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The Benefits of a Provisional Patent Application

Written by Gene Quinn
Patent Attorney & Founder of IPWatchdog
Zies, Widerman & Malek
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Posted: Nov 26, 2011 @ 2:48 pm
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There is a great misunderstanding among many inventors and entrepreneurs regarding what many simply refer to as a “provisional patent.”  The first thing that needs to be said is that there is no such thing as a “provisional patent.”  Instead, what you file is called a provisional patent application.  Like any other patent application it is effective to stop the clock relative to so-called statutory bars and immediately upon filing a provisional patent application you can say you have a “patent pending.”

A provisional patent application must be understood as nothing more than the first step toward receiving a patent.  Ultimately you will need to file a nonprovisional patent application in order to obtain a patent in the United States.  Still, there are substantial benefits to beginning with a provisional patent application but, as with most things in life, there are pitfalls that can and do trap the unwary and unknowledgeable.

One reason I like to suggest starting with a provisional patent application as a way to initiate the patent process is because they are cheaper to prepare (because there are no formal requirements) and the filing fee due to the United States Patent Office at the time of filing is only $125 for small entities (i.e., individuals, universities and companies with 500 or fewer employees), which saves you several hundreds of dollars compared to the filing fees for a non-provisional patent application. Because there are no formal requirements we can focus on disclosing the invention in its full detail while still preparing an exceptionally detailed application that costs only a fraction of the cost of a nonprovisional patent application (i.e., regular patent application).

Many patent attorneys and patent agents will question whether you can really prepare a provisional patent application while spending less time than preparing a nonprovisional patent application.  I am here to tell you that it is not only possible but I do it all the time and so do other attorneys at my firm and many other attorneys that I know at other firms.  Describe whatever you can, file a provisional patent application and work toward perfecting the invention and seeing if there is a market.  That is how provisional patent applications are best and why they are a valuable tool for those with a limited budget, which at the end of the day is everyone in the patent space.  No one has enough money to protect everything they invent, not even mega-giant tech companies.

With most provisional patent applications the 80-20 rule applies.  To get to 80% complete it takes 20% of the time and the final 20% will take 80% of the time.  Thus, the approach to provisional patent applications is to make sure you have all the disclosure we need later when we will prepare the nonprovisional patent application.  This can include attaching one or more supplemental documents to a drafted provisional patent application, it can and usually does include filing many drawings, sketches and even photographs.

Simply stated, one of the benefits of the provisional patent application is that you can file whatever you want attached to a provisional patent cover sheet and it is called a provisional patent application and gives you a “patent pending.”  The lower cost is attractive to many independent inventors and small businesses because you don’t know whether the invention is going to pan out, but you know if it does you will have wanted to file a patent application as soon as possible to protect your rights.  So you

Assuming you have filed an appropriate provisional patent application you can market the invention without fear of losing patent rights, generating cash to proceed with development or further patent activities.  In other words, the provisional patent application is an interim step along the road to a patent.  If you were going to pay as much attorney time to prepare a provisional patent application that is as complete as a nonprovisional patent application then you might as well not take this interim step.  Achieve the 80% solution for 20% of the cost and then if your invention continues to look good spend the other 80% work on format issues and the picky details, alternative embodiments and dreams that you can envision and will want to include in version next.

So when is a provisional patent application best? In many, if not most or even nearly all, situations the invention as you initially conceive of it will not be the invention that you ultimately want to patent. Many times you will come up with an invention and want to protect it but you know you will need to continue working on it.  There are things you want to make better, things you need more time to research and develop and in many cases you are seeking to obtain patent pending status before you have 3D renderings, engineering drawings or even an intermediate prototype.   In this context you simply cannot possibly describe everything you will ultimately want to describe because you don’t have the invention complete in its full glory.  This is why the 80-20 rule almost always applies to drafting of provisional patent applications.



As you progress forward with your invention you learn more each step of the way.  It is best to file a patent application as soon as possible, so consider filing a provisional patent application as soon as your invention is concrete and tangible enough to describe.  Then as you make improvements you can file another provisional patent application if your want, or just move to a nonprovisional patent application.  If you are working on your invention you should not be filing a nonprovisional patent application because you cannot add new subject matter to a nonprovisional patent application.  You can, however, wrap together any number of provisional patent applications that have been filed within the last 12 months when you file your nonprovisional patent application.  Thus, provisional patent applications are absolutely ideal when you have something that could be protected now but you are continuing to work on refining, perfecting and supplementing the invention.

Another key benefit of a provisional patent application is that the Patent Office will not do anything with the provisional patent application unless and until you file a nonprovisional patent application claiming the benefit of the priority of the provisional patent application filing date. This means no more PTO fees and no additional attorney’s fees unless and until you want to move forward. Thus, you can lay the foundation for obtaining a patent, have a “patent pending” and conserve funds in the process. In my judgment the benefits are enormous. Critical to remember, however, is that a carelessly prepared provisional is a complete waste of time and money.

Let’s take a step back though. As already eluded to, if you want to obtain a patent you are eventually going to have to file a nonprovisional patent application with the U.S. Patent and Trademark Office. In fact, you will need to file a nonprovisional patent application within 12 months of the filing of your provisional patent application in order to claim the benefit of that provisional filing. If you do file the nonprovisional patent application within 12 months then the filing date of your nonprovisional patent application will be deemed to be the filing date of your earlier filed provisional patent application, at least with respect to whatever you disclosed in the provisional patent application. That is why is is critical to disclose as much as possible. You only get benefit of an earlier filing date (the entire purpose and benefit of a provisional filing) if it was disclosed appropriately. So it is best to think of the provisional patent application as a lower cost way of starting your journey toward receiving a patent, but it is incorrect to think of the provisional patent application as a cheap way to start the patent process. The fact that it is lower in cost and doesn’t require formalities doesn’t mean you shouldn’t take it serious. A poorly prepared provisional patent application simply offers no benefit whatsoever, and can come with significant down side later.

Now for a reality check. Yes, when most patent attorneys prepare a provisional patent application it costs less because the attorney does not generally need to spend as much time as they would preparing a nonprovisional patent application.It is important to understand, however, that if you are hiring an attorney to prepare and file the application the fact that less time is required does not mean that little or no time is required. There is a big difference. The specification and drawings need to be complete, broad in terms of what is described and specific to make sure you are meeting all patentability requirements as of the date you file the provisional patent application. Cutting corners on the description of the invention in a provisional patent application makes it useless.

The reason that cutting corners makes a provisional patent application worthless is because in the United States in order for a patent application to be useful to ultimately lead to the protection of an invention the application must be complete as of the time of filing. This leads to a critical question though, namely what does it mean for an application to be complete? In general terms, a patent application will be considered to be complete when the invention is described so that someone else familiar with the technology could both make and use the invention having only read the patent application that is filed. In other words, your patent application needs to explain the invention with as much detail as possible. Essentially, you want to provide a description on par with the level of detail and explanation that would be included in a good instruction manual that describes both use and making of the invention.

Anything that is not included in the provisional patent application is not considered to be a part of your invention. For this reason you may hear patent attorneys explain that a provisional patent application is helpful to protect whatever is included in the application (as I said above). Said another way, the provisional patent application is only as good as the level of detail you include, which is why you want to not only describe your invention but also any possible alternatives and variations that are known to you at the time of filing. You see, when you prepare and file any patent application you want to make sure you cover not only what you have specifically invented, but you want to include alterations and variations that can be contemplated because if and when you start making money competitors will appear. The more scrupulous of those competitors will seek not to infringe upon your rights, which means they will seek to compete as closely and directly as possible but in a way that doesn’t technically and literally mimic your invention. Variations and alternatives are crucial to any patent application and provisional patent applications are no exception.

Another critical thing to remember is that alternatives and variations can be included in an application even if they are not optimal, and even if they do not work very well. This is where inventors frequently make big mistakes. Why would anyone want to do something that isn’t optimal? Look at the knock-off business that exists in any major city in the world. There is plenty of money to be made selling inferior products. You want a patent that covers what works best and what works period. If you were the first to invent the automobile you would want to have your patent cover the Yugo version, the Cadillac version and the Ferrari version and everything in between. So you need to think of your invention not only as what works best, but what works; no matter how crudely.

If you do elect to file a provisional patent application you do need to understand that a provisional application remains pending at the Patent Office for only 12 months from the date it is filed. I know this was mentioned above, but it is worth mentioning again because it is an absolute hard and fast deadline that cannot be extended for any reason. Yes, virtually all deadlines at the U.S. Patent Office can be extended if you are willing to pay enough, sometimes several thousands of dollars) but the provisional patent 12 month deadline cannot be extended for any reason PERIOD. Therefore, an applicant who files a provisional patent application must file a corresponding non-provisional application for patent (i.e., “regular patent application”) during the 12-month pendency period of the provisional application in order to benefit from the earlier filing of the provisional application.

In terms of what you need to file, although a patent claim is not required in a provisional application, the written description and any patent drawings of the provisional application must adequately support the subject matter of your invention in order to be useful later to establish priority. What this means it that care should be taken to ensure that the disclosure filed as the provisional application adequately provides a written description of the full scope of the subject matter regarded as the invention and desired to be claimed in the later filed nonprovisional application. Drawings are your best friend in any patent application, and high quality professional drawings can be obtained for between $50 to $100 per page. Many inventors seek to cut corners to save money, and I completely understand the need to conserve. Drawings in a patent application is not a place to conserve. Drawings are worth at least 1000 words and forgive a lot of accidental mistakes in the written disclosure. It is better to think that you MUST have professional drawings in a provisional patent application.  Someone I have used frequently and have always been happy with is Autrige Dennis at ASCADEX Patent Illustrating. Autrige is not a sponsor of IPWatchdog, just a good guy who has provided good service to my clients at a very reasonable price.

For those who want to take the plunge and prepare their own provisional patent applications, whether out of desire or necessity, consider The Invent & Patent System.  This is an online, self-help tool I created that helps inventors create their own provisional patent application.  The cost to use the system is $99. For this price you get to use the system, which will help you create your own patent application, and then you receive instructions on how to format the application and file it yourself. This system has been in use for many years, I have my own patent application pending on the system,and it is an excellent way to save money while still getting quality output. It is, however, a do-it-yourself system.

When I developed the Invent & Patent System I created answer templates that can be used and multiple technology relevant examples that can be mimicked. These answer templates and examples, when used, force inventors to provide the critical information that will be required to ensure a complete application. This works to keep costs down because it is a collaborative effort and you are directing the process and providing the critical invention information rather than paying an attorney to describe what you know best — your invention.

If you are not comfortable creating a provisional patent application on your own, or you feel that your invention is particularly valuable and you want to start the process with professional assistance, I can help. Send me an e-mail message and we can discuss matters further. I have been helping independent inventors, small businesses and start-up companies since 1998. We can typically draft and file most provisional patent applications for between $1,500 to $2,500 plus the cost of any drawings (typically $200 to $300) and the government filing fee ($125). For computer related inventions, software, Internet applications and some highly complex inventions the cost of a provisional patent application is typically $4,000 to $5,000 plus the aforementioned costs of drawings and the government filing fee.  If you have us prepare and file a provisional patent application 100% of the attorneys fees are credited toward the cost of a nonprovisional patent application we also prepare and file.

Good luck, and please let me know if you have any questions or need assistance. For some good additional reading on this and related topics see:

NOTE: This article was originally published December 25, 2007 and has since been updated several times, most recently on November 26, 2011.

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Posted in: Educational Information for Inventors, Gene Quinn, Inventors Information, IP News, IPWatchdog.com Articles, Patent Basics, Patents

About the Author

is a US Patent Attorney, law professor and the founder of IPWatchdog.com. He is also a principal lecturer in the top patent bar review course in the nation, which helps aspiring patent attorneys and patent agents prepare themselves to pass the patent bar exam. Gene started the widely popular intellectual property website IPWatchdog.com in 1999, and since that time the site has had many millions of unique visitors. Gene has been quoted in the Wall Street Journal, the New York Times, the LA Times, USA Today, CNN Money, NPR and various other newspapers and magazines worldwide. He represents individuals, small businesses and start-up corporations. As an electrical engineer with a computer engineering focus his specialty is electronic and computer devices, Internet applications, software and business methods.

 

 

4 comments
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  1. Gene,

    The primary benefit, especially when March 16, 2013 arrives: getting that first “date stake” in the ground.

  2. gene, would this be the best route for a consumer electronic device, which may have various iterations of circuitry, an/or software?

  3. Matt G-

    Filing a provisional patent application is particularly appropriate where the product is in development. As you learn more you can file a new provisional patent application (if warranted) and then wrap all the provisionals filed within 12 months into one, single non-provisional patent application. The benefit of doing this is you get the earliest priority date possible with respect to each iteration of the invention.

    -Gene

  4. [...] a tool like the Invent & Patent System you will at least wind up with as best a do-it-yourself provisional patent application filing as possible.  Then you have 12 months from that point to be more aggressive, openly trying [...]

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