Key Takeaways

  • A utility patent application protects new and useful inventions, including machines, processes, and compositions of matter.
  • There are two main types: provisional (temporary protection for 12 months) and non-provisional (full examination leading to patent grant).
  • A utility patent application transmittal form (Form PTO/SB/21) must accompany submissions to the USPTO and list all included materials.
  • Required materials include specifications, claims, drawings, an oath or declaration, and fees.
  • The patent application lifecycle involves filing, examination, responding to office actions, and potential issuance.
  • Costs and timelines vary—expect 18–36 months to reach a decision, depending on backlog and complexity.
  • International protection may be sought through utility models in other countries for faster or less expensive coverage.
  • Filing electronically with the USPTO’s EFS-Web or Patent Center is most cost-efficient.
  • Small and micro entities receive up to 75% fee reductions under USPTO rules.

Utility Patent Application Transmittal Form

A utility patent application transmittal form will be required if you want to obtain a utility patent for your invention. A utility patent is the most common form of patent protection, and is available for inventions meeting the following criteria: the invention must be new, non-obvious, and useful. Utility patents over machinery, processes, manufactures, and compositions of matter.

What the Transmittal Form Includes

The utility patent application transmittal form (Form PTO/SB/21) serves as a cover sheet for your submission. It identifies the type of patent (utility, design, or plant), the invention’s title, the applicant’s contact information, and lists each enclosed component—such as the specification, claims, drawings, and declaration. This ensures that the U.S. Patent and Trademark Office (USPTO) can confirm receipt of all required materials and track the filing efficiently.

Applicants can use this form for initial submissions and follow-up correspondence, such as amendments or additional documents. Submitting accurate and complete information on this form minimizes the risk of administrative delays or missing parts notices from the USPTO.

Provisional vs. Non-provisional Utility Patent

There are two types of utility patent applications; provisional and non-provisional.

A provisional application is cheaper and quicker to obtain, as it simply allows you to claim that your invention is ‘patent pending’ for a period of up to one-year. Following that one-year period, you will be required to file a non-provisional patent application if you want total and complete protection over your invention. If, however, you fail to file the non-provisional application, then your invention is deemed abandoned as others can now invent the same product and patent it without worrying about infringement.

The non-provisional application is the official patent application that will be filed with the U.S. Patent and Trademark Office (USPTO). A patent examiner will then review the application and subsequently determine if the invention meets the criteria for patentability.  

The Utility Patent Application Lifecycle

The life cycle of a utility patent application generally unfolds in several stages:

  1. Preparation and Filing – Applicants draft claims, specifications, and drawings. A provisional patent application can be filed first for short-term “patent pending” status.
  2. Patent Examination – The USPTO assigns an examiner who evaluates the invention’s novelty, usefulness, and non-obviousness.
  3. Office Actions – Examiners often issue rejections or requests for clarification. Applicants may respond with amendments or arguments.
  4. Allowance and Issue Fee – If the application meets all requirements, the USPTO issues a Notice of Allowance. The applicant must then pay the issue fee to receive the patent grant.
  5. Patent Grant and Maintenance – Once granted, a utility patent lasts 20 years from the filing date, subject to maintenance fees at 3.5, 7.5, and 11.5 years.

Understanding this timeline helps inventors plan product launches and manage intellectual property portfolios effectively.

Utility Application Requirements

• Utility non-provisional applications must be in English, or be translated into English if another language is used in the application. Furthermore, the application, for those that are translated into English, must include a statement confirming that the translation is correct, along with a fee. If any of this information is missing, the applicant will be given notice and a specified time period to submit the missing information.

• The application must include a specification regarding the invention itself, a description and claim(s), illustrations, photographs (if applicable), an oath, and the filing, search, and examination fees.

Examination and Common Rejections

During the examination phase, the USPTO reviews the application for compliance and patentability. Common grounds for rejection include:

  • Lack of novelty (the invention is already publicly disclosed).
  • Obviousness (the invention is too similar to prior art).
  • Insufficient enablement (the description does not teach others how to make and use the invention).

Applicants can overcome rejections by amending claims or providing technical arguments. Persistence often pays off—many patents are granted after multiple office actions. According to industry analysis, nearly 85% of issued utility patents undergo at least one office action before approval.

Application Form

• The utility patent application transmittal form, also referred to as a transmittal letter, must be filed along with your application. This form specifically identifies what is being included in your application, which includes specification, claims, illustrations, oath, and information disclosure statement.

• The form itself includes information on the applicant, the type of application you are filing (utility, design, or plant patent), the name of the invention, and any other enclosures included in the application.

• After you file the initial utility patent application, along with the application transmittal form, you will then begin using Form PTO/SB/21, referred to as the transmittal form, for additional correspondence with the USPTO. This form is generally used to add or amend pages of your application.

Electronic Filing and Patent Center

Most inventors now submit their utility patent application and transmittal form through the USPTO Patent Center or EFS-Web. Electronic filing provides several advantages:

  • Lower filing fees compared to paper submissions.
  • Instant confirmation receipts from the USPTO.
  • 24/7 access for document submission and tracking.
  • Fewer administrative errors, since forms auto-validate missing information.

Applicants must register for a USPTO.gov account and can upload forms in PDF format. After submission, the Patent Center allows users to check status updates, view office actions, and respond directly online, streamlining the patent process.

Application Fees

• You can submit all paperwork electronically, and pay the appropriate fee either with a credit card or via wire transfer. If you choose to do so, you can also submit your paperwork by mailing it in or hand delivering it. Keep in mind that paying electronically costs the least. If filing non-electronically, you will be charged a fee of $400 ($200 for small businesses) in addition to the regular filing search, and examination fees.

• If you submit your application without the fee, you will be charged a late fee of $140 - $70 for small businesses and $35 for micro-entity applicants. You will only be given a specified period of time in which to submit these fees.

• If you file in paper format, the Fee Transmittal Form can be used to calculate the associated fees, while also indicating the method of payment.

• If your application is greater than 133 pages, then you will be charged a fee.

• If your application has greater than 3 claims, an additional fee is due.

• For qualified small entities, filing fees will be reduced by 50% (37 CFR § 1.27(a)). If the qualified small business files online, the fee will be further reduced.

• For qualified micro entities, filing fees will be reduced by 75% (37 CFR § 1.29(a) or (d)).

• There are two different micro entity certification forms, including PTO/SB/15A for certifying on the ‘gross income basis’ and form PTO/SB/15B for certifying on the ‘institution of higher education basis.’ It is important that you know which one you qualify for, as it is your responsibly to determine which category you fall under.

International Utility Protection Options

While utility patents are specific to the U.S., inventors can seek protection abroad through equivalent systems like utility model patents, which are faster and less expensive alternatives in certain jurisdictions.

  • In countries such as China and Germany, utility models can be granted within months, offering 10 years of protection at a fraction of the cost of a standard utility patent.
  • These models are ideal for mechanical or structural inventions with shorter market cycles.
  • Some businesses file both a utility patent and a utility model abroad, securing quick short-term protection while the traditional patent undergoes full examination.

This dual strategy helps businesses protect innovations globally and attract investors while awaiting final patent decisions.

Timelines and Cost Expectations

The cost of a utility patent application depends on entity status, complexity, and claim count. A typical non-provisional application can cost between $5,000 and $15,000, including drafting and attorney fees. Examination fees alone may reach several hundred dollars for large entities, though discounts apply for small and micro entities.

Timeline:

  • Filing to first office action: 12–18 months.
  • Average total pendency: 24–36 months before a final decision or grant.
  • Fast-track options: Programs like Track One prioritized examination can reduce this to under 12 months, but they require additional fees (around $4,200 for large entities).

Maintaining a granted utility patent requires paying periodic maintenance fees, which increase over time to encourage the expiration of unused patents.

Frequently Asked Questions

  1. What is the difference between a utility patent and a design patent?
    A utility patent protects how an invention works or is used, while a design patent covers the ornamental appearance of a product.
  2. How long does a utility patent last?
    A U.S. utility patent lasts 20 years from the filing date, subject to maintenance fees.
  3. Can I file a utility patent application myself?
    Yes, but due to the complexity of the process, many inventors work with registered patent attorneys to ensure compliance and improve approval chances.
  4. What happens if I miss a USPTO deadline?
    You can often petition to revive an abandoned application by paying additional fees, but missing critical deadlines may permanently forfeit rights.
  5. Can I patent my invention internationally?
    Not directly. You can file under the Patent Cooperation Treaty (PCT) or apply for utility models in foreign jurisdictions to gain quicker protection while pursuing a full patent.

If you need help learning more about filing a utility patent, or filling out a utility patent application transmittal form, you can post your legal need on UpCounsel’s marketplace. UpCounsel accepts only the top 5 percent of lawyers to its site. Lawyers on UpCounsel come from law schools such as Harvard Law and Yale Law and average 14 years of legal experience, including work with or on behalf of companies like Google, Menlo Ventures, and Airbnb.