MPEP § 2173.06 — Practice Compact Prosecution (Annotated Rules)

§2173.06 Practice Compact Prosecution

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 2173.06, 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.

Practice Compact Prosecution

This section addresses Practice Compact Prosecution. Primary authority: 35 U.S.C. 112(b), 35 U.S.C. 112, and 35 U.S.C. 102. Contains: 2 requirements, 3 guidance statements, 2 permissions, and 5 other statements.

Key Rules

Topic

Alternative Limitations (MPEP 2173.05(h))

5 rules
StatutoryRecommendedAlways
[mpep-2173-06-0eb8410206b9970d895a674a]
Claim Term Indefiniteness Rejection and Prior Art
Note:
When a claim term renders the claim indefinite, reject it under 35 U.S.C. 112(b) or pre-AIA 112, second paragraph, and apply prior art based on examiner’s interpretation.

Thus, when the examiner determines that a claim term or phrase renders the claim indefinite, the examiner should make a rejection based on indefiniteness under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph, as well as a rejection(s) in view of the prior art under 35 U.S.C. 102 or 103 that renders the prior art applicable based on the examiner’s interpretation of the claim. See In re Packard, 751 F.3d 1307, 1312, 110 USPQ2d 1785, 1788 (Fed. Cir. 2014) (stating that the prima facie case is appropriately used for making an indefiniteness rejection). When making a rejection over prior art in these circumstances, it is important that the examiner state on the record how the claim term or phrase is being interpreted with respect to the prior art applied in the rejection. By rejecting each claim on all reasonable grounds available, the examiner can avoid piecemeal examination. See MPEP § 707.07(g) (“Piecemeal examination should be avoided as much as possible. The examiner ordinarily should reject each claim on all valid grounds available….”).

Jump to MPEP SourceAlternative Limitations (MPEP 2173.05(h))Lack of Antecedent Basis (MPEP 2173.05(e))35 U.S.C. 112(b) – Definiteness (MPEP 2171-2173)
StatutoryInformativeAlways
[mpep-2173-06-fcbf5fbdc24be9cba8e71921]
Claim Term Interpretation for Indefiniteness Rejection
Note:
When rejecting claims based on indefiniteness, the examiner must state how claim terms are interpreted in relation to prior art.

Thus, when the examiner determines that a claim term or phrase renders the claim indefinite, the examiner should make a rejection based on indefiniteness under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph, as well as a rejection(s) in view of the prior art under 35 U.S.C. 102 or 103 that renders the prior art applicable based on the examiner’s interpretation of the claim. See In re Packard, 751 F.3d 1307, 1312, 110 USPQ2d 1785, 1788 (Fed. Cir. 2014) (stating that the prima facie case is appropriately used for making an indefiniteness rejection). When making a rejection over prior art in these circumstances, it is important that the examiner state on the record how the claim term or phrase is being interpreted with respect to the prior art applied in the rejection. By rejecting each claim on all reasonable grounds available, the examiner can avoid piecemeal examination. See MPEP § 707.07(g) (“Piecemeal examination should be avoided as much as possible. The examiner ordinarily should reject each claim on all valid grounds available….”).

Jump to MPEP SourceAlternative Limitations (MPEP 2173.05(h))Lack of Antecedent Basis (MPEP 2173.05(e))Compact Prosecution for Indefiniteness (MPEP 2173.06)
StatutoryInformativeAlways
[mpep-2173-06-dbb76f1ed46f21aba46e8a9d]
Claim Must Be Interpreted for Indefiniteness and Prior Art Rejection
Note:
Examiner must interpret claim ambiguously to reject on indefiniteness or prior art, depending on the degree of uncertainty.

First, where the degree of uncertainty is not great, and where the claim is subject to more than one interpretation and at least one interpretation would render the claim unpatentable over the prior art, an appropriate course of action would be for the examiner to enter two rejections: (A) a rejection based on indefiniteness under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph; and (B) a rejection over the prior art based on the interpretation of the claims which renders the prior art applicable. See, e.g., Ex parte Ionescu, 222 USPQ 537 (Bd. App. 1984). When making a rejection over prior art in these circumstances, it is important for the examiner to point out how the claim is being interpreted. Second, where there is a great deal of confusion and uncertainty as to the proper interpretation of the limitations of a claim, it would not be proper to reject such a claim on the basis of prior art. As stated in In re Steele, 305 F.2d 859, 134 USPQ 292 (CCPA 1962), a rejection under 35 U.S.C. 103 should not be based on considerable speculation about the meaning of terms employed in a claim or assumptions that must be made as to the scope of the claims.

Jump to MPEP SourceAlternative Limitations (MPEP 2173.05(h))Lack of Antecedent Basis (MPEP 2173.05(e))Numerical Ranges and Amounts (MPEP 2173.05(c))
StatutoryRequiredAlways
[mpep-2173-06-e61cdea137db4eb5e527323f]
Rejection Based on Speculation Prohibited
Note:
A rejection under 35 U.S.C. 103 should not be based on speculation about claim terms or assumptions about their scope.

First, where the degree of uncertainty is not great, and where the claim is subject to more than one interpretation and at least one interpretation would render the claim unpatentable over the prior art, an appropriate course of action would be for the examiner to enter two rejections: (A) a rejection based on indefiniteness under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph; and (B) a rejection over the prior art based on the interpretation of the claims which renders the prior art applicable. See, e.g., Ex parte Ionescu, 222 USPQ 537 (Bd. App. 1984). When making a rejection over prior art in these circumstances, it is important for the examiner to point out how the claim is being interpreted. Second, where there is a great deal of confusion and uncertainty as to the proper interpretation of the limitations of a claim, it would not be proper to reject such a claim on the basis of prior art. As stated in In re Steele, 305 F.2d 859, 134 USPQ 292 (CCPA 1962), a rejection under 35 U.S.C. 103 should not be based on considerable speculation about the meaning of terms employed in a claim or assumptions that must be made as to the scope of the claims.

Jump to MPEP SourceAlternative Limitations (MPEP 2173.05(h))Lack of Antecedent Basis (MPEP 2173.05(e))Relative Terminology (MPEP 2173.05(b))
StatutoryPermittedAlways
[mpep-2173-06-5be7e820d0e59b0049b29dbe]
First Approach Avoids Piecemeal Examination and Improves Prior Art Appreciation
Note:
The first approach is recommended to avoid piecemeal examination if the 35 U.S.C. 112 rejection is not affirmed, and may help applicants better understand relevant prior art by redrafting claims.

The first approach is recommended from an examination standpoint because it avoids piecemeal examination in the event that the examiner’s 35 U.S.C. 112, second paragraph rejection is not affirmed, and may give applicant a better appreciation for relevant prior art if the claims are redrafted to avoid the 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph rejection.

Jump to MPEP SourceAlternative Limitations (MPEP 2173.05(h))Lack of Antecedent Basis (MPEP 2173.05(e))Assignee as Applicant Signature
Topic

Lack of Antecedent Basis (MPEP 2173.05(e))

3 rules
StatutoryRecommendedAlways
[mpep-2173-06-90fb39c7fe597210daa5d242]
Examiner Must Reject Each Claim on All Reasonable Grounds
Note:
The examiner should reject each claim using all valid grounds available to avoid piecemeal examination.

Thus, when the examiner determines that a claim term or phrase renders the claim indefinite, the examiner should make a rejection based on indefiniteness under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph, as well as a rejection(s) in view of the prior art under 35 U.S.C. 102 or 103 that renders the prior art applicable based on the examiner’s interpretation of the claim. See In re Packard, 751 F.3d 1307, 1312, 110 USPQ2d 1785, 1788 (Fed. Cir. 2014) (stating that the prima facie case is appropriately used for making an indefiniteness rejection). When making a rejection over prior art in these circumstances, it is important that the examiner state on the record how the claim term or phrase is being interpreted with respect to the prior art applied in the rejection. By rejecting each claim on all reasonable grounds available, the examiner can avoid piecemeal examination. See MPEP § 707.07(g) (“Piecemeal examination should be avoided as much as possible. The examiner ordinarily should reject each claim on all valid grounds available….”).

Jump to MPEP SourceLack of Antecedent Basis (MPEP 2173.05(e))Compact Prosecution for Indefiniteness (MPEP 2173.06)35 U.S.C. 112(b) – Definiteness (MPEP 2171-2173)
StatutoryRecommendedAlways
[mpep-2173-06-40068df056a6d342eeb673f8]
Examiner Must Reject Each Claim on All Valid Grounds
Note:
The examiner should reject each claim using all available valid grounds, including indefiniteness and prior art rejections.

Thus, when the examiner determines that a claim term or phrase renders the claim indefinite, the examiner should make a rejection based on indefiniteness under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph, as well as a rejection(s) in view of the prior art under 35 U.S.C. 102 or 103 that renders the prior art applicable based on the examiner’s interpretation of the claim. See In re Packard, 751 F.3d 1307, 1312, 110 USPQ2d 1785, 1788 (Fed. Cir. 2014) (stating that the prima facie case is appropriately used for making an indefiniteness rejection). When making a rejection over prior art in these circumstances, it is important that the examiner state on the record how the claim term or phrase is being interpreted with respect to the prior art applied in the rejection. By rejecting each claim on all reasonable grounds available, the examiner can avoid piecemeal examination. See MPEP § 707.07(g) (“Piecemeal examination should be avoided as much as possible. The examiner ordinarily should reject each claim on all valid grounds available….”).

Jump to MPEP SourceLack of Antecedent Basis (MPEP 2173.05(e))Compact Prosecution for Indefiniteness (MPEP 2173.06)35 U.S.C. 112(b) – Definiteness (MPEP 2171-2173)
StatutoryInformativeAlways
[mpep-2173-06-4fd709bad4aa29599515f2d1]
Proper Claim Interpretation for Prior Art Rejection
Note:
When rejecting a claim over prior art, the examiner must clearly interpret the claim and avoid rejection based on uncertainty or speculation about its meaning.

First, where the degree of uncertainty is not great, and where the claim is subject to more than one interpretation and at least one interpretation would render the claim unpatentable over the prior art, an appropriate course of action would be for the examiner to enter two rejections: (A) a rejection based on indefiniteness under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph; and (B) a rejection over the prior art based on the interpretation of the claims which renders the prior art applicable. See, e.g., Ex parte Ionescu, 222 USPQ 537 (Bd. App. 1984). When making a rejection over prior art in these circumstances, it is important for the examiner to point out how the claim is being interpreted. Second, where there is a great deal of confusion and uncertainty as to the proper interpretation of the limitations of a claim, it would not be proper to reject such a claim on the basis of prior art. As stated in In re Steele, 305 F.2d 859, 134 USPQ 292 (CCPA 1962), a rejection under 35 U.S.C. 103 should not be based on considerable speculation about the meaning of terms employed in a claim or assumptions that must be made as to the scope of the claims.

Jump to MPEP SourceLack of Antecedent Basis (MPEP 2173.05(e))Compact Prosecution for Indefiniteness (MPEP 2173.06)35 U.S.C. 112(b) – Definiteness (MPEP 2171-2173)
Topic

Statutory Authority for Examination

3 rules
StatutoryRequiredAlways
[mpep-2173-06-8c7de9646d7f160057dc1008]
All Claim Words Must Be Considered In Patentability Judgment Against Prior Art
Note:
The rule requires that all words in a claim be considered when determining patentability against prior art, even if some terms are indefinite.

All words in a claim must be considered in judging the patentability of a claim against the prior art. In re Wilson, 424 F.2d 1382, 165 USPQ 494 (CCPA 1970). The fact that terms may be indefinite does not make the claim obvious over the prior art. When the terms of a claim are considered to be indefinite, at least two approaches to the examination of an indefinite claim relative to the prior art are possible.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresObviousness
StatutoryPermittedAlways
[mpep-2173-06-15e8f823d3197fee5e332684]
Indefinite Terms Do Not Make Claim Obvious
Note:
A claim remains patentable even if terms are indefinite, as long as it is not obvious over prior art.

All words in a claim must be considered in judging the patentability of a claim against the prior art. In re Wilson, 424 F.2d 1382, 165 USPQ 494 (CCPA 1970). The fact that terms may be indefinite does not make the claim obvious over the prior art. When the terms of a claim are considered to be indefinite, at least two approaches to the examination of an indefinite claim relative to the prior art are possible.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresObviousness
StatutoryInformativeAlways
[mpep-2173-06-f2f1823b3f82807a628acc23]
Examination of Indefinite Claims Against Prior Art
Note:
When a claim's terms are indefinite, at least two approaches can be used to examine the claim against prior art.

All words in a claim must be considered in judging the patentability of a claim against the prior art. In re Wilson, 424 F.2d 1382, 165 USPQ 494 (CCPA 1970). The fact that terms may be indefinite does not make the claim obvious over the prior art. When the terms of a claim are considered to be indefinite, at least two approaches to the examination of an indefinite claim relative to the prior art are possible.

Jump to MPEP SourceStatutory Authority for ExaminationExamination ProceduresObviousness
Topic

Clarity of Rejections

1 rules
StatutoryInformativeAlways
[mpep-2173-06-1016321a28d9f72d2598c912]
Examiner Must Clearly Articulate Rejections Early in Prosecution
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.

The goal of examination is to clearly articulate any rejection early in the prosecution process so that the applicant has the chance to provide evidence of patentability and otherwise reply completely at the earliest opportunity. See MPEP § 706. Under the principles of compact prosecution, the examiner should review each claim for compliance with every statutory requirement for patentability in the initial review of the application and identify all of the applicable grounds of rejection in the first Office action to avoid unnecessary delays in the prosecution of the application. See 37 CFR 1.104(a)(1) (“On taking up an application for examination or a patent in a reexamination proceeding, the examiner shall make a thorough study thereof and shall make a thorough investigation of the available prior art relating to the subject matter of the claimed invention. The examination shall be complete with respect both to compliance of the application… with the applicable statutes and rules and to the patentability of the invention as claimed, as well as with respect to matters of form, unless otherwise indicated.”).

Jump to MPEP Source · 37 CFR 1.104(a)(1)Clarity of RejectionsNon-Final Action ContentSubstantial New Question of Patentability
Topic

Anticipation in Reexamination

1 rules
StatutoryRequiredAlways
[mpep-2173-06-0982d0ee044463a5b33c85f1]
Initial Examination Must Identify All Rejections
Note:
Examiners must review each claim and identify all applicable grounds of rejection in the first Office action to avoid delays.

The goal of examination is to clearly articulate any rejection early in the prosecution process so that the applicant has the chance to provide evidence of patentability and otherwise reply completely at the earliest opportunity. See MPEP § 706. Under the principles of compact prosecution, the examiner should review each claim for compliance with every statutory requirement for patentability in the initial review of the application and identify all of the applicable grounds of rejection in the first Office action to avoid unnecessary delays in the prosecution of the application. See 37 CFR 1.104(a)(1) (“On taking up an application for examination or a patent in a reexamination proceeding, the examiner shall make a thorough study thereof and shall make a thorough investigation of the available prior art relating to the subject matter of the claimed invention. The examination shall be complete with respect both to compliance of the application… with the applicable statutes and rules and to the patentability of the invention as claimed, as well as with respect to matters of form, unless otherwise indicated.”).

Jump to MPEP Source · 37 CFR 1.104(a)(1)Anticipation in ReexaminationComplete Action RequirementFirst Action on Merits (FAOM)
Topic

Rejection vs. Objection

1 rules
StatutoryRequiredAlways
[mpep-2173-06-0b447293830561a8850b3c72]
Examiner Must Review All Statutory Requirements Initially
Note:
The examiner must review each claim for compliance with all statutory requirements and identify all grounds of rejection in the first Office action to avoid delays.

The goal of examination is to clearly articulate any rejection early in the prosecution process so that the applicant has the chance to provide evidence of patentability and otherwise reply completely at the earliest opportunity. See MPEP § 706. Under the principles of compact prosecution, the examiner should review each claim for compliance with every statutory requirement for patentability in the initial review of the application and identify all of the applicable grounds of rejection in the first Office action to avoid unnecessary delays in the prosecution of the application. See 37 CFR 1.104(a)(1) (“On taking up an application for examination or a patent in a reexamination proceeding, the examiner shall make a thorough study thereof and shall make a thorough investigation of the available prior art relating to the subject matter of the claimed invention. The examination shall be complete with respect both to compliance of the application… with the applicable statutes and rules and to the patentability of the invention as claimed, as well as with respect to matters of form, unless otherwise indicated.”).

Jump to MPEP Source · 37 CFR 1.104(a)(1)Rejection vs. ObjectionSubstantial New Question of PatentabilityStatutory Authority for Examination

Citations

Primary topicCitation
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
35 U.S.C. § 102
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
35 U.S.C. § 103
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
35 U.S.C. § 112
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
35 U.S.C. § 112(b)
Anticipation in Reexamination
Clarity of Rejections
Rejection vs. Objection
37 CFR § 1.104(a)(1)
Anticipation in Reexamination
Clarity of Rejections
Rejection vs. Objection
MPEP § 706
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
MPEP § 707.07(g)
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
In re Packard, 751 F.3d 1307, 1312, 110 USPQ2d 1785, 1788 (Fed. Cir. 2014)
Alternative Limitations (MPEP 2173.05(h))
Lack of Antecedent Basis (MPEP 2173.05(e))
In re Steele, 305 F.2d 859, 134 USPQ 292 (CCPA 1962)
Statutory Authority for ExaminationIn re Wilson, 424 F.2d 1382, 165 USPQ 494 (CCPA 1970)

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: 2025-12-31