# MPEP § 1121: Content of a Patent Application Publication

> Federal · Agency guidance · In force

URL: https://www.frixlaw.com/law-library/statutes/MPEP_S1121

## Section

- **Citation:** MPEP § 1121
- **Heading:** Content of a Patent Application Publication
- **Jurisdiction:** Federal
- **Kind:** Agency guidance
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** USPTO MPEP / Chapter 1100 - Statutory Invention Registration (SIR) › Pre-Grant Publication (PGPub) and Preissuance Submissions / MPEP § 1121

## Text

37 CFR 1.215 Patent Application Publication
(a) The publication of an application under
35 U.S.C.
122(b)
shall include a patent application publication. The
date of publication shall be indicated on the patent application publication. The
patent application publication will be based upon the specification and drawings
deposited on the filing date of the application, as well as the application data
sheet and/or the inventor's oath or declaration. The patent application
publication may also be based upon amendments to the specification (other than the
abstract or the claims) that are reflected in a substitute specification under
§
1.125(b)
, amendments to the abstract under
§ 1.121(b)
,
amendments to the claims that are reflected in a complete claim listing under
§
1.121(c)
, and amendments to the drawings under
§
1.121(d)
, provided that such substitute specification or
amendment is submitted in sufficient time to be entered into the Office file
wrapper of the application before technical preparations for publication of the
application have begun. Technical preparations for publication of an application
generally begin four months prior to the projected date of publication. The patent
application publication of an application that has entered the national stage
under
35 U.S.C.
371
may also include amendments made during the
international stage.
See
paragraph
(c)
of this
section for publication of an application based upon a copy of the application
submitted via the USPTO patent electronic filing system.
ly begin four months prior to the projected date of publication. The patent
application publication of an application that has entered the national stage
under
35 U.S.C.
371
may also include amendments made during the
international stage.
See
paragraph
(c)
of this
section for publication of an application based upon a copy of the application
submitted via the USPTO patent electronic filing system.
(b) The patent application publication will include the
name of the assignee, person to whom the inventor is under an obligation to assign
the invention, or person who otherwise shows sufficient proprietary interest in
the matter if that information is provided in the application data sheet in an
application filed under
§ 1.46
. Assignee information
may be included on the patent application publication in other applications if the
assignee information is provided in an application data sheet submitted in
sufficient time to be entered into the Office file wrapper of the application
before technical preparations for publication of the application have begun.
Providing assignee information in the application data sheet does not substitute
for compliance with any requirement of
part 3
of this chapter to have
an assignment recorded by the Office.
(c) At applicant's option, the patent application
publication will be based upon the copy of the application (specification,
drawings, and the application data sheet and/or the inventor's oath or
declaration) as amended, provided that applicant supplies such a copy in
compliance with the USPTO patent electronic filing system requirements within one
month of the mailing date of the first Office communication that includes a
confirmation number for the application, or fourteen months of the earliest filing
date for which a benefit is sought under title 35, United States Code, whichever
is later.
aration) as amended, provided that applicant supplies such a copy in
compliance with the USPTO patent electronic filing system requirements within one
month of the mailing date of the first Office communication that includes a
confirmation number for the application, or fourteen months of the earliest filing
date for which a benefit is sought under title 35, United States Code, whichever
is later.
(d) If the copy of the application submitted pursuant
to paragraph (c) of this section does not comply with the USPTO patent electronic
filing system requirements, the Office will publish the application as provided in
paragraph (a) of this section. If, however, the Office has not started the
publication process, the Office may use an untimely filed copy of the application
supplied by the applicant under paragraph (c) of this section in creating the
patent application publication.
Pre-AIA 37 CFR 1.215  Patent application publication
(a) The publication of an application under
35 U.S.C.
122(b)
shall include a patent application publication. The
date of publication shall be indicated on the patent application publication. The
patent application publication will be based upon the specification and drawings
deposited on the filing date of the application, as well as the executed oath or
declaration submitted to complete the application. The patent application
publication may also be based upon amendments to the specification (other than the
abstract or the claims) that are reflected in a substitute specification under
§
1.125(b)
, amendments to the abstract under
§ 1.121(b)
,
amendments to the claims that are reflected in a complete claim listing under
§
1.121(c)
, and amendments to the drawings under
§
1.121(d)
, provided that such substitute specification or
amendment is submitted in sufficient time to be entered into the Office file
wrapper of the application before technical preparations for publication of the
application have begun
the abstract under
§ 1.121(b)
,
amendments to the claims that are reflected in a complete claim listing under
§
1.121(c)
, and amendments to the drawings under
§
1.121(d)
, provided that such substitute specification or
amendment is submitted in sufficient time to be entered into the Office file
wrapper of the application before technical preparations for publication of the
application have begun. Technical preparations for publication of an application
generally begin four months prior to the projected date of publication. The patent
application publication of an application that has entered the national stage
under
35 U.S.C.
371
may also include amendments made during the
international stage. See paragraph (c) of this section for publication of an
application based upon a copy of the application submitted via the Office
electronic filing system.
(b) If applicant wants the patent application publication to include
assignee information, the applicant must include the assignee information on the
application transmittal sheet or the application data sheet (
§ 1.76
).
Assignee information may not be included on the patent application publication
unless this information is provided on the application transmittal sheet or
application data sheet included with the application on filing. Providing this
information on the application transmittal sheet or the application data sheet
does not substitute for compliance with any requirement of part 3 of this chapter
to have an assignment recorded by the Office.
on the patent application publication
unless this information is provided on the application transmittal sheet or
application data sheet included with the application on filing. Providing this
information on the application transmittal sheet or the application data sheet
does not substitute for compliance with any requirement of part 3 of this chapter
to have an assignment recorded by the Office.
(c) At applicant’s option, the patent application publication will be
based upon the copy of the application (specification, drawings, and oath or
declaration) as amended, provided that applicant supplies such a copy in
compliance with the Office electronic filing system requirements within one month
of the mailing date of the first Office communication that includes a confirmation
number for the application, or fourteen months of the earliest filing date for
which a benefit is sought under title 35, United States Code, whichever is
later.
(d) If the copy of the application submitted pursuant to paragraph
(c) of this section does not comply with the Office electronic filing system
requirements, the Office will publish the application as provided in paragraph (a)
of this section. If, however, the Office has not started the publication process,
the Office may use an untimely filed copy of the application supplied by the
applicant under paragraph (c) of this section in creating the patent application
publication.
A patent application publication includes a front page containing
information similar to that contained on the front page of a patent, the drawings (if any),
and the specification (including claims)
arted the publication process,
the Office may use an untimely filed copy of the application supplied by the
applicant under paragraph (c) of this section in creating the patent application
publication.
A patent application publication includes a front page containing
information similar to that contained on the front page of a patent, the drawings (if any),
and the specification (including claims). The patent application publication will generally
be based upon the following:
(A) The patent application papers and drawings deposited on the filing
date of the application;
(B) The executed oath or declaration submitted to complete the
application and/or application data sheet for applications filed on or after
September 16, 2012; and
(C) Any subsequently filed application papers and drawings submitted in
reply to a preexamination notice requiring a title and abstract in compliance with
37 CFR
1.72
, application papers in compliance with
37 CFR 1.52
,
drawings in compliance with
37 CFR 1.84
, a “Sequence Listing”
in compliance with
37 CFR 1.821
through
1.825
(for applications filed
before July 1, 2022), or a “Sequence Listing XML” in compliance with
37 CFR
1.831
through
1.835
(for applications filed on
or after July 1, 2022).
I.
AMENDMENTS
The patent application publication may also be based upon amendments
that expedite the publication process, provided that such amendments are submitted in
sufficient time to be entered into the application file before technical preparations
for publication of the application have begun (generally four months prior to the
projected publication date). While the Office will attempt to use the amendments
submitted by applicants, applicants are not entitled to have the amendments used in the
publication
ess, provided that such amendments are submitted in
sufficient time to be entered into the application file before technical preparations
for publication of the application have begun (generally four months prior to the
projected publication date). While the Office will attempt to use the amendments
submitted by applicants, applicants are not entitled to have the amendments used in the
publication. For example, the patent application publication may also be based upon the
following amendments because they are in formats useable for publication:
(A) Amendments to the specification that are reflected in a
substitute specification under
37 CFR 1.125(b)
;
(B) An amendment to the abstract under
37 CFR
1.121(b)
;
(C) Amendments to the claims that are reflected in a complete claim
listing under
37
CFR 1.121(c)
; and
(D) Amendments to drawings under
37 CFR 1.121(d)
.
The patent application publication of an application that has entered
the national stage under
35 U.S.C. 371
may also include
amendments made during the international stage, such as: amendments under
Article
34
and
19
; rectifications; corrections of
physical defects under PCT
Rule 26
; and an abstract rewritten
by the International Searching Authority.
If an applicant wants the publication to include drawings other than
those submitted with the application as filed (e.g., better quality or amended
drawings), applicant may file the replacement drawings in sufficient time to be entered
into the application file before four months prior to the projected publication date.
The Office cannot guarantee that the latest amendment or any particular
amendment will be included in the patent application publication
other than
those submitted with the application as filed (e.g., better quality or amended
drawings), applicant may file the replacement drawings in sufficient time to be entered
into the application file before four months prior to the projected publication date.
The Office cannot guarantee that the latest amendment or any particular
amendment will be included in the patent application publication.
If applicant
wishes to have the patent application publication be based upon a copy of the
application (specification, drawings and oath or declaration) as amended, applicant must
supply such a copy via the USPTO patent electronic filing system, e.g., set forth in the
Legal Framework for Patent Electronic System within one month of the mailing date of the
first Office correspondence (e.g., filing receipt) including a confirmation number for
the application or fourteen months of the earliest filing date for which a benefit is
sought under title 35, United States Code, whichever is later (see
37 CFR
1.215(c)
and
Assignment of Confirmation Number and Time
Period for Filing a Copy of an Application by EFS for Eighteen-Month Publication
Purposes,
1241
Off. Gaz. Pat. Office
97 (December 12,
2000)). See also III. AMENDED APPLICATION FILED VIA THE USPTO PATENT ELECTRONIC FILING
SYSTEM, below. The Office will use the electronic copy provided by the applicant to
create the publication. A proper continued prosecution application (CPA) filed on or
after November 29, 2000 (but before July 14, 2003) will be published based upon the
application papers deposited on the filing date of the first prior application.
Applicants may review the bibliographic information contained in the
Office’s database, and application papers that have been scanned into the file wrapper,
via Patent Center. Applicants should bring any errors to the Office’s attention before
technical preparations for publication of the application have begun (generally four
months prior to the projected publication date)
irst prior application.
Applicants may review the bibliographic information contained in the
Office’s database, and application papers that have been scanned into the file wrapper,
via Patent Center. Applicants should bring any errors to the Office’s attention before
technical preparations for publication of the application have begun (generally four
months prior to the projected publication date).
Due to the high cost and limited usefulness of printed paper or
composed electronic image versions of lengthy nucleotide and/or amino acid sequences,
“Sequence Listings” (for applications filed before July 1, 2022) and “Sequence Listing
XMLs” (for applications filed on or after July 1, 2022) which are at least 600 Kb (about
300 typed pages) are not printed with the paper and composed electronic image (page
image) versions of patents and patent application publications. It is noted that a
“Sequence Listing XML” file is transformed from an XML file to an ASCII plain text file,
and the ASCII plain text file size is used to determine if the “Sequence Listing XML” is
a lengthy “Sequence Listing XML.” Lengthy “Sequence Listings” or “Sequence Listing XMLs”
will be published only in electronic form on the USPTO sequence homepage (
https://seqdata.uspto.gov
). The
patent or patent application publication will include a statement that the patent or
application contains a lengthy “Sequence Listing” or “Sequence Listing XML” section (as
applicable) and a hyperlink to the webpage containing the “Sequence Listing” or
“Sequence Listing XML”. See
MPEP §§ 2419
et seq. and
2435
.
A.
Avoid Filing Preliminary Amendments
Applicants should not file any preliminary amendment with the
application. Submitting applications without any accompanying preliminary amendment
reduces the processing required of the Office, and will help to ensure that patent
application publications are printed correctly
the “Sequence Listing” or
“Sequence Listing XML”. See
MPEP §§ 2419
et seq. and
2435
.
A.
Avoid Filing Preliminary Amendments
Applicants should not file any preliminary amendment with the
application. Submitting applications without any accompanying preliminary amendment
reduces the processing required of the Office, and will help to ensure that patent
application publications are printed correctly.
A preliminary amendment that is present on the filing date of the
application is part of the original disclosure of the application under
37 CFR
1.115(a)(1)
. The Office will include such a preliminary
amendment that is present on the filing date of the application in the patent
application publication. If the preliminary amendment that is present on the filing
date of the application is not in a format that is useable for publication, the
Office will issue a notice requiring the applicant to submit the amendment in a
format useable for publication. Generally, a substitute specification (excluding
claims) is required for any preliminary amendments to the specification (other than
the claims) that are present on the filing date of the application. Even though a
substitute specification is a useable format for publication, applicant should not
file a substitute specification with the application because the application size fee
will be calculated based on the application papers including the clean version and
marked-up version of the substitute specification.
To avoid submitting preliminary amendments, applicants should
incorporate any desired amendments into the text of the specification including a new
set of claims, even where the application is a continuation or divisional application
of a previously-filed patent application. In such a continuation or divisional
application, a new specification (e.g., reflecting amendments made in the parent
application) may be submitted together with a copy of the oath or declaration from
the previously filed application so long as no new matter is included in the
specification
where the application is a continuation or divisional application
of a previously-filed patent application. In such a continuation or divisional
application, a new specification (e.g., reflecting amendments made in the parent
application) may be submitted together with a copy of the oath or declaration from
the previously filed application so long as no new matter is included in the
specification. See
pre-AIA 37 CFR 1.63 (d)(1)(iii)
. The specific reference to the
prior application required by
35 U.S.C. 119(e)
or
120
and
37 CFR 1.78(a)
in applications
filed before September 16, 2012 can be submitted in an application data sheet (ADS)
rather than in a preliminary amendment to the first sentence(s) of the specification.
Such references in applications filed on or after September 16, 2012 may only be made
in an ADS. If the specific reference is submitted in a preliminary amendment,
however, a substitute specification will not be required if the preliminary amendment
only adds or amends a benefit claim.
B.
Requests for Republication to Correct Errors
Applications with poor quality text, which may be acceptable for
scanning and examination purposes, may lead to errors in the patent application
publication. Correction of these errors and inclusion of any desired amendments into
the text of the originally-filed specification and drawings will only occur if
applicant files a request for republication under
37 CFR 1.221(a)
. They will not be
corrected by the Office in a corrected publication under
37 CFR
1.221(b)
. See
MPEP § 1130
.
II.
APPENDICES
Appendices, other than those containing “Sequence Listings” (for
applications filed before July 1, 2022), “Sequence Listing XMLs” (for applications filed
on or after July 1, 2022), or “Large Tables”, are not printed if they are contained on
pages located after the claims. If the application includes multiple claim sets in the
specification, the Office may treat pages located after the first set of claims as
appendices
n those containing “Sequence Listings” (for
applications filed before July 1, 2022), “Sequence Listing XMLs” (for applications filed
on or after July 1, 2022), or “Large Tables”, are not printed if they are contained on
pages located after the claims. If the application includes multiple claim sets in the
specification, the Office may treat pages located after the first set of claims as
appendices. Note that computer program listings may be printed if they are included in
the specification before the claims, but that “Computer Program Listing Appendices” that
are submitted via the USPTO patent electronic filing system or on a read-only optical
disc in accordance with
37 CFR 1.96(c)
and
37 CFR 1.52(e)
are
not printed as part of the patent or patent application publication.
III.
AMENDED APPLICATION FILED VIA THE USPTO PATENT ELECTRONIC FILING SYSTEM
At applicant’s option, a patent application publication may be based
upon a copy of the application (specification, drawings and oath or declaration) as
amended, provided that applicant supplies such a copy in compliance with the USPTO
patent electronic filing system requirements, e.g. set forth in the Legal Framework for
Patent Electronic System within one month of the mailing date of the first Office
communication that includes a confirmation number for the application, or fourteen
months of the earliest filing date for which a benefit is sought under title 35, United
States Code, whichever is later.
37 CFR 1.215(c)
. If the copy of the
application submitted under
37 CFR 1.215(c)
does not comply with
the USPTO patent electronic filing system requirements, the Office will publish the
application as provided in
37 CFR 1.215(a)
. If the copy of the
application submitted under
37 CFR 1.215(c)
was untimely, the
Office may use the untimely filed copy of the application supplied by the applicant
under
37 CFR
1.215(c)
in creating the patent application publication so long as
the copy was received before the Office has started the publication process
ments, the Office will publish the
application as provided in
37 CFR 1.215(a)
. If the copy of the
application submitted under
37 CFR 1.215(c)
was untimely, the
Office may use the untimely filed copy of the application supplied by the applicant
under
37 CFR
1.215(c)
in creating the patent application publication so long as
the copy was received before the Office has started the publication process. For further
information about the USPTO patent electronic filing system, see the Electronic Business
Center on the USPTO website (
www.uspto.gov
).
IV.
APPLICANT INFORMATION
If a patent application is filed pursuant to
37 CFR
1.46
, the patent application publication will include the name of
the assignee, person to whom the inventor is under an obligation to assign the
invention, or person who otherwise shows sufficient proprietary interest in the matter.
The information must be provided on the application data sheet (ADS) filed with the
application. If the applicant information is corrected or updated in accordance with
37 CFR
1.46(c)
after filing the application, the corrected or updated
information may be used, if the information is recognized by the Office before the
technical preparation for the publication has begun.
Errors in applicant information printed on the
publication are not considered material mistakes by the Office under
37 CFR
1.211(b)
(e.g., errors in the assignee’s name). See
MPEP §
1130
. Thus, these errors may only be corrected if applicant
files a request for republication under
37 CFR 1.211(a)
.
V.
ASSIGNEE INFORMATION
For applications filed on or after September 16, 2012, if the applicant
would like the assignee data to be published, the assignee data must be submitted on the
application data sheet (ADS). For applications filed before September 16, 2012, if the
applicant would like the assignee data to be published, the information must be provided
on the application transmittal letter or the application data sheet (ADS) filed with the
application
ptember 16, 2012, if the applicant
would like the assignee data to be published, the assignee data must be submitted on the
application data sheet (ADS). For applications filed before September 16, 2012, if the
applicant would like the assignee data to be published, the information must be provided
on the application transmittal letter or the application data sheet (ADS) filed with the
application. Providing this information on the application transmittal letter or the
application data sheet does not substitute for compliance with any requirement of 37 CFR
Part 3 to have an assignment recorded by the Office. If the assignee data is recorded
with the Assignment Recordation Branch only, the information will not be published as
part of the patent application publication.
Errors in assignee information printed on the publication are not
considered material mistakes by the Office under
37 CFR 1.221(b)
(e.g., errors in the
assignee’s name). See
MPEP § 1130
. Thus, these assignment errors and applicant’s
failure to include assignment data may only be corrected if applicant files a request
for republication under
37 CFR 1.221(a)
.
[top]

## Nearby sections

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- [MPEP § 1111 SIR Publication and Effect](https://www.frixlaw.com/law-library/statutes/MPEP_S1111.md)
- [MPEP § 1120 Eighteen-Month Publication of Patent Applications](https://www.frixlaw.com/law-library/statutes/MPEP_S1120.md)
- [MPEP § 1121 Content of a Patent Application Publication](https://www.frixlaw.com/law-library/statutes/MPEP_S1121.md)
- [MPEP § 1122 Requests for Nonpublication](https://www.frixlaw.com/law-library/statutes/MPEP_S1122.md)
- [MPEP § 1123 Rescission of a Nonpublication Request](https://www.frixlaw.com/law-library/statutes/MPEP_S1123.md)
- [MPEP § 1124 Notice of Foreign Filing](https://www.frixlaw.com/law-library/statutes/MPEP_S1124.md)
- [MPEP § 1125 Express Abandonment to Avoid Publication](https://www.frixlaw.com/law-library/statutes/MPEP_S1125.md)
- [MPEP § 1126 Publication Fees](https://www.frixlaw.com/law-library/statutes/MPEP_S1126.md)
- [MPEP § 1127 Notice of Publication](https://www.frixlaw.com/law-library/statutes/MPEP_S1127.md)
- [MPEP § 1128 Availability of Published Applications](https://www.frixlaw.com/law-library/statutes/MPEP_S1128.md)
- [MPEP § 1129 Request for Early Publication](https://www.frixlaw.com/law-library/statutes/MPEP_S1129.md)
- [MPEP § 1130 Republication and Correction of Patent Application Publications](https://www.frixlaw.com/law-library/statutes/MPEP_S1130.md)
- [MPEP § 1131 [Reserved]](https://www.frixlaw.com/law-library/statutes/MPEP_S1131.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/MPEP_S1121. Check the current official text before relying on it. Not legal advice.