How to Format and Assemble Your Patent Application. Episode 22

(This episode first aired in 2018. Many of the rules regarding patent application formats and assembly have changed since then.)

Preparing Your Patent Application for Filing

In Episodes 9-21, I covered all the sections of a patent application. Now, it’s time to get it ready for filing.

There are many steps involved in filing a patent application, but one important step is making sure:

• All parts are in the correct order

• Everything is properly formatted

Formatting Guidelines

Some formatting rules are based on personal preference, while others are strict requirements.

I will make the distinction between what is required and what is just recommended for best practice.

Everything I discuss here relates to electronic filing, which is highly recommended.

• Avoid paper filing because:

• It is more expensive.

• It is less reliable (documents can get lost in the mail).

• Electronic filing ensures your submission is properly recorded.

I will go over how to submit electronically in a later episode.

Document Format

• Paper Size: U.S. Letter (8.5 x 11 inches) is preferred, but A4 (European standard) is also acceptable.

• Software: I use Microsoft Word, but before filing, you must convert it to a PDF.

Margins

• Top, right, and bottom: At least ¾ inch

• Left: At least 1 inch

Spacing

• 1.5 or double-spaced

• Single column of text (even though printed patents have multiple columns, you do not format it that way when filing).

Font

• Use a non-script font (e.g., Times New Roman).

• Font size: 12-point preferred.

These formatting guidelines apply to all written text. Drawings have separate formatting requirements, which I covered in a previous episode.

Assembling the Patent Application

First Page

1. Title of the Invention

• Should be short and clear, without excessive details.

• Must be less than 500 characters (but usually much shorter).

• I recommend keeping it to 7 words or fewer if possible.

2. Inventor Names

• Include full names of the inventors.

• The USPTO guidelines state that you should also include the citizenship and residence of each inventor.

Section Order

1. Cross-Reference to Related Applications

• Do not start a new page—just skip a line below the inventor names.

• Section headings should be ALL CAPS, but not bolded or underlined.

• If you are not referencing any related applications, I recommend still including the section title and writing “Not Applicable” below it.

• This way, if circumstances change, you can easily modify the section rather than adding it in later.

2. Statement Regarding Federally Sponsored Research or Development

• If you received government funding for your invention, you must include a statement acknowledging it.

• If not applicable, write “Not Applicable.”

3. Sequence Listing, Table, or Computer Program Listing Appendix Submitted in Electronic Form

• If this does not apply, write “Not Applicable.”

4. Background of the Invention

5. Brief Summary of the Invention

6. Brief Description of the Drawings

7. Detailed Description of the Embodiments

Page Breaks and Claim Formatting

• DO NOT insert page breaks for any of the above sections.

• The first page break comes after the Detailed Description of the Embodiments.

• On the new page, write “CLAIMS” at the top and insert your claims.

Abstract Formatting

• After the Claims section, start a new page.

• At the top, write “ABSTRACT” or “ABSTRACT OF THE DISCLOSURE.”

• The Abstract should:

• Be a single paragraph.

• Not exceed 150 words.

Keeping the Specification in One Document

• The USPTO requires the Specification, Claims, and Abstract to be in separate sections.

• However, I prefer to keep them in one Word document and later save it as a single PDF.

• This helps with page numbering.

Page Numbering Rules

• Pages must be numbered consecutively in Arabic numerals.

• Page numbers should be in top center or bottom center of each page.

• Keeping everything in one document ensures numbering is correct without needing to fix it across multiple files.

Paragraph Numbering

• Not required, but recommended.

• Patent-specific format: Instead of numbering 1, 2, 3, it should be formatted as:

• [0001]

• [0002]

• [0003]

• Microsoft Word can be set to apply this automatically.

• Do NOT use paragraph numbering in:

• The Claims section

• The Abstract

Line Numbering

• The USPTO recommends placing line numbers every five lines on the left margin.

• In Microsoft Word, you can set this up so that every 5 lines are numbered.

• Example:

• 5

• 10

• 15

• And so on…

Handling Drawings

• Keep drawings as a separate file.

• Do not try to combine them into your Word or PDF document.

• Keeping them separate ensures they meet USPTO drawing submission requirements.

Final Thoughts on Formatting and Assembly

That covers the major formatting rules and ordering requirements.

For more details, you can search for “USPTO patent application formatting requirements” to read the official guidelines and understand what is required versus recommended.

Next Episode: How to Submit Your Patent Application Electronically

Now that you know how to format your application, the next step is filing it with the USPTO.

In the next episode, I will cover:

• How to electronically submit your patent application

• USPTO filing systems

• Common filing mistakes to avoid

Need Help With Your Patent Application?

Connect with me! I’m Adam Diament, and until next time—keep on inventing!