie CasePrima Facie Case of ObviousnessObviousness
StatutoryRequiredAlways
[mpep-2144-03-bbe0d3938539fa8d013b1aeb]
Technical Facts Must Be Cited
Note:
Assertions of technical facts in esoteric technology must be supported by a recognized standard reference work.

It would not be appropriate for the examiner to take official notice of facts without citing a prior art reference where the facts asserted to be well known are not beyond dispute, or are not capable of instant and unquestionable demonstration as being well-known. See Ahlert, 424 F.2d at 1091, 165 USPQ at 420. Even if the examiner appropriately believes such fact may be of beyond dispute, it is not advisable to rely on official notice when an examiner can find a prior art disclosure to support the fact at issue. Assertions of technical facts in the areas of esoteric technology or specific knowledge of the prior art must always be supported by citation to some reference work recognized as standard in the pertinent art. Ahlert, 424 F.2d at 1091, 165 USPQ at 420-21. See also In re Grose, 592 F.2d 1161, 1167-68, 201 USPQ 57, 63 (CCPA 1979) (“When the PTO seeks to rely upon a chemical theory, in establishing a prima facie case of obviousness, it must provide evidentiary support for the existence and meaning of that theory.”); In re Eynde, 480 F.2d 1364, 1370, 178 USPQ 470, 474 (CCPA 1973) (“[W]e reject the notion that judicial or administrative notice may be taken of the state of the art. The facts constituting the state of the art are normally subject to the possibility of rational disagreement among reasonable men and are not amenable to the taking of such notice.”).

Jump to MPEP SourceEstablishing Prima Facie CasePrima Facie Case of ObviousnessObviousness
StatutoryRequiredAlways
[mpep-2144-03-664e23900d439f373d7797ef]
PTO Must Provide Evidence for Chemical Theories in Obviousness Cases
Note:
The PTO must provide evidentiary support for any chemical theory it relies on to establish a prima facie case of obviousness.

It would not be appropriate for the examiner to take official notice of facts without citing a prior art reference where the facts asserted to be well known are not beyond dispute, or are not capable of instant and unquestionable demonstration as being well-known. See Ahlert, 424 F.2d at 1091, 165 USPQ at 420. Even if the examiner appropriately believes such fact may be of beyond dispute, it is not advisable to rely on official notice when an examiner can find a prior art disclosure to support the fact at issue. Assertions of technical facts in the areas of esoteric technology or specific knowledge of the prior art must always be supported by citation to some reference work recognized as standard in the pertinent art. Ahlert, 424 F.2d at 1091, 165 USPQ at 420-21. See also In re Grose, 592 F.2d 1161, 1167-68, 201 USPQ 57, 63 (CCPA 1979) (“When the PTO seeks to rely upon a chemical theory, in establishing a prima facie case of obviousness, it must provide evidentiary support for the existence and meaning of that theory.”); In re Eynde, 480 F.2d 1364, 1370, 178 USPQ 470, 474 (CCPA 1973) (“[W]e reject the notion that judicial or administrative notice may be taken of the state of the art. The facts constituting the state of the art are normally subject to the possibility of rational disagreement among reasonable men and are not amenable to the taking of such notice.”).

Jump to MPEP SourceEstablishing Prima Facie CasePrima Facie Case of ObviousnessObviousness
StatutoryInformativeAlways
[mpep-2144-03-05179fe34384c8810f84949f]
Facts Constituting State of the Art Not Amenable to Official Notice
Note:
The examiner cannot take official notice of facts constituting the state of the art without citation to a prior art reference or standard work in the pertinent art.

It would not be appropriate for the examiner to take official notice of facts without citing a prior art reference where the facts asserted to be well known are not beyond dispute, or are not capable of instant and unquestionable demonstration as being well-known. See Ahlert, 424 F.2d at 1091, 165 USPQ at 420. Even if the examiner appropriately believes such fact may be of beyond dispute, it is not advisable to rely on official notice when an examiner can find a prior art disclosure to support the fact at issue. Assertions of technical facts in the areas of esoteric technology or specific knowledge of the prior art must always be supported by citation to some reference work recognized as standard in the pertinent art. Ahlert, 424 F.2d at 1091, 165 USPQ at 420-21. See also In re Grose, 592 F.2d 1161, 1167-68, 201 USPQ 57, 63 (CCPA 1979) (“When the PTO seeks to rely upon a chemical theory, in establishing a prima facie case of obviousness, it must provide evidentiary support for the existence and meaning of that theory.”); In re Eynde, 480 F.2d 1364, 1370, 178 USPQ 470, 474 (CCPA 1973) (“[W]e reject the notion that judicial or administrative notice may be taken of the state of the art. The facts constituting the state of the art are normally subject to the possibility of rational disagreement among reasonable men and are not amenable to the taking of such notice.”).

Jump to MPEP SourceEstablishing Prima Facie CasePrima Facie Case of ObviousnessObviousness
Topic

Implicit or Inherent Motivation

5 rules
StatutoryInformativeAlways
[mpep-2144-03-0f9747ee57901086bb1361e5]
Relying on Common Knowledge Requires Evidence
Note:
The rule requires that any reliance on common knowledge in the art must be supported by evidence in the record, as it is the principal basis for a rejection.

It is never appropriate to rely solely on “common knowledge” in the art without evidentiary support in the record, as the principal evidence upon which a rejection was based. Zurko, 258 F.3d at 1385, 59 USPQ2d at 1697 (“[T]he Board cannot simply reach conclusions based on its own understanding or experience—or on its assessment of what would be basic knowledge or common sense. Rather, the Board must point to some concrete evidence in the record in support of these findings.”). While the court explained that, “as an administrative tribunal the Board clearly has expertise in the subject matter over which it exercises jurisdiction,” it made clear that such “expertise may provide sufficient support for conclusions [only] as to peripheral issues.” Id. at 1385-86, 59 USPQ2d at 1697. As the court held in Zurko, an assessment of basic knowledge and common sense that is not based on any evidence in the record lacks substantial evidence support. Id. at 1385, 59 USPQ2d at 1697. See also Arendi v. Apple, 832 F.3d 1355, 119 USPQ2d 1822 (Fed. Cir. 2016) (finding that the Board had not provided a reasoned analysis, supported by the evidence of record, for why “common sense” taught the missing process step). See also In re Van Os, 844 F.3d 1359, 1361, 121 USPQ2d 1209, 1211 (Fed. Cir. 2017) (“Absent some articulated rationale, a finding that a combination of prior art would have been ‘common sense’ or ‘intuitive’ is no different than merely stating the combination ‘would have been obvious.’… Here, neither the Board nor the examiner provided any reasoning or analysis to support finding a motivation to add Gillespie's disclosure to Hawkins beyond stating it would have been an ‘intuitive way’ to initiate Hawkins’ editing mode.”).

Jump to MPEP SourceImplicit or Inherent MotivationPTAB JurisdictionTeaching, Suggestion, Motivation (TSM)
StatutoryProhibitedAlways
[mpep-2144-03-723adbcb4266b5a4f68e73e0]
Board Must Base Conclusions on Record Evidence
Note:
The Board cannot make conclusions based on common knowledge without supporting evidence from the record.

It is never appropriate to rely solely on “common knowledge” in the art without evidentiary support in the record, as the principal evidence upon which a rejection was based. Zurko, 258 F.3d at 1385, 59 USPQ2d at 1697 (“[T]he Board cannot simply reach conclusions based on its own understanding or experience—or on its assessment of what would be basic knowledge or common sense. Rather, the Board must point to some concrete evidence in the record in support of these findings.”). While the court explained that, “as an administrative tribunal the Board clearly has expertise in the subject matter over which it exercises jurisdiction,” it made clear that such “expertise may provide sufficient support for conclusions [only] as to peripheral issues.” Id. at 1385-86, 59 USPQ2d at 1697. As the court held in Zurko, an assessment of basic knowledge and common sense that is not based on any evidence in the record lacks substantial evidence support. Id. at 1385, 59 USPQ2d at 1697. See also Arendi v. Apple, 832 F.3d 1355, 119 USPQ2d 1822 (Fed. Cir. 2016) (finding that the Board had not provided a reasoned analysis, supported by the evidence of record, for why “common sense” taught the missing process step). See also In re Van Os, 844 F.3d 1359, 1361, 121 USPQ2d 1209, 1211 (Fed. Cir. 2017) (“Absent some articulated rationale, a finding that a combination of prior art would have been ‘common sense’ or ‘intuitive’ is no different than merely stating the combination ‘would have been obvious.’… Here, neither the Board nor the examiner provided any reasoning or analysis to support finding a motivation to add Gillespie's disclosure to Hawkins beyond stating it would have been an ‘intuitive way’ to initiate Hawkins’ editing mode.”).

Jump to MPEP SourceImplicit or Inherent MotivationPTAB JurisdictionPTAB Contested Case Procedures
StatutoryInformativeAlways
[mpep-2144-03-49e1fbc6bdfb186395e3c34d]
Relying on Common Knowledge Requires Evidence
Note:
The Board must provide evidence from the record to support any assessment based on common knowledge or basic understanding in the art, not just rely on its own expertise.

It is never appropriate to rely solely on “common knowledge” in the art without evidentiary support in the record, as the principal evidence upon which a rejection was based. Zurko, 258 F.3d at 1385, 59 USPQ2d at 1697 (“[T]he Board cannot simply reach conclusions based on its own understanding or experience—or on its assessment of what would be basic knowledge or common sense. Rather, the Board must point to some concrete evidence in the record in support of these findings.”). While the court explained that, “as an administrative tribunal the Board clearly has expertise in the subject matter over which it exercises jurisdiction,” it made clear that such “expertise may provide sufficient support for conclusions [only] as to peripheral issues.” Id. at 1385-86, 59 USPQ2d at 1697. As the court held in Zurko, an assessment of basic knowledge and common sense that is not based on any evidence in the record lacks substantial evidence support. Id. at 1385, 59 USPQ2d at 1697. See also Arendi v. Apple, 832 F.3d 1355, 119 USPQ2d 1822 (Fed. Cir. 2016) (finding that the Board had not provided a reasoned analysis, supported by the evidence of record, for why “common sense” taught the missing process step). See also In re Van Os, 844 F.3d 1359, 1361, 121 USPQ2d 1209, 1211 (Fed. Cir. 2017) (“Absent some articulated rationale, a finding that a combination of prior art would have been ‘common sense’ or ‘intuitive’ is no different than merely stating the combination ‘would have been obvious.’… Here, neither the Board nor the examiner provided any reasoning or analysis to support finding a motivation to add Gillespie's disclosure to Hawkins beyond stating it would have been an ‘intuitive way’ to initiate Hawkins’ editing mode.”).

Jump to MPEP SourceImplicit or Inherent MotivationPTAB JurisdictionTeaching, Suggestion, Motivation (TSM)
StatutoryInformativeAlways
[mpep-2144-03-7e52b0abf70018eead0f01c4]
Assessment of Basic Knowledge Requires Record Evidence
Note:
An assessment relying on basic knowledge and common sense must be supported by evidence in the record to meet substantial evidence requirements.

It is never appropriate to rely solely on “common knowledge” in the art without evidentiary support in the record, as the principal evidence upon which a rejection was based. Zurko, 258 F.3d at 1385, 59 USPQ2d at 1697 (“[T]he Board cannot simply reach conclusions based on its own understanding or experience—or on its assessment of what would be basic knowledge or common sense. Rather, the Board must point to some concrete evidence in the record in support of these findings.”). While the court explained that, “as an administrative tribunal the Board clearly has expertise in the subject matter over which it exercises jurisdiction,” it made clear that such “expertise may provide sufficient support for conclusions [only] as to peripheral issues.” Id. at 1385-86, 59 USPQ2d at 1697. As the court held in Zurko, an assessment of basic knowledge and common sense that is not based on any evidence in the record lacks substantial evidence support. Id. at 1385, 59 USPQ2d at 1697. See also Arendi v. Apple, 832 F.3d 1355, 119 USPQ2d 1822 (Fed. Cir. 2016) (finding that the Board had not provided a reasoned analysis, supported by the evidence of record, for why “common sense” taught the missing process step). See also In re Van Os, 844 F.3d 1359, 1361, 121 USPQ2d 1209, 1211 (Fed. Cir. 2017) (“Absent some articulated rationale, a finding that a combination of prior art would have been ‘common sense’ or ‘intuitive’ is no different than merely stating the combination ‘would have been obvious.’… Here, neither the Board nor the examiner provided any reasoning or analysis to support finding a motivation to add Gillespie's disclosure to Hawkins beyond stating it would have been an ‘intuitive way’ to initiate Hawkins’ editing mode.”).

Jump to MPEP SourceImplicit or Inherent MotivationPTAB JurisdictionTeaching, Suggestion, Motivation (TSM)
StatutoryInformativeAlways
[mpep-2144-03-50e174ec3a527347432d2558]
Relying on Common Knowledge Requires Evidence
Note:
The court requires that any reliance on common knowledge in the art be supported by evidence in the record, not just assumptions or experience.

It is never appropriate to rely solely on “common knowledge” in the art without evidentiary support in the record, as the principal evidence upon which a rejection was based. Zurko, 258 F.3d at 1385, 59 USPQ2d at 1697 (“[T]he Board cannot simply reach conclusions based on its own understanding or experience—or on its assessment of what would be basic knowledge or common sense. Rather, the Board must point to some concrete evidence in the record in support of these findings.”). While the court explained that, “as an administrative tribunal the Board clearly has expertise in the subject matter over which it exercises jurisdiction,” it made clear that such “expertise may provide sufficient support for conclusions [only] as to peripheral issues.” Id. at 1385-86, 59 USPQ2d at 1697. As the court held in Zurko, an assessment of basic knowledge and common sense that is not based on any evidence in the record lacks substantial evidence support. Id. at 1385, 59 USPQ2d at 1697. See also Arendi v. Apple, 832 F.3d 1355, 119 USPQ2d 1822 (Fed. Cir. 2016) (finding that the Board had not provided a reasoned analysis, supported by the evidence of record, for why “common sense” taught the missing process step). See also In re Van Os, 844 F.3d 1359, 1361, 121 USPQ2d 1209, 1211 (Fed. Cir. 2017) (“Absent some articulated rationale, a finding that a combination of prior art would have been ‘common sense’ or ‘intuitive’ is no different than merely stating the combination ‘would have been obvious.’… Here, neither the Board nor the examiner provided any reasoning or analysis to support finding a motivation to add Gillespie's disclosure to Hawkins beyond stating it would have been an ‘intuitive way’ to initiate Hawkins’ editing mode.”).

Jump to MPEP SourceImplicit or Inherent MotivationPTAB JurisdictionPTAB Contested Case Procedures
Topic

PTAB Jurisdiction

3 rules
StatutoryInformativeAlways
[mpep-2144-03-a61cf35e9797fd93ee1d65ec]
Judicial Notice of Well-Known Art Facts
Note:
The court allows taking judicial notice of well-known facts in the art without documentary evidence if they are beyond dispute.

Official notice unsupported by documentary evidence may be taken by the examiner where the facts asserted to be well-known, or to be common knowledge in the art, are “capable of such instant and unquestionable demonstration as to defy dispute.” In re Ahlert, 424 F.2d 1088, 1091, 165 USPQ 418, 420 (CCPA 1970) (citing In re Knapp Monarch Co., 296 F.2d 230, 132 USPQ 6 (CCPA 1961)). In Ahlert, the court held that the Board properly took judicial notice that “it is old to adjust intensity of a flame in accordance with the heat requirement.” Note that in this case the noticed fact was beyond dispute, so the court affirmed even though no evidence had been presented as to any prior art disclosure providing “instant and unquestionable demonstration” of that fact. See also In re Fox, 471 F.2d 1405, 1407, 176 USPQ 340, 341 (CCPA 1973) (the court took “judicial notice of the fact that tape recorders commonly erase tape automatically when new ‘audio information’ is recorded on a tape which already has a recording on it”). In appropriate circumstances, it might be reasonable to take official notice of the fact that it is desirable to make something faster, cheaper, better, or stronger without the specific support of documentary evidence. Furthermore, it might be reasonable for the examiner in a first Office action to take official notice of facts by asserting that certain limitations in a dependent claim are old and well known expedients in the art without the support of documentary evidence provided the facts so noticed are of notorious character and serve only to “fill in the gaps” which might exist in the evidentiary showing made by the examiner to support a particular ground of rejection. In re Zurko, 258 F.3d 1379, 1385, 59 USPQ2d 1693, 1697 (Fed. Cir. 2001); Ahlert, 424 F.2d at 1092, 165 USPQ at 421.

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresFirst Action on Merits (FAOM)
StatutoryRequiredAlways
[mpep-2144-03-f718ecf71ed9249a983aee6a]
Board Must Support Findings with Record Evidence
Note:
The Board must base its findings on concrete evidence from the record, even when it has expertise in the subject matter.

It is never appropriate to rely solely on “common knowledge” in the art without evidentiary support in the record, as the principal evidence upon which a rejection was based. Zurko, 258 F.3d at 1385, 59 USPQ2d at 1697 (“[T]he Board cannot simply reach conclusions based on its own understanding or experience—or on its assessment of what would be basic knowledge or common sense. Rather, the Board must point to some concrete evidence in the record in support of these findings.”). While the court explained that, “as an administrative tribunal the Board clearly has expertise in the subject matter over which it exercises jurisdiction,” it made clear that such “expertise may provide sufficient support for conclusions [only] as to peripheral issues.” Id. at 1385-86, 59 USPQ2d at 1697. As the court held in Zurko, an assessment of basic knowledge and common sense that is not based on any evidence in the record lacks substantial evidence support. Id. at 1385, 59 USPQ2d at 1697. See also Arendi v. Apple, 832 F.3d 1355, 119 USPQ2d 1822 (Fed. Cir. 2016) (finding that the Board had not provided a reasoned analysis, supported by the evidence of record, for why “common sense” taught the missing process step). See also In re Van Os, 844 F.3d 1359, 1361, 121 USPQ2d 1209, 1211 (Fed. Cir. 2017) (“Absent some articulated rationale, a finding that a combination of prior art would have been ‘common sense’ or ‘intuitive’ is no different than merely stating the combination ‘would have been obvious.’… Here, neither the Board nor the examiner provided any reasoning or analysis to support finding a motivation to add Gillespie's disclosure to Hawkins beyond stating it would have been an ‘intuitive way’ to initiate Hawkins’ editing mode.”).

Jump to MPEP SourcePTAB JurisdictionPTAB Contested Case ProceduresImplicit or Inherent Motivation
StatutoryInformativeAlways
[mpep-2144-03-b1c2e615636846e061fd4e3c]
PTAB Must Provide Reasoned Analysis for Common Sense Motivation
Note:
The PTAB must provide a reasoned analysis supported by evidence in the record when relying on common sense or basic knowledge to establish a motivation for combining prior art disclosures.

It is never appropriate to rely solely on “common knowledge” in the art without evidentiary support in the record, as the principal evidence upon which a rejection was based. Zurko, 258 F.3d at 1385, 59 USPQ2d at 1697 (“[T]he Board cannot simply reach conclusions based on its own understanding or experience—or on its assessment of what would be basic knowledge or common sense. Rather, the Board must point to some concrete evidence in the record in support of these findings.”). While the court explained that, “as an administrative tribunal the Board clearly has expertise in the subject matter over which it exercises jurisdiction,” it made clear that such “expertise may provide sufficient support for conclusions [only] as to peripheral issues.” Id. at 1385-86, 59 USPQ2d at 1697. As the court held in Zurko, an assessment of basic knowledge and common sense that is not based on any evidence in the record lacks substantial evidence support. Id. at 1385, 59 USPQ2d at 1697. See also Arendi v. Apple, 832 F.3d 1355, 119 USPQ2d 1822 (Fed. Cir. 2016) (finding that the Board had not provided a reasoned analysis, supported by the evidence of record, for why “common sense” taught the missing process step). See also In re Van Os, 844 F.3d 1359, 1361, 121 USPQ2d 1209, 1211 (Fed. Cir. 2017) (“Absent some articulated rationale, a finding that a combination of prior art would have been ‘common sense’ or ‘intuitive’ is no different than merely stating the combination ‘would have been obvious.’… Here, neither the Board nor the examiner provided any reasoning or analysis to support finding a motivation to add Gillespie's disclosure to Hawkins beyond stating it would have been an ‘intuitive way’ to initiate Hawkins’ editing mode.”).

Jump to MPEP SourcePTAB JurisdictionTeaching, Suggestion, Motivation (TSM)PTAB Contested Case Procedures
Topic

Responding to AAPA-Based Rejection

3 rules
StatutoryRecommendedAlways
[mpep-2144-03-237e62f89591e14b2e4dfd29]
Examiner Can Admit Official Notice as Prior Art If Not Traversed Adequately
Note:
If the applicant does not traverse an examiner's assertion of official notice or the traverse is inadequate, the examiner can treat the common knowledge or well-known in art statement as admitted prior art in the next Office action.

If applicant does not traverse the examiner’s assertion of official notice or applicant’s traverse is not adequate, the examiner should clearly indicate in the next Office action that the common knowledge or well-known in the art statement is taken to be admitted prior art because applicant either failed to traverse the examiner’s assertion of official notice or that the traverse was inadequate. See Ahlert, 424 F.2d at 1091, 165 USPQ at 420. If the traverse was inadequate, the examiner should include an explanation as to why it was inadequate.

Jump to MPEP SourceResponding to AAPA-Based RejectionApplicant Admitted Prior Art (AAPA)Office Actions and Responses
StatutoryInformativeAlways
[mpep-2144-03-b28f7297baf5b3cd1b1e2707]
Examiner Should Admit Official Notice When Applicant Does Not Traverse
Note:
If the applicant does not adequately traverse the examiner’s assertion of official notice, the examiner should clearly indicate in the next Office action that the common knowledge or well-known prior art statement is taken to be admitted.

If applicant does not traverse the examiner’s assertion of official notice or applicant’s traverse is not adequate, the examiner should clearly indicate in the next Office action that the common knowledge or well-known in the art statement is taken to be admitted prior art because applicant either failed to traverse the examiner’s assertion of official notice or that the traverse was inadequate. See Ahlert, 424 F.2d at 1091, 165 USPQ at 420. If the traverse was inadequate, the examiner should include an explanation as to why it was inadequate.

Jump to MPEP SourceResponding to AAPA-Based RejectionApplicant Admitted Prior Art (AAPA)Office Actions and Responses
StatutoryRecommendedAlways
[mpep-2144-03-0a8f6bc2256dcce5734f79d6]
Examiner Must Explain Inadequate Traverse
Note:
If the traverse was inadequate, the examiner must provide an explanation in the next Office action.

If applicant does not traverse the examiner’s assertion of official notice or applicant’s traverse is not adequate, the examiner should clearly indicate in the next Office action that the common knowledge or well-known in the art statement is taken to be admitted prior art because applicant either failed to traverse the examiner’s assertion of official notice or that the traverse was inadequate. See Ahlert, 424 F.2d at 1091, 165 USPQ at 420. If the traverse was inadequate, the examiner should include an explanation as to why it was inadequate.

Jump to MPEP SourceResponding to AAPA-Based RejectionApplicant Admitted Prior Art (AAPA)Office Actions and Responses
Topic

Prior Art

2 rules
StatutoryInformativeAlways
[mpep-2144-03-d17aad5b09cc9106d74e98c0]
Examiner Must Cite Prior Art When Reasonably Possible
Note:
When reasonably possible, examiners should cite prior art references rather than relying on official notice without documentary evidence.

Official notice without documentary evidence to support an examiner’s conclusion is permissible only in some circumstances. It is always preferable, when reasonably possible, for the examiner to cite a prior art reference rather than to rely on official notice. When an application is under final rejection or action under 37 CFR 1.113, official notice should be rarely used.

StatutoryRecommendedAlways
[mpep-2144-03-eb57928f1d0a4e68c2208e55]
Official Notice Rarely Used in Final Rejections
Note:
When an application is under final rejection, official notice without documentary evidence should be rarely used by examiners.

Official notice without documentary evidence to support an examiner’s conclusion is permissible only in some circumstances. It is always preferable, when reasonably possible, for the examiner to cite a prior art reference rather than to rely on official notice. When an application is under final rejection or action under 37 CFR 1.113, official notice should be rarely used.

Topic

First Action on Merits (FAOM)

2 rules
StatutoryPermittedAlways
[mpep-2144-03-f2d4265a7079bbd455a47194]
Examiner May Take Official Notice of Well-Known Facts Without Documentary Evidence
Note:
The examiner can take official notice of well-known facts in the art without documentary evidence if they are indisputable.

Official notice unsupported by documentary evidence may be taken by the examiner where the facts asserted to be well-known, or to be common knowledge in the art, are “capable of such instant and unquestionable demonstration as to defy dispute.” In re Ahlert, 424 F.2d 1088, 1091, 165 USPQ 418, 420 (CCPA 1970) (citing In re Knapp Monarch Co., 296 F.2d 230, 132 USPQ 6 (CCPA 1961)). In Ahlert, the court held that the Board properly took judicial notice that “it is old to adjust intensity of a flame in accordance with the heat requirement.” Note that in this case the noticed fact was beyond dispute, so the court affirmed even though no evidence had been presented as to any prior art disclosure providing “instant and unquestionable demonstration” of that fact. See also In re Fox, 471 F.2d 1405, 1407, 176 USPQ 340, 341 (CCPA 1973) (the court took “judicial notice of the fact that tape recorders commonly erase tape automatically when new ‘audio information’ is recorded on a tape which already has a recording on it”). In appropriate circumstances, it might be reasonable to take official notice of the fact that it is desirable to make something faster, cheaper, better, or stronger without the specific support of documentary evidence. Furthermore, it might be reasonable for the examiner in a first Office action to take official notice of facts by asserting that certain limitations in a dependent claim are old and well known expedients in the art without the support of documentary evidence provided the facts so noticed are of notorious character and serve only to “fill in the gaps” which might exist in the evidentiary showing made by the examiner to support a particular ground of rejection. In re Zurko, 258 F.3d 1379, 1385, 59 USPQ2d 1693, 1697 (Fed. Cir. 2001); Ahlert, 424 F.2d at 1092, 165 USPQ at 421.

Jump to MPEP SourceFirst Action on Merits (FAOM)Non-Final Action ContentTypes of Office Actions
StatutoryInformativeAlways
[mpep-2144-03-8a72c125490df051178a4e9a]
Official Notice Without Documentary Evidence for Well-Known Art Facts
Note:
Allows examiners to take official notice of well-known art facts without documentary evidence if the fact is beyond dispute and serves to fill evidentiary gaps.

Official notice unsupported by documentary evidence may be taken by the examiner where the facts asserted to be well-known, or to be common knowledge in the art, are “capable of such instant and unquestionable demonstration as to defy dispute.” In re Ahlert, 424 F.2d 1088, 1091, 165 USPQ 418, 420 (CCPA 1970) (citing In re Knapp Monarch Co., 296 F.2d 230, 132 USPQ 6 (CCPA 1961)). In Ahlert, the court held that the Board properly took judicial notice that “it is old to adjust intensity of a flame in accordance with the heat requirement.” Note that in this case the noticed fact was beyond dispute, so the court affirmed even though no evidence had been presented as to any prior art disclosure providing “instant and unquestionable demonstration” of that fact. See also In re Fox, 471 F.2d 1405, 1407, 176 USPQ 340, 341 (CCPA 1973) (the court took “judicial notice of the fact that tape recorders commonly erase tape automatically when new ‘audio information’ is recorded on a tape which already has a recording on it”). In appropriate circumstances, it might be reasonable to take official notice of the fact that it is desirable to make something faster, cheaper, better, or stronger without the specific support of documentary evidence. Furthermore, it might be reasonable for the examiner in a first Office action to take official notice of facts by asserting that certain limitations in a dependent claim are old and well known expedients in the art without the support of documentary evidence provided the facts so noticed are of notorious character and serve only to “fill in the gaps” which might exist in the evidentiary showing made by the examiner to support a particular ground of rejection. In re Zurko, 258 F.3d 1379, 1385, 59 USPQ2d 1693, 1697 (Fed. Cir. 2001); Ahlert, 424 F.2d at 1092, 165 USPQ at 421.

Jump to MPEP SourceFirst Action on Merits (FAOM)Non-Final Action ContentTypes of Office Actions
Topic

Rejection of Claims

2 rules
StatutoryRecommendedAlways
[mpep-2144-03-7f6cb21c60517829772d05d6]
Examiner Must Provide Explicit Basis for Common Knowledge Rejection
Note:
The examiner must provide specific factual findings to support a 'common knowledge' rejection and inform the applicant so they can adequately respond.

In certain older cases, official notice has been taken of a fact that is asserted to be “common knowledge” without specific reliance on documentary evidence where the fact noticed was readily verifiable, such as when other references of record supported the noticed fact, or where there was nothing of record to contradict it. See In re Soli, 317 F.2d 941, 945-46, 137 USPQ 797, 800 (CCPA 1963) (accepting the examiner’s assertion that the use of “a control is standard procedure throughout the entire field of bacteriology” because it was readily verifiable and disclosed in references of record not cited by the Office); In re Chevenard, 139 F.2d 711, 713, 60 USPQ 239, 241 (CCPA 1943) (accepting the examiner’s finding that a brief heating at a higher temperature was the equivalent of a longer heating at a lower temperature where there was nothing in the record to indicate the contrary and where the applicant never demanded that the examiner produce evidence to support his statement). If such notice is taken, the basis for such reasoning must be set forth explicitly. The examiner must provide specific factual findings predicated on sound technical and scientific reasoning to support the conclusion of common knowledge. See Soli, 317 F.2d at 946, 37 USPQ at 801; Chevenard, 139 F.2d at 713, 60 USPQ at 241. The applicant should be presented with the explicit basis on which the examiner regards the matter as subject to official notice so as to allow the applicant an opportunity to adequately traverse the rejection in the next reply after the Office action in which the "common knowledge" statement was made.

Jump to MPEP SourceRejection of ClaimsExamination ProceduresRejection on Prior Art
StatutoryRequiredAlways
[mpep-2144-03-6c65544769582e663cbd2784]
Examiner Must Provide Evidence After Adequate Traversal
Note:
If an applicant adequately challenges the examiner's assertion of official notice, the examiner must provide documentary evidence in the next Office action if the rejection is to be maintained.

To adequately traverse a finding based on official notice, an applicant must specifically point out the supposed errors in the examiner’s action, which would include stating why the noticed fact is not considered to be common knowledge or well-known in the art. A mere request by the applicant that the examiner provide documentary evidence in support of an officially-noticed fact is not a proper traversal. See 37 CFR 1.111(b). See also Chevenard, 139 F.2d at 713, 60 USPQ at 241. A general allegation that the claims define a patentable invention without any reference to the examiner’s assertion of official notice would be inadequate. If applicant adequately traverses the examiner’s assertion of official notice, the examiner must provide documentary evidence in the next Office action if the rejection is to be maintained. If the examiner is relying on personal knowledge to support the finding of what is known in the art, the examiner must provide an affidavit or declaration setting forth specific factual statements and explanation to support the finding. See 37 CFR 1.104(d)(2).

Jump to MPEP Source · 37 CFR 1.111(b)Rejection of ClaimsExamination ProceduresRejection on Prior Art
Topic

Appeal to Federal Circuit

2 rules
MPEP GuidanceInformativeAlways
[mpep-2144-03-52983478857c4df199ba6b3a]
Standard of Review for Findings of Fact Under APA
Note:
The Administrative Procedure Act requires that findings of fact be supported by substantial evidence.

The standard of review applied to findings of fact is the “substantial evidence” standard under the Administrative Procedure Act (APA), 5 U.S.C. 500 et seq. See In re Gartside, 203 F.3d 1305, 1315, 53 USPQ2d 1769, 1775 (Fed. Cir. 2000). See also MPEP § 1216.01. In light of recent Federal Circuit decisions as discussed below and the substantial evidence standard of review now applied to USPTO Board decisions, the following guidance is provided in order to assist the examiners in determining when it is appropriate to take official notice of facts without supporting documentary evidence or to rely on common knowledge in the art in making a rejection, and if such official notice is taken, what evidence is necessary to support the examiner’s conclusion of common knowledge in the art.

Jump to MPEP SourceAppeal to Federal CircuitJudicial Review of Board DecisionsPTAB Jurisdiction
MPEP GuidanceInformativeAlways
[mpep-2144-03-ef42a63874a6824a0a7b4f82]
When to Take Official Notice of Facts Without Documentary Evidence
Note:
Guidance for examiners on determining when it is appropriate to take official notice of facts without supporting documentary evidence and the necessary evidence required to support such notice.

The standard of review applied to findings of fact is the “substantial evidence” standard under the Administrative Procedure Act (APA), 5 U.S.C. 500 et seq. See In re Gartside, 203 F.3d 1305, 1315, 53 USPQ2d 1769, 1775 (Fed. Cir. 2000). See also MPEP § 1216.01. In light of recent Federal Circuit decisions as discussed below and the substantial evidence standard of review now applied to USPTO Board decisions, the following guidance is provided in order to assist the examiners in determining when it is appropriate to take official notice of facts without supporting documentary evidence or to rely on common knowledge in the art in making a rejection, and if such official notice is taken, what evidence is necessary to support the examiner’s conclusion of common knowledge in the art.

Jump to MPEP SourceAppeal to Federal CircuitJudicial Review of Board DecisionsPTAB Jurisdiction
Topic

Examination Procedures

1 rules
StatutoryRequiredAlways
[mpep-2144-03-4d49815184f62c7c03fb8135]
Examiner Must Provide Affidavit for Personal Knowledge of Art
Note:
If the examiner relies on personal knowledge to support a finding about what is known in the art, they must provide an affidavit or declaration with specific factual statements and explanations.

To adequately traverse a finding based on official notice, an applicant must specifically point out the supposed errors in the examiner’s action, which would include stating why the noticed fact is not considered to be common knowledge or well-known in the art. A mere request by the applicant that the examiner provide documentary evidence in support of an officially-noticed fact is not a proper traversal. See 37 CFR 1.111(b). See also Chevenard, 139 F.2d at 713, 60 USPQ at 241. A general allegation that the claims define a patentable invention without any reference to the examiner’s assertion of official notice would be inadequate. If applicant adequately traverses the examiner’s assertion of official notice, the examiner must provide documentary evidence in the next Office action if the rejection is to be maintained. If the examiner is relying on personal knowledge to support the finding of what is known in the art, the examiner must provide an affidavit or declaration setting forth specific factual statements and explanation to support the finding. See 37 CFR 1.104(d)(2).

Jump to MPEP Source · 37 CFR 1.111(b)Examination ProceduresRejection on Prior ArtRejection of Claims
Topic

New Grounds of Rejection

1 rules
StatutoryPermittedAlways
[mpep-2144-03-90bea62f85605d856429100d]
Examiner May Add Supporting Reference Without New Issue
Note:
The examiner can add a reference in the next Office action to support prior common knowledge without introducing new issues or grounds of rejection, making the action final if no claim amendments are made.

If the examiner adds a reference in the next Office action after applicant’s rebuttal, and the newly added reference is added only as directly corresponding evidence to support the prior common knowledge finding, and it does not result in a new issue or constitute a new ground of rejection, the Office action may be made final. If no amendments are made to the claims, the examiner must not rely on any other teachings in the reference if the rejection is made final. If the newly cited reference is added for reasons other than to support the prior common knowledge statement or a new ground of rejection is introduced by the examiner that is not necessitated by applicant’s amendment of the claims, the rejection may not be made final. See MPEP § 706.07(a).

Jump to MPEP SourceNew Grounds of RejectionRejection on Prior ArtRejection of Claims
Topic

Amendments Adding New Matter

1 rules
StatutoryProhibitedAlways
[mpep-2144-03-e765a7047070ae1e24ef53a6]
Requirement for New Ground Not Introduced by Claims Amendment
Note:
The examiner may not make a rejection final if the new reference is added for reasons other than supporting prior common knowledge or introducing a new ground of rejection necessitated by claim amendments.

If the examiner adds a reference in the next Office action after applicant’s rebuttal, and the newly added reference is added only as directly corresponding evidence to support the prior common knowledge finding, and it does not result in a new issue or constitute a new ground of rejection, the Office action may be made final. If no amendments are made to the claims, the examiner must not rely on any other teachings in the reference if the rejection is made final. If the newly cited reference is added for reasons other than to support the prior common knowledge statement or a new ground of rejection is introduced by the examiner that is not necessitated by applicant’s amendment of the claims, the rejection may not be made final. See MPEP § 706.07(a).

Jump to MPEP SourceAmendments Adding New MatterNew Grounds of RejectionRejection on Prior Art

Citations

Primary topicCitation
Examination Procedures
Rejection of Claims
Rejection on Prior Art
37 CFR § 1.104(d)(2)
Examination Procedures
Rejection of Claims
Rejection on Prior Art
37 CFR § 1.111(b)
Prior Art37 CFR § 1.113
Appeal to Federal CircuitMPEP § 1216.01
Amendments Adding New Matter
New Grounds of Rejection
Rejection on Prior Art
MPEP § 706.07(a)
First Action on Merits (FAOM)
PTAB Jurisdiction
In re Ahlert, 424 F.2d 1088, 1091, 165 USPQ 418, 420 (CCPA 1970)
Rejection of Claims
Rejection on Prior Art
In re Chevenard, 139 F.2d 711, 713, 60 USPQ 239, 241 (CCPA 1943)
Establishing Prima Facie CaseIn re Eynde, 480 F.2d 1364, 1370, 178 USPQ 470, 474 (CCPA 1973)
First Action on Merits (FAOM)
PTAB Jurisdiction
In re Fox, 471 F.2d 1405, 1407, 176 USPQ 340, 341 (CCPA 1973)
Appeal to Federal CircuitIn re Gartside, 203 F.3d 1305, 1315, 53 USPQ2d 1769, 1775 (Fed. Cir. 2000)
Implicit or Inherent Motivation
PTAB Jurisdiction
In re Van Os, 844 F.3d 1359, 1361, 121 USPQ2d 1209, 1211 (Fed. Cir. 2017)
First Action on Merits (FAOM)
PTAB Jurisdiction
In re Zurko, 258 F.3d 1379, 1385, 59 USPQ2d 1693, 1697 (Fed. Cir. 2001)
Implicit or Inherent Motivation
PTAB Jurisdiction
See also Arendi v. Apple, 832 F.3d 1355, 119 USPQ2d 1822 (Fed. Cir. 2016)

Source Text from USPTO’s MPEP

This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.

BlueIron Last Updated: 2026-01-10