37 CFR § 1.121 — Manner of making amendments in (MPEP Coverage Index) – BlueIron IP
37 CFR § 1.121 Manner of making amendments in
Source: Patent Rule (37 CFR)BlueIron Update:
This page consolidates MPEP guidance interpreting 37 CFR § 1.121, including 472 rules from the Manual of Patent Examining Procedure. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.
Summary
37 CFR 1.121 governs the manner of making amendments in patent applications, providing detailed guidelines for how examiners and applicants can modify patent documents during prosecution.
What this section covers
- Specific rules and protocols for making amendments to patent applications during prosecution
- Acceptable methods and formats for submitting changes to patent application documents
Key obligations
- Ensure amendments do not introduce new matter beyond the original disclosure
- Follow precise formatting and submission guidelines when modifying patent applications
- Comply with specific requirements for sequence listings and technical amendments
Conditions and exceptions
- Understand the limitations on modifying certain sections of the patent application
Practice notes
- Carefully review amendments to ensure they do not inadvertently introduce new subject matter
- Pay close attention to the specific requirements for sequence listings and technical content
Official MPEP § 1.121 — Manner of making amendments in
Source: USPTOLast Modified: 10/30/2024 08:50:22
1.121 Manner of making amendments in applications.
- (a) Amendments in applications, other than reissue applications. Amendments in applications, other than reissue applications, are made by filing a paper, in compliance with § 1.52 , directing that specified amendments be made.
- (b)
Specification. Amendments to
the specification, other than the claims, “Large Tables” (§
1.58(c)
), a
“Computer Program Listing Appendix” (§
1.96(c)(5)
and
(7)
), a “Sequence Listing” (§
1.825
), or a
“Sequence Listing XML” (§
1.835
), must be made by adding, deleting, or
replacing a paragraph; by replacing a section; or by providing a
substitute specification, in the manner specified in this
section.
- (1)
Amendment to delete, replace, or add a
paragraph.
Amendments to the specification,
including amendment to a section heading or the title of the
invention which are considered for amendment purposes to be
an amendment of a paragraph, must be made by submitting:
- (i) An instruction, which unambiguously identifies the location, to delete one or more paragraphs of the specification, replace a paragraph with one or more replacement paragraphs, or add one or more paragraphs;
- (ii) The full text of any replacement paragraph with markings to show all the changes relative to the previous version of the paragraph. The text of any added subject matter must be shown by underlining the added text. The text of any deleted matter must be shown by strike-through except that double brackets placed before and after the deleted characters may be used to show deletion of five or fewer consecutive characters. The text of any deleted subject matter must be shown by being placed within double brackets if strike-through cannot be easily perceived;
- (iii) The full text of any added paragraphs without any underlining; and
- (iv) The text of a paragraph to be deleted must not be presented with strike-through or placed within double brackets. The instruction to delete may identify a paragraph by its paragraph number or include a few words from the beginning, and end, of the paragraph, if needed for paragraph identification purposes.
- (2)
Amendment by replacement section. If the
sections of the specification contain section headings as
provided in §
1.77(b)
,
§
1.154(b)
,
or §
1.163(c)
,
amendments to the specification, other than the claims, may
be made by submitting:
- (i) A reference to the section heading along with an instruction, which unambiguously identifies the location, to delete that section of the specification and to replace such deleted section with a replacement section; and
- (ii) A replacement section with markings to show all changes relative to the previous version of the section. The text of any added subject matter must be shown by underlining the added text. The text of any deleted matter must be shown by strike-through except that double brackets placed before and after the deleted characters may be used to show deletion of five or fewer consecutive characters. The text of any deleted subject matter must be shown by being placed within double brackets if strike-through cannot be easily perceived.
- (3)
Amendment by substitute specification. The
specification, other than the claims, may also be amended by
submitting:
- (i) An instruction to replace the specification; and
- (ii) A substitute specification in compliance with §§ 1.125(b) and (c) .
- (4) Reinstatement of previously deleted paragraph or section. A previously deleted paragraph or section may be reinstated only by a subsequent amendment adding the previously deleted paragraph or section.
- (5) Presentation in subsequent amendment document. Once a paragraph or section is amended in a first amendment document, the paragraph or section shall not be represented in a subsequent amendment document unless it is amended again or a substitute specification is provided.
- (6) Amendments to “Large Tables,” a “Computer Program Listing Appendix,” a “Sequence Listing,” or a “Sequence Listing XML.” Changes to “Large Tables,” a “Computer Program Listing Appendix,” a “Sequence Listing,” or a “Sequence Listing XML” must be made in accordance with § 1.58(g) for “Large Tables,” § 1.96(c)(5) for a “Computer Program Listing Appendix,” § 1.825 for a “Sequence Listing,” or § 1.835 for a “Sequence Listing XML.”
- (1)
Amendment to delete, replace, or add a
paragraph.
Amendments to the specification,
including amendment to a section heading or the title of the
invention which are considered for amendment purposes to be
an amendment of a paragraph, must be made by submitting:
- (c)
Claims. Amendments to a claim must be made by
rewriting the entire claim with all changes
(
e.g., additions and deletions) as indicated
in this subsection, except when the claim is being canceled. Each
amendment document that includes a change to an existing claim,
cancellation of an existing claim or addition of a new claim, must
include a complete listing of all claims ever presented, including
the text of all pending and withdrawn claims, in the application.
The claim listing, including the text of the claims, in the
amendment document will serve to replace all prior versions of the
claims, in the application. In the claim listing, the status of
every claim must be indicated after its claim number by using one
of the following identifiers in a parenthetical expression:
(Original), (Currently amended), (Canceled), (Withdrawn),
(Previously presented), (New), and (Not entered).
- (1) Claim listing. All of the claims presented in a claim listing shall be presented in ascending numerical order. Consecutive claims having the same status of “canceled” or “not entered” may be aggregated into one statement ( e.g., Claims 1–5 (canceled)). The claim listing shall commence on a separate sheet of the amendment document and the sheet(s) that contain the text of any part of the claims shall not contain any other part of the amendment.
- (2) When claim text with markings is required. All claims being currently amended in an amendment paper shall be presented in the claim listing, indicate a status of “currently amended,” and be submitted with markings to indicate the changes that have been made relative to the immediate prior version of the claims. The text of any added subject matter must be shown by underlining the added text. The text of any deleted matter must be shown by strike-through except that double brackets placed before and after the deleted characters may be used to show deletion of five or fewer consecutive characters. The text of any deleted subject matter must be shown by being placed within double brackets if strike-through cannot be easily perceived. Only claims having the status of “currently amended,” or “withdrawn” if also being amended, shall include markings. If a withdrawn claim is currently amended, its status in the claim listing may be identified as “withdrawn— currently amended.”
- (3) When claim text in clean version is required. The text of all pending claims not being currently amended shall be presented in the claim listing in clean version, i.e., without any markings in the presentation of text. The presentation of a clean version of any claim having the status of “original,” “withdrawn” or “previously presented” will constitute an assertion that it has not been changed relative to the immediate prior version, except to omit markings that may have been present in the immediate prior version of the claims of the status of “withdrawn” or “previously presented.” Any claim added by amendment must be indicated with the status of “new” and presented in clean version, i.e., without any underlining.
- (4)
When claim text shall not be presented; canceling a
claim.
- (i) No claim text shall be presented for any claim in the claim listing with the status of “canceled” or “not entered.”
- (ii) Cancellation of a claim shall be effected by an instruction to cancel a particular claim number. Identifying the status of a claim in the claim listing as “canceled” will constitute an instruction to cancel the claim.
- (5) Reinstatement of previously canceled claim. A claim which was previously canceled may be reinstated only by adding the claim as a “new” claim with a new claim number.
- (d)
Drawings. One or more application drawings shall
be amended in the following manner: Any changes to an application
drawing must be in compliance with §
1.84
or, for a nonprovisional international
design application, in compliance with §§
1.84(c)
and
1.1026
and must be submitted on a
replacement sheet of drawings which shall be an attachment to the
amendment document and, in the top margin, labeled “Replacement
Sheet.” Any replacement sheet of drawings shall include all of the
figures appearing on the immediate prior version of the sheet, even
if only one figure is amended. Any new sheet of drawings containing
an additional figure must be labeled in the top margin as “New
Sheet.” All changes to the drawings shall be explained, in detail,
in either the drawing amendment or remarks section of the amendment
paper.
- (1) A marked-up copy of any amended drawing figure, including annotations indicating the changes made, may be included. The marked-up copy must be clearly labeled as “Annotated Sheet” and must be presented in the amendment or remarks section that explains the change to the drawings.
- (2) A marked-up copy of any amended drawing figure, including annotations indicating the changes made, must be provided when required by the examiner.
- (e) Disclosure consistency. The disclosure must be amended, when required by the Office, to correct inaccuracies of description and definition, and to secure substantial correspondence between the claims, the remainder of the specification, and the drawings.
- (f) No new matter. No amendment may introduce new matter into the disclosure of an application.
- (g) Exception for examiner’s amendments. Changes to the specification, including the claims, of an application made by the Office in an examiner’s amendment may be made by specific instructions to insert or delete subject matter set forth in the examiner’s amendment by identifying the precise point in the specification or the claim(s) where the insertion or deletion is to be made. Compliance with paragraphs (b)(1), (b)(2), or (c) of this section is not required.
- (h) Amendment sections. Each section of an amendment document ( e.g., amendment to the claims, amendment to the specification, replacement drawings, and remarks) must begin on a separate sheet.
- (i) Amendments in reissue applications. Any amendment to the description and claims in reissue applications must be made in accordance with § 1.173 .
- (j) Amendments in reexamination proceedings. Any proposed amendment to the description and claims in patents involved in reexamination proceedings must be made in accordance with § 1.530 .
- (k) Amendments in provisional applications. Amendments in provisional applications are not usually made. If an amendment is made to a provisional application, however, it must comply with the provisions of this section. Any amendments to a provisional application shall be placed in the provisional application file but may not be entered.
[32 FR 13583, Sept. 28, 1967; 46 FR 29183, May 29, 1981; para. (e), 49 FR 555, Jan. 4, 1984, effective Apr. 1, 1984; revised, 62 FR 53132, Oct. 10, 1997, effective Dec. 1, 1997; revised, 65 FR 54604, Sept. 8, 2000, effective Nov. 7, 2000; para. (i) revised, 65 FR 76756, Dec. 7, 2000, effective Feb. 5, 2001; revised, 68 FR 38611, June 30, 2003, effective July 30, 2003; para. (d) revised, 69 FR 56481, Sept. 21, 2004, effective Oct. 21, 2004; para. (d) introductory text revised, 80 FR 17918, Apr. 2, 2015, effective May 13, 2015; para. (b) introductory text revised, para. (b)(6) added, 86 FR 57035, Oct. 14, 2021, effective Nov. 15, 2021; para. (b) introductory text and para. (b)(6) revised, 87 FR 30806, May 20, 2022, effective July 1, 2022]
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