Provisional Patent Application Data Sheet

The provisional patent application data sheet is a very important part of the patent filing process. If you plan to file a patent application, it is vitally important that you understand what should be on a provisional patent application data sheet.

Provisional Applications Filed Under 35 U.S.C. 111(b) [R-07.2015]

A provisional application filed under 35 U.S.C. on or after Dec. 18, 2013, will be provided a filing date as of the date a specification was received in the office, without or without any claims. Provisional applications filed prior to this date will be given a filing date according to pre-PLT (AIA) 37 CFR 1.53(c) as of the time the written description and all drawings are filed. The filing date requirements for a provisional application will be the same as the requirements for a non-provisional application.

All amendments are not allowed after the filing date of the provisional application with exception to those that are required to make the provisional application work with all regulations that are applicable.

If the drawings are rejected, the applicant will be notified and provided a time to provide the missing elements to ensure the filing is complete with or without drawings or figures.

Provision on 37 CFR 1.53(c)(1) requires that all provisional applications are to be filed with a cover sheet. This can be an application data sheet or a cover letter stating that the document is a provisional application.

Any application submitted will be treated automatically and filed under 37 CFR 1.53(b), unless it is identified as a provisional application. Provisional applications filed without the cover sheet or with the required fee will be notified and provided a time period to pay the fee or provide a cover sheet. There will be an additional surcharge also. The time period is set two months from the date of notification but can be extended. The reason for this is to prevent any unnecessary abandonment of the filing.

The office may dispose of the provisional application if the fee is not paid or if there is no contact address. The applicant has two months from filing to pay the fee, provide the cover letter, and pay the surcharge to prevent abandonment.

If your provisional application has not been disposed of, copies of your application will be provided by the USPTO when requested for a fee.

A basic filing fee has to be paid upon filing or based on the time period provided in 37 CFR 1.53(g).

Application Data Sheets and How They Help

The application data sheet provides all bibliographic data for a USPTO application. It is advantageous because it reduces errors in the conversion and recording of an application into the USPTO’s official electronic records.

The electronic filing through the USPTO's website has reduced errors. However, it relies on the documents like declaration or specification instead of user input to create electronic records.

The Requirements for an ADS

And ADS can be used in provisional and non-provisional applications. The USPTO provides a form on its website. However, the fillable form has to be submitted as a text based PDF. A scanned copy of the ADS form will be rejected and is not capable to load automatically in the back end of the system.

The ADS must be in a very specific format and be titled “application data sheet.” It has to contain the following sections:

  1. Applicant information
  2. Correspondence information
  3. Representative information
  4. Domestic priority information
  5. Foreign a priority information
  6. Assignee information

The domestic priority information provided in an EDS allow special reference acquired by 35 USC § 119(e) or 120, and 37 CFR §§ 1.78(a)(2) or 1.78(a)(5). It states that such information does not need to be made part of the specification.

Blank sections in an ATS will be interpreted as zero corresponding data for that label anywhere in the application. The timing of submissions of conflicting information decides in the event of an inconsistency between all the documents and the ADS.

(EFS)Application Data Sheet Using Electronic Filing System

Electronic filing system software is provided for authors and include printed formatted application data sheets. However, it is only available for utility patents.

Reporting Changes on Application Data Sheet

Additional sheets are used to correct or update information in any prior submitted application data sheet. It should only include the information that is supplemented and cannot contain any previously provided information.

Bibliographic data of an Application Data Sheet

The inventor’s information that correspond will contain an address, which can be indicated with a customer number. A nonprofessional application information packet will include the name of the invention, the amount of drawings, suggested drawing figures for publication, the number assignment, type of application, and whether or not the application includes any part of the subject matter that a secret.

All plant applications must contain the Latin name as well as the species and genus of plants.

The representative information will include the registration number of each person containing a power of attorney in the application; therefore, providing this information does not mean a power of attorney is included with the filing the application.

The domestic benefit information includes an application number, the date of the filing, and the relationship and status of each application where a benefit is cleaned under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c). Including this data in the application data sheet submits that the specific reference required by 35 U.S.C. 119(e) or 120 and § 1.78 are met.

Bibliographic Data of an Application Data Sheet

All foreign priority information includes the application number and the country and filing date of each for an application where a priority is claimed. Providing this data in the application data sheet satisfies the priority as required by 35 U.S.C. 119(b) and § 1.55.

The applicant information will include the name and address of the representative, assignee, or who the person who is under an obligation from the inventor to sign his or her product. It can also be a person who otherwise shows proprietary interest in the subject who is the applicant under § 1.43 or § 1.46. The office assumesthe assignment information in the application data sheet will not substitute any compliance with requirements on the bibliographic information in order to have an assignment records this.

Signature Requirement in an Application Data Sheet

An application data sheet that is not signed will be treated only as transmittal letter. Therefore an application data sheet has to be signed according to § 1.33(b).

Patent Law Treaty Model International Forms

Requirements in § 1.55 or § 1.78 for the presentation of priority or benefit claim under 35 U.S.C. 119, 120, 121, or 365 in an ADS will be satisfied by presenting priority or benefit claim in the patent law treaty model international request form. This reference in an application data sheet will be confirmed by the appearance of such reference to the prior filed application on the request form.

The requirement in § 1.46 for the name of the applicant in an application data sheet will satisfy the presentation applicant name in the patent law treaty model international request form. Additional forms for this include the patent law treaty model international request for recording of change in name or address form, or the patent law treaty model international request for recording of change an applicant or owner form.

Patent Cooperation Treaty Request Form

Requirements in § 1.78 provide for the presentation of a claim number in 35 U.S.C. 119, 120, 121, or 365 the application data sheet. It will be satisfied nationally under 35 U.S.C. 371 through the presentation of benefit claims in the patent cooperation treaty request form that is included in the international application. The information of a benefit claim is on the front page of the publication of the international application under PCT article 21 (2).

If the patent cooperation treaty request formis provided in an application under 35 USC 111, it has to be provided with a clear indication that the application under 35 USC 111 is wanted.

What is a Provisional Application?

A provisional application is filed in the United States patent and trademark office. You are provided with a filing date but is not searched or examined. It won’t become a patent and will automatically be abandoned in one year. It may not claim priority from other applications and may not begin a 20-year patent term.

What Do I Need to Include in My Provisional Patent Application?

The applicant needs to supply specification and drawings. No particular format is required, and no claim is required. However, information from different countries indicate that it is ideal to include one general claim in the event of an issue if a different country decides the application with no claims is not complete.

Where Can I Get a Provisional Patent Application Form?

A provisionalapplication form must always be written by hand.

What Forms Do I Need to File with Provisional Patent Application?

Following forms are needed for filing a provisional patent:

  1. A provisional cover sheet and fee transmittal form that can be downloaded from the USPTO website.
  2. A self-addressed postcard stating all items the application is filing
  3. It must be filed in the USPS express mail with a return receipt request

How Do I Turn My Provisional Application into a Patent?

Provisional application will be turned into a patent if it is filed as a regular utility patent application. A PCT international application will also qualify within one year of the provisional filing date. You must claim benefit of the provisional application and transfer the provisional application to a regular utility application.

What's the Difference Between a Provisional Application
and a Disclosure Document?

A disclosure document is a paper that is filed under a former program of the USPTO. It allowed the inventor to file a description of the invention with a fee of $10.

A provisional application is a true patent application. It will get you a filing date and lets you claim a patent pending status. However, the disclosure document program does not exist any longer.

Should I file a Provisional Application or a "Regular" Application?

A provisional application is not an inexpensive alternative to traditional patent applications. There are some great advantages if it is properly used.

What About Foreign Patents?

Applicant must file for a patent in foreign countries within one year of filing a United States patent application. If the applicant would like to use the filing date of the United States application as the filing date in the foreign countries, it is important to remember the timing of the application. Many foreign countries will not allow the sale or publication before a patent is filed.

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