35 U.S.C. 111 — Application
Ninth Edition, Revision 01.2024
[Editor Note: Applicable to any patent application filed on or after December 18, 2013. See 35 U.S.C. 111 (pre-PLT (AIA)) or 35 U.S.C. 111 (pre‑AIA) for the law otherwise applicable.]
- (a) IN GENERAL.—
- (1) WRITTEN APPLICATION.—An application for patent shall be made, or authorized to be made, by the inventor, except as otherwise provided in this title, in writing to the Director.
- (2) CONTENTS.—Such application shall include—
- (A) a specification as prescribed by section 112 ;
- (B) a drawing as prescribed by section 113; and
- (C) an oath or declaration as prescribed by section 115 .
- (3) FEE, OATH OR DECLARATION, AND CLAIMS.—The application shall be accompanied by the fee required by law. The fee, oath or declaration, and 1 or more claims may be submitted after the filing date of the application, within such period and under such conditions, including the payment of a surcharge, as may be prescribed by the Director. Upon failure to submit the fee, oath or declaration, and 1 or more claims within such prescribed period, the application shall be regarded as abandoned.
- (4) FILING DATE.—The filing date of an application shall be the date on which a specification, with or without claims, is received in the United States Patent and Trademark Office.
- (b) PROVISIONAL APPLICATION.—
- (1) AUTHORIZATION.—A provisional application for
patent shall be made or authorized to be made by the inventor, except
as otherwise provided in this title, in writing to the Director. Such
application shall include—
- (A) a specification as prescribed by section 112(a) ; and
- (B) a drawing as prescribed by section 113 .
- (2) CLAIM.—A claim, as required by subsections (b) through (e) of section 112 , shall not be required in a provisional application.
- (3) FEE.—The application shall be accompanied by the fee required by law. The fee may be submitted after the filing date of the application, within such period and under such conditions, including the payment of a surcharge, as may be prescribed by the Director. Upon failure to submit the fee within such prescribed period, the application shall be regarded as abandoned.
- (4) FILING DATE.—The filing date of a provisional application shall be the date on which a specification, with or without claims, is received in the United States Patent and Trademark Office.
- (5) ABANDONMENT.—Notwithstanding the absence of a claim, upon timely request and as prescribed by the Director, a provisional application may be treated as an application filed under subsection (a). Subject to section 119(e)(3) , if no such request is made, the provisional application shall be regarded as abandoned 12 months after the filing date of such application and shall not be subject to revival after such 12-month period.
- (6) OTHER BASIS FOR PROVISIONAL APPLICATION.—Subject to all the conditions in this subsection and section 119(e) , and as prescribed by the Director, an application for patent filed under subsection (a) may be treated as a provisional application for patent.
- (7) NO RIGHT OF PRIORITY OR BENEFIT OF EARLIEST FILING DATE.—A provisional application shall not be entitled to the right of priority of any other application under section 119 , 365(a) , or 386(a) or to the benefit of an earlier filing date in the United States under section 120 , 121 , 365(c) , or 386(c) .
- (8) APPLICABLE PROVISIONS.—The provisions of this title relating to applications for patent shall apply to provisional applications for patent, except as otherwise provided, and except that provisional applications for patent shall not be subject to sections 131 and 135 .
- (1) AUTHORIZATION.—A provisional application for
patent shall be made or authorized to be made by the inventor, except
as otherwise provided in this title, in writing to the Director. Such
application shall include—
- (c) PRIOR FILED APPLICATION.—Notwithstanding the
provisions of subsection (a), the Director may prescribe the conditions,
including the payment of a surcharge, under which a reference made upon the
filing of an application under subsection (a) to a previously filed
application, specifying the previously filed application by application
number and the intellectual property authority or country in which the
application was filed, shall constitute the specification and any drawings
of the subsequent application for purposes of a filing date. A copy of the
specification and any drawings of the previously filed application shall be
submitted within such period and under such conditions as may be prescribed
by the Director. A failure to submit the copy of the specification and any
drawings of the previously filed application within the prescribed period
shall result in the application being regarded as abandoned. Such
application shall be treated as having never been filed, unless—
- (1) the application is revived under section 27 ; and
- (2) a copy of the specification and any drawings of the previously filed application are submitted to the Director.
(Amended Aug. 27, 1982, Public Law 97-247, sec. 5, 96 Stat. 319; Dec. 8, 1994, Public Law 103-465, sec. 532(b)(3), 108 Stat. 4986; Nov. 29, 1999, Public Law 106-113, sec. 1000(a)(9), 113 Stat. 1501A-582, 588 (S. 1948 secs. 4732(a)(10)(A), 4801(a); Sept. 16, 2011, Public Law 112-29, secs. 4 and 20(j) (effective Sept. 16, 2012) and sec. 3(e) (effective March 16, 2013), 125 Stat. 284; Dec. 18, 2012, Public Law 112-211, sec. 201(a)(1), 126 Stat. 1531; subsection (b)(7) amended Dec. 18, 2012, Public Law 112-211, sec. 102(3) (effective May 13, 2015), 126 Stat 1531.)
Cited authority
- 35 U.S.C. 111 (pre-PLT (AIA)) Application
- 35 U.S.C. 111 (pre-AIA) Application
- 35 U.S.C. 112 Specification
- 35 U.S.C. 113 Drawings
- 35 U.S.C. 115 Inventor’s oath or declaration
- 35 U.S.C. 119 Benefit of earlier filing date; right of priority
- 35 U.S.C. 365 Right of priority; benefit of the filing date of a prior application
- 35 U.S.C. 386 Right of priority
- 35 U.S.C. 120 Benefit of earlier filing date in the United States
- 35 U.S.C. 121 Divisional applications
- 35 U.S.C. 131 Examination of application
- 35 U.S.C. 135 Derivation proceedings
- 35 U.S.C. 27 Revival of applications; reinstatement of reexamination proceedings
Cited by
- 1120 Eighteen-Month Publication of Patent Applications
- 1122 Requests for Nonpublication
- 1124 Notice of Foreign Filing
- 1410 Content of Reissue Application
- 1481.03 Correction of 35 U.S.C. 119 and 35 U.S.C. 120 Benefits
- 1504.20 Benefit Under 35 U.S.C. 120
- 1893.01 Commencement and Entry
- 1893.01(a)(1) Submissions Required by 30 Months from the Priority Date
- 1893.01(b) Applicant for a U.S. National Stage Application
- 1893.01(e) Inventor’s Oath or Declaration
- 1893.03(a) How To Identify That an Application Is a U.S. National Stage Application
- 1896 The Differences Between a National Application Filed Under 35 U.S.C. 111(a) and a National Stage Application Submitted Under 35 U.S.C. 371
- 201.01 National Applications
- 201.04 Provisional Application
- 201.06(c) 37 CFR 1.53(b) and 37 CFR 1.63(d) Divisional-Continuation Procedure
- 201.06(d) 37 CFR 1.53(d) Continued Prosecution Application (CPA) Practice
- 202 Cross-Noting
- 203.05 Abandoned
- 210 Priority to, or the Benefit of, the Filing Date of a Prior-Filed Application
- 2109 Inventorship
- 211 Claiming the Benefit of an Earlier Filing Date Under 35 U.S.C. 120 and 119(e)
- 211.01 Requirements Related to the Prior-Filed Application
- 211.01(c) Claiming the Benefit of an International Application Designating the United States
- 211.03 Time Period for Making a Claim for Benefit Under 37 CFR 1.78
- 211.04 Delayed Benefit Claims
- 213 Right of Priority of Foreign Application
- 213.02 Formal Requirements Relating to Foreign Priority Application
- 213.03 Time for Filing U.S. Nonprovisional Application
- 2136 Pre-AIA 35 U.S.C. 102(e)
- 214.01 Time for Filing Priority Claim
- 214.03 Office Acknowledgement of Priority Claims
- 215 Certified Copy of Foreign Application
- 215.02 Time For Filing Certified Copy – Application Filed On or After March 16, 2013
- 215.02(a) Timeliness Requirement – Met By Priority Document Exchange
- 215.02(b) Timeliness Requirement – Met By Interim Copy of Foreign Application
- 215.03 Time For Filing Certified Copy – Application Filed Before March 16, 2013
- 216 Entitlement to Priority
- 216.01 Perfecting Claim for Priority Under 35 U.S.C. 119(a)-(d) or (f) After Issuance of a Patent
- 217 Incorporation by Reference Under 37 CFR 1.57(b)
- 2412.02 Definition of “Sequence Listing XML”
- 2414 Notification of a Failure to Comply with Sequence Listing Requirements and Amendments Relating to “Sequence Listing XML” Files Under 37 CFR 1.835
- 2414.01 Issuance of a Notice Relating to the Requirements For Patent Applications Containing Nucleotide and/or Amino Acid Sequence Disclosures
- 2416 Form Paragraphs
- 2421.03 Notification of a Failure to Comply
- 2422 Nucleotide and/or Amino Acid Sequence Disclosures in Patent Applications Subject to WIPO ST.25
- 2422.03 Sequence Listing Submission
- 2422.03(a) “Sequence Listing” Submitted as ASCII Plain Text Files
- 2422.04 The Requirement for a Computer Readable Copy of the “Sequence Listing”
- 2422.06 Requirement for Statement Regarding Information Contained in the “Sequence Listing” and Separate Computer Readable Form
- 2422.07 Requirements for Compliance and Consequences of Non-Compliance
- 2429 Helpful Hints for Sequence Rules Compliance under WIPO ST.25
- 2434 Examination of Patent Applications Claiming Large Numbers of Nucleotide Sequences
- 2701 Patent Term
- 2710 Term Extensions or Adjustments for Delays Within the USPTO Under 35 U.S.C. 154
- 2730 Applications Filed on or After May 29, 2000; Grounds for Adjustment
- 2732 Reduction of Period of Adjustment of Patent Term
- 2920 National Processing of International Design Applications Designating the United States
- 2920.01 Inventorship
- 2920.05(d) Foreign Priority
- 2920.05(e) Benefit Claims Under 35 U.S.C. 386(c)
- 301 Ownership/Assignability of Patents and Applications
- 308 Issue to Applicant
- 502.05 Correspondence Transmitted by EFS-Web
- 509.04(a) Gross Income Basis for Micro Entity Status
- 601 Content of Provisional and Nonprovisional Applications
- 601.01 Complete Application
- 601.01(a) Nonprovisional Applications Filed Under 35 U.S.C. 111(a)
- 601.01(c) Conversion to or from a Provisional Application
- 601.01(d) Application Filed Without All Pages of Specification
- 601.01(e) Nonprovisional Application Filed Without at Least One Claim
- 601.01(f) Applications Filed Without Drawings
- 601.01(g) Applications Filed Without All Figures of Drawings
- 601.05(a) Application Data Sheet (ADS) -- Application Filed On or After September 16, 2012
- 601.05(b) Application Data Sheet (ADS) in Application Filed Before September 16, 2012
- 602.01(a) Inventor’s Oath or Declaration in Application Filed On or After September 16, 2012
- 602.04 Foreign Executed Oath
- 602.08(b) Inventor Signature and Name
- 605.01 Applicant for Application filed on or after September 16, 2012
- 607 Filing Fee
- 608.01 Specification
- 608.01(p) Completeness of Specification
- 608.02 Drawing
- 608.02(c) Location of Drawings
- 608.05 “Sequence Listing,” “Large Tables,” or “Computer Program Listing Appendix” Submitted in ASCII Plain Text or a “Sequence Listing XML” Submitted as XML File Text
- 702 Requisites of the Application
- 706.07(h) Request for Continued Examination (RCE) Practice
- 708.01 List of Special Cases
- 708.02 Petition To Make Special
- 708.02(a) Accelerated Examination
- 708.02(b) Prioritized Examination
- 711.01 Express or Formal Abandonment
- 711.03(c) Petitions Relating to Abandonment
- 803.04 Nucleotide Sequences
- 823 Unity of Invention Under the Patent Cooperation Treaty
- 35 U.S.C. 41 Patent fees; patent and trademark search systems
- 35 U.S.C. 111 (pre-PLT (AIA)) Application
- 35 U.S.C. 111 (pre-AIA) Application
- 35 U.S.C. 115 Inventor’s oath or declaration
- 35 U.S.C. 119 Benefit of earlier filing date; right of priority
- 35 U.S.C. 122 Confidential status of applications; publication of patent applications
- 35 U.S.C. 123 Micro entity defined
- 35 U.S.C. 154 Contents and term of patent; provisional rights
- 35 U.S.C. 371 National stage: Commencement
- 35 U.S.C. 375 Patent issued on international application: Effect
- 37 CFR 1.7 Times for taking action; Expiration on Saturday, Sunday or Federal holiday
- 37 CFR 1.9 Definitions
- 37 CFR 1.12 Assignment records open to public inspection
- 37 CFR 1.14 Patent applications preserved in confidence
- 37 CFR 1.16 National application filing, search, and examination fees
- 37 CFR 1.21 Miscellaneous fees and charges
- 37 CFR 1.27 Definition of small entities and establishing status as a small entity to permit payment of small entity fees; when a determination of entitlement to small entity status and notification of loss of entitlement to small entity status are required; fraud on the Office
- 37 CFR 1.27 (pre-AIA) Definition of small entities and establishing status as a small entity to permit payment of small entity fees; when a determination of entitlement to small entity status and notification of loss of entitlement to small entity status are required; fraud on the Office
- 37 CFR 1.29 Micro entity status
- 37 CFR 1.32 Power of attorney
- 37 CFR 1.32 (pre-AIA) Power of attorney
- 37 CFR 1.33 Correspondence respecting patent applications, reexamination proceedings, and other proceedings
- 37 CFR 1.33 (pre-AIA) Correspondence respecting patent applications, reexamination proceedings, and other proceedings
- 37 CFR 1.36 Revocation of power of attorney; withdrawal of patent attorney or agent
- 37 CFR 1.36 (pre-AIA) Revocation of power of attorney; withdrawal of patent attorney or agent
- 37 CFR 1.41 Inventorship
- 37 CFR 1.41 (pre-AIA) Applicant for patent
- 37 CFR 1.42 Applicant for patent
- 37 CFR 1.42 (pre-AIA) When the inventor is dead
- 37 CFR 1.43 Application for patent by a legal representative of a deceased or legally incapacitated inventor
- 37 CFR 1.43 (pre-AIA) When the inventor is insane or legally incapacitated
- 37 CFR 1.45 Application for patent by joint inventors
- 37 CFR 1.45 (pre-AIA) Joint inventors
- 37 CFR 1.46 Application for patent by an assignee, obligated assignee, or a person who otherwise shows sufficient proprietary interest in the matter
- 37 CFR 1.46 (pre-AIA) Assigned inventions and patents
- 37 CFR 1.47 [Reserved]
- 37 CFR 1.47 (pre-AIA) Filing when an inventor refuses to sign or cannot be reached
- 37 CFR 1.52 Language, paper, writing, margins, read-only optical disc specifications
- 37 CFR 1.53 Application number, filing date, and completion of application
- 37 CFR 1.55 Claim for foreign priority
- 37 CFR 1.56 Duty to disclose information material to patentability
- 37 CFR 1.56 (pre-AIA) Duty to disclose information material to patentability
- 37 CFR 1.57 Incorporation by reference
- 37 CFR 1.57 (pre-PLT) Incorporation by reference
- 37 CFR 1.63 Inventor’s oath or declaration
- 37 CFR 1.63 (pre-AIA) Oath or declaration
- 37 CFR 1.64 Substitute statement in lieu of an oath or declaration
- 37 CFR 1.64 (pre-AIA) Person making oath or declaration
- 37 CFR 1.66 Statements under oath
- 37 CFR 1.66 (pre-AIA) Officers authorized to administer oaths
- 37 CFR 1.67 Supplemental oath or declaration
- 37 CFR 1.67 (pre-AIA) Supplemental oath or declaration
- 37 CFR 1.76 Application data sheet
- 37 CFR 1.78 Claiming benefit of earlier filing date and cross-references to other applications
- 37 CFR 1.81 Drawings required in patent application
- 37 CFR 1.102 Advancement of examination
- 37 CFR 1.105 Requirements for information
- 37 CFR 1.105 (pre-AIA) Requirements for information
- 37 CFR 1.153 Title, description and claim, oath or declaration
- 37 CFR 1.153 (pre-AIA) Title, description and claim, oath or declaration
- 37 CFR 1.162 Applicant, oath or declaration
- 37 CFR 1.162 (pre-AIA) Applicant, oath or declaration
- 37 CFR 1.172 Reissue applicant
- 37 CFR 1.172 (pre-AIA) Applicants, assignees
- 37 CFR 1.175 Inventor’s oath or declaration for a reissue application
- 37 CFR 1.175 (pre-AIA) Reissue oath or declaration
- 37 CFR 1.211 Publication of applications
- 37 CFR 1.215 Patent application publication
- 37 CFR 1.215 (pre-AIA) Patent application publication
- 37 CFR 1.321 Statutory disclaimers, including terminal disclaimers
- 37 CFR 1.321 (pre-AIA) Statutory disclaimers, including terminal disclaimers
- 37 CFR 1.421 Applicant for international application
- 37 CFR 1.421 (pre-AIA) Applicant for international application
- 37 CFR 1.422 Legal representative as applicant in an international application
- 37 CFR 1.422 (pre-AIA) When the inventor is dead
- 37 CFR 1.424 Assignee, obligated assignee, or person having sufficient proprietary interest as applicant in an international application
- 37 CFR 1.431 International application requirements
- 37 CFR 1.431 (pre-AIA) International application requirements
- 37 CFR 1.491 National stage commencement, entry, and fulfillment
- 37 CFR 1.491 (pre-AIA) National stage commencement and entry
- 37 CFR 1.495 Entering the national stage in the United States of America
- 37 CFR 1.495 (pre-AIA) Entering the national stage in the United States of America
- 37 CFR 1.497 Inventor’s oath or declaration under 35 U.S.C. 371(c)(4)
- 37 CFR 1.497 (pre-AIA) Oath or declaration under 35 U.S.C. 371(c)(4)
- 37 CFR 1.704 Reduction of period of adjustment of patent term
- 37 CFR 1.704 (2013-12-18 thru 2015-03-09) Reduction of period of adjustment of patent term
- 37 CFR 1.821 Nucleotide and/or amino acid sequence disclosures in patent applications
- 37 CFR 1.835 Amendment to add or replace a “Sequence Listing XML” in patent applications filed on or after July 1, 2022
- 37 CFR 3.71 Prosecution by assignee
- 37 CFR 3.71 (pre-AIA) Prosecution by assignee
- 37 CFR 3.73 Establishing right of assignee to take action
- 37 CFR 3.73 (pre-AIA) Establishing right of assignee to take action
- 37 CFR 41.9 Action by owner
- 37 CFR 41.9 (pre-AIA) Action by owner