Can a preliminary amendment be disapproved by the USPTO?

Source: FAQ (MPEP-Based)BlueIron Update: 2024-09-10

This page is an FAQ based on guidance 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.

Yes, a preliminary amendment can be disapproved by the USPTO under certain circumstances. According to 37 CFR 1.115(b), A preliminary amendment may be disapproved if the preliminary amendment unduly interferes with the preparation of a first Office action in an application. The MPEP further explains that factors considered for disapproval include:

  • The state of preparation of the first Office action when the amendment is received
  • The nature of changes to the specification or claims resulting from the amendment

Additionally, a preliminary amendment will be disapproved if it cancels all claims without presenting new or substitute claims.

Tags: Disapproval, Preliminary Amendment, USPTO procedure