MPEP § 706 — Rejection of Claims (Annotated Rules)

§706 Rejection of Claims

USPTO MPEP version: BlueIron's Update: 2026-01-17

This page consolidates and annotates all enforceable requirements under MPEP § 706, 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.

Rejection of Claims

This section addresses Rejection of Claims. Primary authority: 35 U.S.C. 101, 35 U.S.C. 282), and 35 U.S.C. 282. Contains: 1 requirement, 1 prohibition, 4 guidance statements, 1 permission, and 3 other statements.

Key Rules

Topic

Rejection on Prior Art

3 rules
StatutoryInformativeAlways
[mpep-706-f9d66e0ddb7875aa4ad7ec23]
Prior Art Search for Claims
Note:
After reading the application and understanding the claimed invention, a prior art search must be conducted to assess the claims' novelty and nonobviousness.

After the application has been read and the claimed invention understood, a prior art search for the claimed invention is made. With the results of the prior art search, including any references provided by the applicant, the patent application should be reviewed and analyzed in conjunction with the state of the prior art to determine whether the claims define a useful, novel, nonobvious, and enabled invention that has been clearly described in the specification. The goal of examination is to clearly articulate any rejection early in the prosecution process so that the applicant has the opportunity to provide evidence of patentability and otherwise reply completely at the earliest opportunity. The examiner then reviews all the evidence, including arguments and evidence responsive to any rejection, before issuing the next Office action. Where the examiner determines that information reasonably necessary for the examination should be required from the applicant under 37 CFR 1.105, such a requirement should generally be made either prior to or with the first Office action on the merits and should follow the procedures in MPEP § 704.10 et seq.

Jump to MPEP Source · 37 CFR 1.105Rejection on Prior ArtExamination ProceduresSearch and Requirements for Information
StatutoryRecommendedAlways
[mpep-706-1e9fb7e68ee43da8bb752c07]
Review Claims with Prior Art
Note:
Analyze claims in conjunction with prior art to determine if they define a useful, novel, nonobvious, and enabled invention.

After the application has been read and the claimed invention understood, a prior art search for the claimed invention is made. With the results of the prior art search, including any references provided by the applicant, the patent application should be reviewed and analyzed in conjunction with the state of the prior art to determine whether the claims define a useful, novel, nonobvious, and enabled invention that has been clearly described in the specification. The goal of examination is to clearly articulate any rejection early in the prosecution process so that the applicant has the opportunity to provide evidence of patentability and otherwise reply completely at the earliest opportunity. The examiner then reviews all the evidence, including arguments and evidence responsive to any rejection, before issuing the next Office action. Where the examiner determines that information reasonably necessary for the examination should be required from the applicant under 37 CFR 1.105, such a requirement should generally be made either prior to or with the first Office action on the merits and should follow the procedures in MPEP § 704.10 et seq.

Jump to MPEP Source · 37 CFR 1.105Rejection on Prior ArtExamination ProceduresSearch and Requirements for Information
StatutoryRecommendedAlways
[mpep-706-ee0670b58ad9f545530848ba]
Claim Must Be Unpatentable to Reject
Note:
An examiner should reject a claim if it is more likely than not that the claim is unpatentable based on prior art and evidence of record.

An application should not be allowed, unless and until issues pertinent to patentability have been raised and resolved in the course of examination and prosecution, since otherwise the resultant patent would not justify the statutory presumption of validity (35 U.S.C. 282), nor would it “strictly adhere” to the requirements laid down by Congress in the 1952 Act as interpreted by the Supreme Court. The standard to be applied in all cases is the “preponderance of the evidence” test. In other words, an examiner should reject a claim if, in view of the prior art and evidence of record, it is more likely than not that the claim is unpatentable.

Jump to MPEP Source · 37 CFR 1.104Rejection on Prior ArtRejection of ClaimsExamination Procedures
Topic

First Action on Merits (FAOM)

3 rules
StatutoryRequiredAlways
[mpep-706-e649e3d6ac9387e518028748]
Information Required Before First Office Action on Merits
Note:
The examiner must review all evidence, including responses to rejections, before issuing the next Office action. If additional information is needed from the applicant, it should be requested prior to or with the first Office action on the merits.

After the application has been read and the claimed invention understood, a prior art search for the claimed invention is made. With the results of the prior art search, including any references provided by the applicant, the patent application should be reviewed and analyzed in conjunction with the state of the prior art to determine whether the claims define a useful, novel, nonobvious, and enabled invention that has been clearly described in the specification. The goal of examination is to clearly articulate any rejection early in the prosecution process so that the applicant has the opportunity to provide evidence of patentability and otherwise reply completely at the earliest opportunity. The examiner then reviews all the evidence, including arguments and evidence responsive to any rejection, before issuing the next Office action. Where the examiner determines that information reasonably necessary for the examination should be required from the applicant under 37 CFR 1.105, such a requirement should generally be made either prior to or with the first Office action on the merits and should follow the procedures in MPEP § 704.10 et seq.

Jump to MPEP Source · 37 CFR 1.105First Action on Merits (FAOM)First Action on MeritsNon-Final Action Content
StatutoryPermittedAlways
[mpep-706-77f127db4c0c709c5649da15]
Office Actions Notified to Applicant/Patent Owner
Note:
Applicant or patent owner is notified of claims rejection, objections, requirements, or decisions favorable to patentability in the same manner as after the first examination. Response can be made with or without amendment unless the action is final.

After reply by applicant or patent owner (§ 1.111 or § 1.945) to a non-final action and any comments by an inter partes reexamination requester (§ 1.947), the application or the patent under reexamination will be reconsidered and again examined. The applicant, or in the case of a reexamination proceeding the patent owner and any third party requester, will be notified if claims are rejected, objections or requirements made, or decisions favorable to patentability are made, in the same manner as after the first examination (§ 1.104). Applicant or patent owner may reply to such Office action in the same manner provided in § 1.111 or § 1.945, with or without amendment, unless such Office action indicates that it is made final (§ 1.113) or an appeal (§ 41.31 of this title) has been taken (§ 1.116), or in an inter partes reexamination, that it is an action closing prosecution (§ 1.949) or a right of appeal notice (§ 1.953).

Jump to MPEP Source · 37 CFR 1.111First Action on Merits (FAOM)After-Final AmendmentsFirst Action on Merits
StatutoryPermittedAlways
[mpep-706-abc361497c34b3964776c8b0]
Notification of Office Actions After First Examination
Note:
Applicants or patent owners must be notified in the same manner as after the first examination when claims are rejected or objections/requirements are made, and may reply with or without amendments according to specific rules.

37 CFR 1.112 provides for the reconsideration and continued examination of an application after reply by the applicant, and for the reconsideration and continued examination of a reexamination proceeding after a response by the patent owner. If claims are rejected, or objections or requirements are made, the applicant or patent owner will be notified in the same manner as notification was provided after the first examination. Applicant or patent owner may reply to such Office action (with or without amendment) in the same manner provided in 37 CFR 1.111, or 37 CFR 1.945 for an inter partes reexamination, unless such Office action indicates that it is made final (37 CFR 1.113), or an appeal under 37 CFR 41.31 has been taken (37 CFR 1.116), or such Office action indicates in an inter partes reexamination that it is an action closing prosecution (37 CFR 1.949) or a right of appeal notice (37 CFR 1.953). Once an appeal has been taken in an application or in an ex parte reexamination proceeding, any amendment (filed prior to an appeal brief) is subject to the provisions of 37 CFR 1.116(b) and (c), even if the appeal is in reply to a non-final Office action. See 37 CFR 41.33(b) for amendments filed with or after the filing of an appeal brief.

Jump to MPEP Source · 37 CFR 1.112First Action on Merits (FAOM)After-Final AmendmentsFirst Action on Merits
Topic

Statutory Authority for Examination

3 rules
StatutoryRequiredAlways
[mpep-706-e5eb35ad9a2179a07ee8ab67]
Uniform Patentability Standards Must Be Met
Note:
All claims must meet patent eligibility, usefulness, novelty, nonobviousness, enablement, and clear description requirements before being allowed.

The standards of patentability applied in the examination of claims must be the same throughout the Office. In every art, whether it be considered “complex,” “newly developed,” “crowded,” or “competitive,” all of the requirements for patentability (e.g., patent eligible, useful, novel, nonobvious, enabled, and clearly described as provided in 35 U.S.C. 101, 102, 103 and 112) must be met before a claim is allowed. The mere fact that a claim recites in detail all of the features of an invention (i.e., is a “picture” claim) is never, in itself, justification for the allowance of such a claim.

Jump to MPEP Source · 37 CFR 1.104Statutory Authority for ExaminationExamination ProceduresPatent Eligibility
StatutoryRecommendedAlways
[mpep-706-695131557bbd9c70394e2f5a]
Patentability Issues Must Be Resolved Before Allowance
Note:
An application cannot be allowed unless patentability issues are addressed during examination and prosecution, ensuring the patent meets statutory requirements.

An application should not be allowed, unless and until issues pertinent to patentability have been raised and resolved in the course of examination and prosecution, since otherwise the resultant patent would not justify the statutory presumption of validity (35 U.S.C. 282), nor would it “strictly adhere” to the requirements laid down by Congress in the 1952 Act as interpreted by the Supreme Court. The standard to be applied in all cases is the “preponderance of the evidence” test. In other words, an examiner should reject a claim if, in view of the prior art and evidence of record, it is more likely than not that the claim is unpatentable.

Jump to MPEP Source · 37 CFR 1.104Statutory Authority for ExaminationExamination ProceduresRejection on Prior Art
StatutoryRecommendedAlways
[mpep-706-dee197f9be3f93338d5511f8]
Examiner Must Offer Suggestion for Claim Correction
Note:
When claims are patentable but have form defects, the examiner should provide a constructive action and suggest specific corrections.

When an application discloses patentable subject matter and it is apparent from the claims and the applicant’s arguments that the claims are intended to be directed to such patentable subject matter, but the claims in their present form cannot be allowed because of defects in form or omission of a limitation, the examiner should not stop with a bare objection or rejection of the claims. The examiner’s action should be constructive in nature and when possible should offer a definite suggestion for correction.

Jump to MPEP Source · 37 CFR 1.104Statutory Authority for ExaminationExamination ProceduresRejection vs. Objection
Topic

Examination Procedures

3 rules
StatutoryInformativeAlways
[mpep-706-9e8cd6bd75086108503681b0]
Detailed Claims Do Not Guarantee Allowance
Note:
A claim that describes all invention features in detail does not automatically meet patentability requirements and must still satisfy other examination standards.

The standards of patentability applied in the examination of claims must be the same throughout the Office. In every art, whether it be considered “complex,” “newly developed,” “crowded,” or “competitive,” all of the requirements for patentability (e.g., patent eligible, useful, novel, nonobvious, enabled, and clearly described as provided in 35 U.S.C. 101, 102, 103 and 112) must be met before a claim is allowed. The mere fact that a claim recites in detail all of the features of an invention (i.e., is a “picture” claim) is never, in itself, justification for the allowance of such a claim.

Jump to MPEP Source · 37 CFR 1.104Examination ProceduresStatutory Authority for ExaminationPatent Eligibility
StatutoryInformativeAlways
[mpep-706-da625916e0cdeed2c76d512b]
Claim Rejection Standard Must Be Preponderance of Evidence
Note:
Examiners must reject claims if it is more likely than not that they are unpatentable based on the prior art and evidence of record.

An application should not be allowed, unless and until issues pertinent to patentability have been raised and resolved in the course of examination and prosecution, since otherwise the resultant patent would not justify the statutory presumption of validity (35 U.S.C. 282), nor would it “strictly adhere” to the requirements laid down by Congress in the 1952 Act as interpreted by the Supreme Court. The standard to be applied in all cases is the “preponderance of the evidence” test. In other words, an examiner should reject a claim if, in view of the prior art and evidence of record, it is more likely than not that the claim is unpatentable.

Jump to MPEP Source · 37 CFR 1.104Examination ProceduresRejection on Prior ArtStatutory Authority for Examination
StatutoryPermittedAlways
[mpep-706-5b51795bbf5cb54b79808651]
Examiner May Note Unclaimed Patentable Features
Note:
The examiner may note in the Office action that certain patentable features have not been claimed and provide favorable consideration if properly claimed.

If the examiner is satisfied after the search has been completed that patentable subject matter has been disclosed and the record indicates that the applicant intends to claim such subject matter, he or she may note in the Office action that certain aspects or features of the patentable invention have not been claimed and that if properly claimed such claims may be given favorable consideration.

Jump to MPEP Source · 37 CFR 1.104Examination ProceduresStatutory Authority for ExaminationTypes of Office Actions
Topic

Non-Final Action Content

1 rules
StatutoryInformativeAlways
[mpep-706-2373c71f28304f807491fd43]
Examiner Must Clearly Articulate Rejections Early
Note:
The examiner is required to clearly state any rejections early in the prosecution process so that the applicant can provide evidence of patentability and fully respond.

After the application has been read and the claimed invention understood, a prior art search for the claimed invention is made. With the results of the prior art search, including any references provided by the applicant, the patent application should be reviewed and analyzed in conjunction with the state of the prior art to determine whether the claims define a useful, novel, nonobvious, and enabled invention that has been clearly described in the specification. The goal of examination is to clearly articulate any rejection early in the prosecution process so that the applicant has the opportunity to provide evidence of patentability and otherwise reply completely at the earliest opportunity. The examiner then reviews all the evidence, including arguments and evidence responsive to any rejection, before issuing the next Office action. Where the examiner determines that information reasonably necessary for the examination should be required from the applicant under 37 CFR 1.105, such a requirement should generally be made either prior to or with the first Office action on the merits and should follow the procedures in MPEP § 704.10 et seq.

Jump to MPEP Source · 37 CFR 1.105Non-Final Action ContentPatentability DeterminationStatutory Authority for Examination
Topic

Rejection vs. Objection

1 rules
StatutoryProhibitedAlways
[mpep-706-baf5afde2c3940e67d714b40]
Examiner Must Offer Correction Suggestion for Patentable Claims
Note:
When claims disclose patentable subject matter but contain form defects, the examiner should provide a constructive suggestion for correction rather than simply rejecting or objecting to them.

When an application discloses patentable subject matter and it is apparent from the claims and the applicant’s arguments that the claims are intended to be directed to such patentable subject matter, but the claims in their present form cannot be allowed because of defects in form or omission of a limitation, the examiner should not stop with a bare objection or rejection of the claims. The examiner’s action should be constructive in nature and when possible should offer a definite suggestion for correction.

Jump to MPEP Source · 37 CFR 1.104Rejection vs. ObjectionNotice of Allowance Form and ContentAllowance Practice
Topic

Final Office Action

1 rules
StatutoryInformativeAlways
[mpep-706-5f29151737461c45e3dd7564]
Reexamination Application Reconsidered After Response
Note:
The application or patent under reexamination will be reconsidered and again examined after the applicant’s or patent owner’s response to a non-final action and any comments by an inter partes reexamination requester.

After reply by applicant or patent owner (§ 1.111 or § 1.945) to a non-final action and any comments by an inter partes reexamination requester (§ 1.947), the application or the patent under reexamination will be reconsidered and again examined. The applicant, or in the case of a reexamination proceeding the patent owner and any third party requester, will be notified if claims are rejected, objections or requirements made, or decisions favorable to patentability are made, in the same manner as after the first examination (§ 1.104). Applicant or patent owner may reply to such Office action in the same manner provided in § 1.111 or § 1.945, with or without amendment, unless such Office action indicates that it is made final (§ 1.113) or an appeal (§ 41.31 of this title) has been taken (§ 1.116), or in an inter partes reexamination, that it is an action closing prosecution (§ 1.949) or a right of appeal notice (§ 1.953).

Jump to MPEP Source · 37 CFR 1.111Final Office ActionNon-Final Office ActionNon-Final Action Content
Topic

Submission with RCE

1 rules
StatutoryInformativeAlways
[mpep-706-5ccf44daeac1e5f1b2de9906]
Reconsideration and Examination After Response
Note:
Patent owner can request reconsideration and continued examination after responding to an Office action, unless the action is final or an appeal has been filed.

37 CFR 1.112 provides for the reconsideration and continued examination of an application after reply by the applicant, and for the reconsideration and continued examination of a reexamination proceeding after a response by the patent owner. If claims are rejected, or objections or requirements are made, the applicant or patent owner will be notified in the same manner as notification was provided after the first examination. Applicant or patent owner may reply to such Office action (with or without amendment) in the same manner provided in 37 CFR 1.111, or 37 CFR 1.945 for an inter partes reexamination, unless such Office action indicates that it is made final (37 CFR 1.113), or an appeal under 37 CFR 41.31 has been taken (37 CFR 1.116), or such Office action indicates in an inter partes reexamination that it is an action closing prosecution (37 CFR 1.949) or a right of appeal notice (37 CFR 1.953). Once an appeal has been taken in an application or in an ex parte reexamination proceeding, any amendment (filed prior to an appeal brief) is subject to the provisions of 37 CFR 1.116(b) and (c), even if the appeal is in reply to a non-final Office action. See 37 CFR 41.33(b) for amendments filed with or after the filing of an appeal brief.

Jump to MPEP Source · 37 CFR 1.112Submission with RCEResponses and AmendmentsStatutory Authority for Examination
Topic

Non-Final Office Action

1 rules
StatutoryInformativeAlways
[mpep-706-d8e5d45ebd9e15664c04fba6]
Amendments Subject to Appeal Provisions
Note:
Any amendment filed before an appeal brief in response to a non-final Office action must comply with the provisions of 37 CFR 1.116(b) and (c), even if the appeal is in reply to a non-final Office action.

37 CFR 1.112 provides for the reconsideration and continued examination of an application after reply by the applicant, and for the reconsideration and continued examination of a reexamination proceeding after a response by the patent owner. If claims are rejected, or objections or requirements are made, the applicant or patent owner will be notified in the same manner as notification was provided after the first examination. Applicant or patent owner may reply to such Office action (with or without amendment) in the same manner provided in 37 CFR 1.111, or 37 CFR 1.945 for an inter partes reexamination, unless such Office action indicates that it is made final (37 CFR 1.113), or an appeal under 37 CFR 41.31 has been taken (37 CFR 1.116), or such Office action indicates in an inter partes reexamination that it is an action closing prosecution (37 CFR 1.949) or a right of appeal notice (37 CFR 1.953). Once an appeal has been taken in an application or in an ex parte reexamination proceeding, any amendment (filed prior to an appeal brief) is subject to the provisions of 37 CFR 1.116(b) and (c), even if the appeal is in reply to a non-final Office action. See 37 CFR 41.33(b) for amendments filed with or after the filing of an appeal brief.

Jump to MPEP Source · 37 CFR 1.112Non-Final Office ActionAfter-Final AmendmentsNon-Final Action Content

Citations

Primary topicCitation
Examination Procedures
Statutory Authority for Examination
35 U.S.C. § 101
Examination Procedures
Rejection on Prior Art
Statutory Authority for Examination
35 U.S.C. § 282
Final Office Action
First Action on Merits (FAOM)
37 CFR § 1.104
First Action on Merits (FAOM)
Non-Final Action Content
Rejection on Prior Art
37 CFR § 1.105
Final Office Action
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 1.111
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 1.112
Final Office Action
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 1.113
Final Office Action
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 1.116
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 1.116(b)
Final Office Action
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 1.945
Final Office Action
First Action on Merits (FAOM)
37 CFR § 1.947
Final Office Action
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 1.949
Final Office Action
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 1.953
Final Office Action
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 41.31
First Action on Merits (FAOM)
Non-Final Office Action
Submission with RCE
37 CFR § 41.33(b)
First Action on Merits (FAOM)
Non-Final Action Content
Rejection on Prior Art
MPEP § 704.10

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: 2026-01-17