Should applicants file preliminary amendments with their patent applications?

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.

The USPTO generally advises against filing preliminary amendments with patent applications. According to MPEP 1121:

“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.”

Instead of filing preliminary amendments, applicants should:

• Incorporate desired amendments into the text of the specification, including a new set of claims
• For continuation or divisional applications, submit a new specification reflecting amendments made in the parent application
• Use an Application Data Sheet (ADS) to submit specific references to prior applications

This approach helps streamline the application process and reduces the likelihood of errors in the patent application publication.