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Provisional Patent Application

Written by Gene Quinn
President & Founder of IPWatchdog, Inc.
Patent Attorney, Reg. No. 44,294
Zies, Widerman & Malek
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Posted: August 31, 2011 @ 8:00 am
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A Look at The Benefits of a Provisional Patent Application

One reason I like to suggest starting with a provisional patent application as a way to start 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, 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).

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. 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 low cost way of starting your journey toward receiving a patent. 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, the provisional patent application is cheaper to prepare typically, but that cost savings is 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. 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.

I have created an online tool that allows individuals to create and file their own provisional patent applications. If you elect to use this online tool – The Invent & Patent System – to create your own provisional patent application the cost 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 $2,000 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 can reach $3,000 to $3,500 plus the aforementioned costs. 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 was last updated on August 31, 2011.

About the Author

Eugene R. Quinn, Jr.
President & Founder of IPWatchdog, Inc.
US Patent Attorney (Reg. No. 44,294)
Zies, Widerman & Malek

B.S. in Electrical Engineering, Rutgers University
J.D., Franklin Pierce Law Center
L.L.M. in Intellectual Property, Franklin Pierce Law Center

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Gene is a US Patent Attorney and the founder of Known by many as “The IPWatchdog.” Gene started the widely popular intellectual property website in 1999, and since that time the site has had millions of unique visitors.Gene has been quoted in the Wall Street Journal, the New York Times, the LA Times, CNN Money 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.